USGS Workforce Planning Desk Guide

PDF version of Workforce Planning Desk Guide

Table of Contents

• Introduction
• The Workforce Planning Process
• Step One - Set Strategic Direction
• Step Two - Supply, Demand, and Discrepancies
• Step Three - Develop Action Plan
• Step Four - Implement Action Plan
• Step Five - Monitor, Evaluate, Revise
• Files

Introduction

Workforce planning (WFP) ensures that “the right people with the right skills are in the right place at the right time.” Most organizations do some form of workforce planning, although in most cases the approach is a very basic look at supply and demand. This approach has only short-term value, and organizations need an approach that looks strategically to the future. Workforce planning goes beyond a simple supply and demand “staffing plan,” or a funding versus cost analysis, and identifies human resource needs based on internal and external factors and the impacts each has upon the other.

A strategic approach to workforce planning is a comprehensive process that provides managers with a framework for planning current and future staffing decisions based on organizational mission, strategic plans and objectives, budgetary resources and a set of desired workforce skills and competencies. It takes a long-term view of organizational needs and how those needs may change based on internal and external factors. This process is simple in outline but depends on a rigorous and comprehensive analysis of the organization’s work, workforce and strategic direction.

Workforce planning is a management responsibility, and the process requires strong management leadership in providing clearly articulated vision, mission, strategic direction and objectives, and cooperative supportive efforts of staff in a variety of functional areas. All organizational levels, from the cost centers to headquarters, are responsible for supporting and ensuring that effective workforce plans are prepared, implemented, monitored and evaluated.

Many organizations, both public and private, have developed models for workforce planning. Aside from variations in terminology, the processes are usually very similar. All rely on an analysis of the present workforce (Supply); an identification of the future workforce needed (Demand); a comparison of the present workforce to future needs to identify gaps; the preparation of a strategy to address those gaps and build the needed future workforce (Action Planning); and an evaluation process to assure that the workforce direction remains valid and objectives are being met.

WFP should be rigorous and comprehensive, but no more complex than the needs of the organization dictate.

Managers at all levels within the USGS, both in the science mission components and support activities, have a critical and central role in developing workforce plans, coordinating strategies incorporated in the plans, and implementing actions to accomplish the objectives and goals of workforce strategies. Managers are already engaged in aspects of workforce planning, both formal and informal.

This USGS Workforce Planning Desk Guide simply takes existing activities and places them in the clearer context of the larger workforce planning picture. This guide is a tool to facilitate a consistent methodology and approach to workforce planning across the bureau. It is a reference tool that provides a consistent, systematic approach to workforce planning for managers and others who participate in the workforce planning process, including HR practitioners, budget analysts, program/management analysts and administrative officers who have roles in assisting managers to develop plans and achieve their workforce planning goals.

Integrating workforce planning into an annual review process eliminates redundancy and directly links workforce planning to program reviews.

Science center and cost center workforce plans are a valuable resource during the development of higher echelon plans (such as Area, Mission, and Bureau level plans), since they provide the information that is coordinated and synthesized into broader, higher level, and more strategic WFP documents. The process of synthesis and strategy development at each level of the organization allows for senior managers to engage in identifying strengths and opportunities across the workforce landscape that can be leveraged against weaknesses and threats. Center-level plans inform the plans of higher organizational echelons, even as those center plans are driven by the vision and strategic direction contained in strategic plans, such as the USGS Science Strategy and the work of the Science Strategy Planning Teams.

Workforce planning is an opportunity for every level of the organization to be involved and inform the organizational decision-making process.

The Workforce Planning Process

The USGS Workforce Planning Model consists of five steps. The model is supported by a guided inquiry approach. At each step, there are questions – located in Appendix B Guided Inquiry– to provoke thought, collaboration, and further analysis. The guided inquiry approach is meant to be both iterative and interactive: iterative, because the answer to one question may lead a manager to ask another question; and interactive, because managers need to engage their staff and other stakeholders to fully explore a set of questions. This is a process that enables organizational learning. The questions on the guided inquiry document are not meant to be simply answered as listed, but create a usable, robust and valid workforce plan – a comprehensive, dynamic strategy rather than a report.

