Workforce Planning and Professional Development Task Force - Final Report

In the previous chapter of the report, the workforce was analyzed by examining the current state and comparing that to a "future state" for the year 2010. This identified a series of "gaps" in the workforce itself and in the policies and programs that support it. In this chapter, initiatives are presented which are aimed at closing those gaps. These initiatives are presented in four areas:

1. Recruiting, Hiring, Retention
2. Professional Development
3. Quality of Life Issues and Worklife Flexibility
4. Internal Resource Management

The initiatives presented in this chapter in many cases will require more study to develop the full implementation plan. However, for most actions FHWA currently has the necessary authority and will proceed with execution. For others, the authority may currently reside outside FHWA (e.g., with the Department, OPM, or Congress). In these cases, clearly a different implementation strategy is required which would be directed at soliciting the support of others. The Task Force felt that even in these cases, the initiatives were still worthy and should be pursued.

3.A.1. Introduction

In planning for the Federal Highway Administration's future workforce, the Task Force identified five issues related to FHWA's recruiting, hiring and retention methods that have a significant impact on the ability of the agency to perform its mission. Because of the extremely competitive job market, now and in the immediate future, the recruiting and retention tools available to gain and maintain a capable and qualified employee are considered crucial to the agency's continued success. The five issues include: (1) recruitment and hiring of generalists/program specialists and technical experts; (2) use of hiring incentives including recruiting bonuses and repayment of college loans; (3) payment of relocation bonuses; (4) payment of retention bonuses; and (5) use of phased retirement. In addition to these critical issues highlighted for change, numerous other initiatives surfaced that can have an impact on recruiting, hiring and retention of employees. Some of the initiatives identified for improvement during the listening sessions include: recruiting materials, marketing of FHWA, characteristics of FHWA recruiters, and the need to

recognize those employees who have gone the extra mile to obtain professional licenses. The Recruiting Work Group established by the Office of Personnel is presently addressing these issues.

During numerous outreach sessions nationwide, some of the questions continually asked were:

• What are the best recruiting methods for the agency?
• Should the process for hiring be modified to make it more responsive?
• What are the impediments and how can FHWA become more responsive?

The Task Force found that recruiting methods used by FHWA, inefficient processes, and low funding levels have hampered the agency's ability to support full implementation of agency initiatives. To be a competitive employer, the FHWA must use innovative practices based on market-oriented recruitment and hiring incentives to attract the talented graduates needed by the agency. The application, interview, and selection process must be enhanced to be more timely and to improve the quantity and quality of the talent pool. The Recruiting Work Group is also working on this.

In addition, the outreach sessions revealed questions related to overall hiring practices such as: What are the mechanisms available today that allow for payment of hiring bonuses, retention bonuses, and/or some phased departure for those in hard-to-fill disciplines?

The Task Force investigated these issues from the viewpoint of recruiting and hiring and attempting to retain employees to meet the changing needs of the agency. Several strategies have significant potential for implementation and long-term benefits for the agency. The action items listed below can give the agency more flexibility and make a positive contribution to many aspects of the program as well as boost employee morale.

3.A.2. Targeted Recruiting and Hiring of Generalists/Program Specialists at the Entry Level

A generalist with the FHWA is someone who has expertise in the application of laws, regulations, and administrative policies/requirements relative to administering the Federal Highway program. The generalist/program specialist category includes positions such as planning, environment, right-of-way, finance, and safety, in addition to engineering fields. A full list of the generalist positions can be found in Chapter 2, Tables, B, C, and D. Program and process expertise is developed through experience with various administrative programs through day-to-day interaction with FHWA's transportation partners.

Generalists hired at the entry level into the Professional Development Program or a cooperative education (co-op) program have an opportunity to learn the culture of the organization and the nuances of administering the laws, regulations, policies and requirements of the Federal Highway program early in his/her career. The PDP is a flexible 24-month program designed to bridge the gap between new hires and journey-level professionals while the co-op program provides hands-on experience for students from colleges and universities. In either case, it is important for the recruit to be guided by a mentor/coach in the office who will help him or her build interpersonal and business skills in addition to functional knowledge. The real challenge is how to give a talented engineer/planner/environmental specialist hands-on work to establish him/herself and his or her credibility, and then let the person transition to a generalist position. Federal Lands can help provide the direct experience to make this transition.