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Step One—Set Strategic Direction

Define Vision for the Future

Regardless of how complex or simple, WFP will require input from a variety of functional areas and levels such as program managers, human resources, Equal Employment Opportunity (EEO), budget and finance, unions, etc. Ideally, leaders should identify a multidisciplinary team to conduct WFP. Begin by considering the following:

• Clearly understand why you are doing WFP
• Explore the internal and external factors that impact the organization
• Define the vision and future goals of the organization
• Describe the ideal workforce to fulfill the future vision and goals
• Identify the short term (1-2 year) and long term (3-5 year) goals for the organization
• Determining major planning issues, external influences, trends and anticipated changes in budgets
• Begin with a set of assumptions that establishes the initial scope of WFP within your organization
• Maintain a manageable scope that can be accomplished within a reasonable time period

Organize and Mobilize Strategic Partners

Now that you have identified the parameters for the project, begin assembling a team of professionals that will participate in the workforce study, including key stakeholders.  Team members should include expertise in:

• Strategic Planning
• Budget and Financial Management
• Human Resource Programs (including Equal Employment Opportunity)
• Management Analysis
• Science/Program Areas (e.g. subject matter experts)

Strategic planning provides organizational direction and measurable program goals and objectives.  The budget process plans for the funding to achieve these objectives.  Human resources management provides tools for competency and skills identification, recruitment, retention, and training of employees to meet current and future workforce priorities.  EEO facilitates an understanding of the relationship between goals and objectives of the organization and EEO policies and diversity strategies. Management Analysis provides assistance with the analysis processes involved in examining, prioritizing, and making decisions among competing requirements and resources.

Engage and collaborate with key stakeholders from the beginning of the planning process, including employees from representative occupational groups, supporting human resource specialists, administrative officers, and external partners.  Clarify roles, responsibilities, time-line of project, and milestones, and get commitment from each team member, and their supervisors if necessary. 

Step Two—Supply, Demand, and Discrepancies

2A. Analyze Supply

Understand the scope of the study in terms of information that will help develop a full workforce plan.  Begin by identifying the scope of data and scope of the organization as outlined below:

• Decide the focus — the entire organization, sub-unit, specific occupation or functional area. 
• Identify baseline human resources and financial data, as well as annual and projected budgets that will be used for the analysis.  
• Assess the total workforce mix including permanent and/or temporary employees, contractors, volunteers, etc.  Look for organizational de-layering and/or restructuring opportunities.  Also look for opportunities to leverage with other internal organizations, in-sourcing, details, cross-training, or outsourcing.  It is recommended that, if feasible, all “workers” be considered in the planning to create a multi-sector  approach  including all positions required to accomplish the work, whether permanent, temporary or term, contractor or volunteer.  Multi-sector workforce planning is the holistic look at what it will take to accomplish the work.
• Examine EEO/diversity and cultural issues in the current state of the organization.
•  

You will need a variety of information and data in order to conduct a comprehensive workforce plan that will determine future work as well as the projected workforce needed.  In order to paint the picture of the future, you should begin by examining:

• Planning documents (DOI strategic plans, USGS Science Strategy, etc.)
• Current budget and sources of funding
• Current workforce demographics

Addressing each of these issues will assist you in defining the current state of your workforce.

2B. Analyze Demand

In this stage, consider the workforce that will be needed to accomplish future functional requirements and carry out the mission of the organization. To assist in analyzing the data you have collected in Step 2A-Analyze Supply, answer the following three groups of questions using the information you have collected.  This examination of the data will allow you to determine the future needs of the organization.

1. What changes are anticipated over the next 3 to 5 years regarding:

• Mission, base functions, strategic goals and objectives, operational goals, etc.
• Budget, including anticipated increases or decreases in reimbursable funding, trends and patterns
• Impacts of internal and external environment (legislative changes, Departmental initiatives, social and economic trends)
• Planned permanent full-time employee reductions or increases (by specific occupational series or skills, how many, etc.)
• National trends in the labor force
• Changing skills and competencies needed
• New technology or innovations
• Changes in organizational structures
• Multisector initiatives, contractors, partnerships, volunteers
• Contract costs and policy changes related to commercial activities
• Partnering with other federal agencies, state agencies, colleges and universities, etc.
• Opportunities to leverage resources with other internal organizations Use of retirees, volunteers (where permitted)
• Use of retirees, volunteers (where permitted)
• Duration of the projects and programs

2. How will these changes affect:

• Volume, type and location of work to be performed
• Organizational structure and design. Is there an opportunity to delayer?
• Work performed through contract
• Mix of skills
• Supervisor/manager to employee ratios
• Increasing/decreasing/mix of workforce staffing levels (Full Time Permanent and non-FTP)