A technical expert with the FHWA is someone who has developed true expertise in the practice and application of a particular science or field of study. Program knowledge for this person is helpful but not essential to providing valuable technical assistance to the FHWA partners. When the agency targets someone for a technical specialist position at the entry-level, it realizes that this requires years of specialized training with little opportunity for hands-on experience. Therefore, the Task Force recommends that the technical experts be mid-career hires. But some entry-level generalists do choose a specialty area and are very effective because of their program knowledge and specialty technical knowledge. The agency will continue to support their development. Other employees who truly want to become technical experts in a particular discipline become frustrated because they are unable to have any hands-on applications to complement their academic training. And in some cases, becoming too technical early in one's career tends to lead to a very narrow view of FHWA and the transportation industry.

FHWA has a very professional and technically sound reputation among mid-career hires. This was validated in many of the outreach sessions. FHWA should capitalize on this strength by tapping into other organizations/associations (including universities and private industry) to actively recruit experienced employees. Mid-career technical specialists hire into FHWA with a strong working knowledge of their particular technical area. Mid-career hires often bring with them instant credibility and respect because they are already known within the transportation community. Thus they can be productive and valuable to FHWA the day they come into the agency. Mid-career hires will often be hired at the GS-12 level and above.

Since the agency has already developed competency frameworks for many of the technical skills needed to perform core functions, these pre-determined skills could be used in recruiting a more experienced employee. The mid-career hire will need appropriate agency and program orientation and exposure at various levels of the organization to supplement his/her past experiences. This program knowledge and agency culture can be attained over time with no reduction in productivity.

ACTION 1: Hire the most qualified entry-level candidates. For that part of entry level hiring targeted to specific disciplines, where candidates are not available, hire generalists instead.

ACTION 2: Increase the number of entry-level PDP hires.

ACTION 3: Give priority to hiring mid-career qualified professionals from outside of FHWA when suitable expertise does not exist within the agency.

3.A.3. Recruiting Bonuses

Recently the pool of potential candidates for all jobs has been very limited, due to an extremely competitive job market. Many college graduates turn away from federal service because of the burden of college debt or low starting salaries. Many private companies offer incentives as well as premium starting salaries to attract good candidates. The Federal government also uses incentives to attract candidates, though to a much lesser degree. Presently, FHWA rarely uses incentives in hiring entry-level employees. But, a memo signed by the Executive Director on November 9, 2000, stated that recruiting bonuses will become the acceptable practice when hiring highly qualified candidates for the Professional Development Program. Since the agency cannot compete with the private sector on a salary basis, it could not only increase the pool of potential candidates but also actually increase the quality of those candidates by offering incentives not just to PDP candidates but to all potential employees.

These incentives could be offered either as a one-time recruiting or signing bonus or as a student loan repayment program. Officials at the Office of Personnel Management (OPM) are presently finalizing details on the financial assistance program to repay college loans. Currently, OPM specifies that this financial assistance to an employee may not exceed $6,000 in a calendar year with a maximum lifetime payment of $40,000 per employee. This benefit may be provided not only to new recruits but to current employees as well. Although this program outlined by the OPM has been approved by Congress, the agency has the discretion to determine how and if it will administer the program.

As mentioned above, the repayment of college loans is only one of the tools the Task Force recommends be used to recruit and/or retain employees. The other incentive is what private industry refers to as a recruiting/signing bonus. This is a one-time direct payment to the employee for accepting the job offer. Both bonuses (recruiting or college loan repayment) would require a service agreement.