3. What is the planned organizational outlook for the future and how do you plan to meet those goals? Examine the workforce by analyzing:

• Skills and competencies needed by the organization by occupational series and level of expertise, by number of employees needed at each level, and within what timeframe (expert/professional, mid-level, trainee, student)
• Number of types of teams
• Number of supervisors/non-supervisors required for each level or team
• Number of employees by type of appointment (permanent, temporary or term) and work schedule (full time, part time, or intermittent)
• Diversity data reports (available from Office of Equal Opportunity)
• Diversity objectives
• Hiring initiatives and flexibilities
• Employee developmental needs (training)
• Positive education requirements
• Certifications, licenses

This information will be needed when you determine your gap and analyze strategies to address those gaps.

2C. Analyze Gap (Discrepancies)

There are various methods to analyze gaps, also referred to as discrepancies, between the current state (supply) and future state (demand) of the workforce. The two main approaches to analysis are quantitative and qualitative. The quantitative approach looks at supply and demand data, while other the qualitative approach examines the workforce and discrepancies from a more strategic or thematic approach. Both are important approaches to use in achieving a comprehensive strategic workforce plan.

The example below describes a method to analyze gaps in occupational series from a quantitative perspective.

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• A. Occupational Series or Series Groups  NOTE: Data inputted into Column A is determined based on the level of analysis the organization chooses to perform – specific Occupational Series (i.e. Wildlife Biologist 486) or Series Groups (i.e. Professional Science Series, Technical Science Series).
• B. Current workforce - number of employees in that Occupational Series or Series Group
• C. Short Term Expected Losses (0-3 years) –number of employees the organization expects to lose in the next 0-3 years due to any type of attrition
• D. Current Workforce Less Short Term Expected Losses –number of current workforce minus short term expected losses
• E. Short Term Expected Hires (0-3 years) – number of employees the organization anticipates hiring for the Occupational Series or Series Group within the next 0-3 years
• F. Short Term Future Workforce (3 years out)– addition of current workforce less short term expected losses plus short term expected hires (0-3 years)
• G. Long Term Workforce Needs (4-5 years) – number of employees the organization forecasts it needs for the Occupational Series or Series Group in the next 4-5 years
• H. 5 year future workforce gap or surplus – subtraction of short term future workforce from long term workforce needs . A negative ( ) workforce gap value reflects the number of ADDITIONAL future employees needed. A positive value, or surplus, means an expected surplus-to-needs situation of employees.

The completion of the Occupational Gap Analysis Form will reveal the gaps in meeting future workforce requirements based on the current workforce. A negative ( ) workforce gap value reflects the number of future employees needed. A positive value, or surplus, means an expected surplus-to-needs situation. Once the gap or surplus between future needs (demand) and current workforce (supply) is identified, prioritize the most significant gaps that have the greatest impact on the achieving the strategic direction of the organization. This analysis and prioritization leads to the development of an action plan to address the gaps.

While the above example demonstrates a gap analysis for occupational series, the same table could be modified and used to analyze gaps for series groups, i.e. Science – Professional, Science – Technical, Non-Science - Administrative

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Deciding which dimension to analyze the workforce – occupational series and/or series groups – needs to be made case-by-case, based on the level of analysis that makes sense for the organization.

Gaps can also be examined through the perspective of skills via a skill gap analysis. For example, a large occupational series with many specialties may want to look at whether current employees have the skills within their occupational series required to meet future functional and mission requirements. A sample skill gap analysis is found in Appendix F.

The following steps provide an overview of how to conduct a skills analysis.

1. Identify the job skills required for future positions in the organization.
2. Determine whether current employees possess the skills required by the identified positions. This determination is commonly achieved by surveying employees and/or supervisors.
3. Analyze the difference (if any) between current employee skills and future organizational needs. The results of the skills analysis will establish the focus of recruiting and training efforts.

Step Three – Develop Action Plan

In the prior step, the gap analysis identified areas where the organization may either have a workforce or skills shortage (gap) or over supply (surplus). In this step, the organization develops an action plan by prioritizing the most critical gaps and determining strategies and specific action items to address gaps. Strategies are broad categorical statements, whereas action items are specific approaches and steps that have measurable objectives. Action items should identify specific person(s) responsible for implementing the action items and when the item will be accomplished.

Examples of strategies to consider for addressing gaps include:

Strategy: Address surplus positions

Review the list of surplus positions available from the Gap Analysis. Review the skills associated with each of those surplus positions. Determine if positions can transition into the gaps to be filled. To do this, consider:

• Are these skills directly transferable to fill the gaps?
• Can any of gaps be filled by retraining surplus employees?
• Can surplus positions be easily reclassified to the positions needed?

Strategy: Use a variety of incentives/mechanisms to recruit new skills and retain needed employees. Action items associated with this strategy can include, for example:

• Develop a formal mentoring program for incumbents of targeted position groups.
• Institute voluntary rotational assignments.
• Use volunteers, where permitted, to attract community and employment interest.
• Partner with another component or agency to expand employee development.
• Expand outreach through job fairs, advertising, websites, employee referrals, etc.
• Expand use of work-life programs (e.g., alternative work schedules, flexi-place, part-time employment, child care facilities and subsidies).

Strategy: Implement Retention Strategies

If turnover is an issue, explore what high-performing employees want and need to stay with your organization and apply their capabilities to accomplishing your mission.

• Develop an infrastructure to provide constant feedback between these critical employees and their supervisors/managers.
• Develop a means of providing incentives and/or working conditions designed to retain high performing employees.
• Identify ways to make the workplace a rewarding environment that keeps employees engaged by using positive feedback, encouraging innovation, and recognizing work contributions. Look at employee survey results to find areas needing improvement, and develop strategies to make improvement.

Strategy: Partner with academic institutions with high minority enrollments In planning to fill expected gaps, organizations can establish memoranda of understanding with member institutions of Historically Black Colleges and Universities (HBCU), Hispanic Association of Colleges and Universities (HACU), National Association for Equal Opportunity in Higher Education (NAFEO), the American Indian Higher Education Consortium and/or other organizations/institutions as a means to develop a minority pool of candidates.

Step Four – Implement Action Plans

Once the strategic direction has been established (Step 1), the workforce supply and demand realities have been identified (Step 2) and the action plan developed (Step 3), the plan can be implemented.

Management, Leadership and Support

Successful workforce planning requires the commitment and leadership of top management. Senior managers must not only lead the planning process, they must assure that workforce plans are aligned with strategic direction, and must hold subordinate managers accountable for carrying out the workforce planning strategies identified in Step 3.

Include workforce planning analysis as supporting documentation in budget justifications, organizational restructuring requests, and hiring requests.

Step Five – Monitor, Evaluate, Revise

Review of Outcomes

WFP is a “living” process, which requires proactive monitoring and adjustments as environmental factors change.  The entire WFP process, and specifically the strategies and action items, should serve as a roadmap for managers to ensure the right people with the right skills are in the right locations at the right time in order to achieve the organization’s short-term goals and long-term plans.  The outcomes should be continuously evaluated to determine progress in addressing the gaps and, specifically, where adjustments to the strategies and action items are needed.  Managers are encouraged to schedule formal workforce planning sessions as necessary, at least annually, to ensure progress with project plan action items and avoid delays in accomplishing objectives.

Assess Accomplishment and Effectiveness of Outcomes

There are many different methods of obtaining feedback concerning the achievement of accomplishments and the effectiveness of outcomes. This information can be obtained via meetings, surveys, focus groups, review of accomplishment reports, etc. Regardless of the method, you should ask the following:

• Were the actions and strategies completed?
• Did the action plan meet the objectives?
• Did the action plan accomplish what was actually needed (were the objectives the right ones)?
• If not, have the organization’s strategies on which the plan is based changed? Were there other factors preventing achievement of the goal?
• Are the estimates and assumptions of the supply and demand still valid?
• Is there a need to modify the action items?

Address Need for Adjustments to Strategies and Action Items

After the above analysis has been conducted, take steps to remedy any problems in implementing action items. . Examples include:

• Change timeframes for implementation of action items as warranted by business requirements.
• Adjust content of action items. Action items may be deleted because they are no longer valid and/or feasible (e.g. budget, reorganization, etc.).
• Hold persons responsible for action items accountable.

Communicate Changes

Changes to the action items should be communicated to leadership and employees in a timely manner to allow for questions and clarification. Similarly, achievement of action items could be shared in your organization’s annual accomplishment report, website, employee meetings, etc.

Files

Workforce Planning Risk Assessment (Word)

Guided Inquiry (Word)

Workforce Plan Template (PDF)

Action Plan (Word)

Occupational Gap Analysis (Excel)

Skill Gap Analysis (Word)

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