If the agency does not use recruiting bonuses as a means of attracting quality candidates, it may still get candidates that meet the minimum qualifications. However, these candidates may not be the best to lead FHWA into the 21^st century. To attract the high performer to public service, normally to a lower paying position, or even to retain a good employee, FHWA needs to make more liberal use of incentives.

ACTION 4: Increase the use of recruiting incentives, including bonuses or the repayment of college loans to attract potential employees with excellent credentials.

3.A.4. Relocation Bonuses

A number of geographical locations within FHWA present recruiting challenges. Out of a variety of reasons for the difficulty in attracting applicants for positions in these areas, the one most often mentioned is the high cost of living or, to be specific, the high cost of housing. Other factors include: lengthy or difficult commuting, type of positions available (headquarters positions at certain grade levels may not be perceived as desirable as field positions at similar grades), adequacy of the school systems, employment opportunities for spouses, remote locations, harsh climate, etc.

Government employment regulations permit a one-time payment of a relocation bonus to help attract qualified candidates to difficult to fill positions. A bonus of up to 25 percent of base pay is permitted and can be paid upon relocation. The Task Force anticipates that use of relocation bonuses may be a valuable tool for attracting applicants.

The Task Force recommends that all positions initially be advertised without including a relocation bonus. If no suitable candidates apply during the initial advertisement, the position will then be re-advertised with a relocation bonus. Exceptions to re-advertisement (bonuses offered in the initial announcement) are possible for cases where there is an established history of difficulty in filling the positions. This recommendation does not preclude the use of relocation bonuses in cases where the candidate pool could be significantly improved.

ACTION 5: Encourage maximum flexibility in the use of relocation bonuses for onboard employees.

3.A.5. Retention Bonuses

The recommendation for retention bonuses is based on the severe impacts that employee turnover causes in today's economic boom. Employee turnover has a significant effect on FHWA's ability to maintain the expected level of service for current and future customers and, in turn, impacts the delivery of the Federal Highway Program.

Today's tight labor market has forced FHWA into the difficult position of finding people to replace workers who leave the agency for other employment, retire or leave for other reasons. To ensure the retention of employees critical to the agency's mission, a systematic process must be established. For example, many private companies are coping with the talent shortage by making extraordinary commitments to higher pay, increased training, more flexible work schedules, incentive pay, bonus programs, and benefit plans. FHWA has many of the mechanisms in place to retain employees but may need to increase their use. Retention bonuses could be even more effective with the majority of those likely to leave the agency.

In evaluating retention bonuses, the Task Force discussed two scenarios where a retention bonus is appropriate: (1) completion of a specific task (this requires a short-term commitment by the employee and is usually approved by management), or (2) permanent pay differential at the same location because the employee has been offered a higher paying job outside the agency (this requires a long term commitment from the employee and approval from a higher agency level).

Retaining competent, confident, and committed employees means that individual managers must create the kind of professional environment that will make people want to stay in FHWA. For the benefit of the agency, FHWA's management must place a renewed emphasis on meeting the challenge needed to overcome this loss of talented institutional knowledge and expertise.

ACTION 6: Revise current guidance on the payment of "retention bonuses" in order to retain highly skilled employees.

3.A.6. Use of Phased Retirements

Phased retirement permits an employee, otherwise eligible for immediate retirement, to convert to a part time work schedule prior to actual retirement. The agency would be able to draw upon this employee's expertise for mentoring younger employees, working on selected projects where the employee's experience would otherwise be lost to the organization, or serving as a source of "institutional memory" as the agency prepares to backfill the position. Phased retirement is an excellent tool for maintaining expertise and guiding succession planning efforts. An employee in a phased retirement status could use this as a testing ground to ensure that he or she actually wishes to retire, or to otherwise explore interests to be pursued in retirement. Although an employee converting to a part time schedule may take a reduction in pay, converting to a part-time status may have little material impact on an annuity that will eventually be granted upon full retirement.

A variation on this concept is re-employing a retiree, possibly on a part time basis, for the reasons given above. When a retiree is brought on board as a re-employed annuitant (and not a contractor), the salary paid to the individual is reduced by the amount of the annuity received. In either case, financial considerations may influence the individual's decision.

Both scenarios, the move to a part-time position and the re-employment of an annuitant, allow the agency flexibility in managing its workforce, and offer a valuable option to senior employees of the agency wishing to explore retirement or to supplement annuities. Other benefits to the agency may be the earlier notification by the employee of pending retirement, hence allowing for improved succession planning as well as the development of employees, transfer of knowledge (mentor/protégé) opportunities that will be provided by the retiring employee.

From an agency perspective, a phased retirement program of this type could be implemented using currently available personnel authorities. In each case above, Full Time Equivalent (FTE) ceiling would have to be available to employ the individual. The flexible use of "float" or some other strategy would have to be considered in establishing these new plans. The ultimate goal for this program would be for the office to be able to fill behind the position with no inverse impact to the FTE level.

In the past the FHWA occasionally used these phased retirement concepts with favorable results for the agency. Some of the positive aspects include: retention of skills to cover recruitment cycles, the ability to transfer knowledge and mentor younger/newer employees, the potential for a more focused use of expertise from a person devoid of other day-to-day responsibilities and the promotion of a family-friendly environment.

Although phased retirement may not be viewed universally as a broad based retention incentive, the low investment in such a program and the ease with which it could be implemented under existing rules makes it a feasible option to include in an overall recruitment/retention strategy. FHWA will actively pursue the necessary Congressional approval to allow phased retirement with no decrease in annuity.

ACTION 7: Put mechanisms in place to implement phased retirement strategies as soon as this practice is approved by OPM.

3.A.7. Addressing Performance Management and Accountability

FHWA's goal to be a world class organization with a talented, highly skilled and motivated workforce can only be achieved and sustained through the full performance of all its employees. The agency must reinforce its employees' contributions to the overall performance of the organization by recognizing those who make the greatest contribution. This will provide an incentive and will support the agency in reaching its goals through its people. It will also encourage these high performers to stay with the agency. An expansion of the awards program will provide managers with additional opportunities to recognize these accomplishments and hopefully, retain these quality members of their staffs.

ACTION 8: Increase recognition and awards to high-performing employees.

The effective use of human assets requires that managers and supervisors identify those few employees with performance problems - low performers and non-performers - for special attention as part of the agency's increased focus on succession planning and workforce development and retention. The agency leadership understands low/poor performers have a significant impact on office morale. The task Force recommends that managers and supervisors have a performance objective to effectively address low performers.

Research shows that poor performance continues in many places of employment because:

• the manager prefers to avoid conflict
• the employee's strengths in some areas mask weakness in others
• a personal friendship exists between the manager and the employee
• the employee "snows" the manager, and
• the manager is overloaded

Reasons why managers fail to address performance problems include:

• lack of time
• discomfort with the role of disciplinarian
• the process for dealing with poor performance is complex and highly technical
• addressing one problem might bring out more
• they hope the problem will go away if left alone
• upper management may not support their effort
• fear of the situation getting out of hand.

Between 1995 and 1999 FHWA managers placed 41 employees on notice because of performance problems, placed 24 employees on official Performance Improvement Plans, removed three employees for unacceptable performance, and terminated three employees during the probationary period.

Dealing with performance problems is a challenge for all supervisors. Nevertheless, it is a key supervisory responsibility that may impact an office's ability to function at maximum capacity and attain its business results. Therefore, managers must be accountable for identifying and confronting low performance and non-performance. At the same time, the agency must provide managers the skills and support necessary to address the issue, including training on poor performance regulations, counseling, supporting the supervisor in dealing with poor performers, providing objective and defensible performance standards, and simplifying the process to the extent possible under current regulations.

ACTION 9: Increase workforce productivity by addressing low performing employees.

3.A.8. Contract Services

For several years, FHWA has used contract services to accomplish certain parts of the agency mission. A significant portion of FHWA's computer expertise has been supplied contractually, and a substantial portion of the work performed by Research, Development and Technology, the National Highway Institute, and Federal Lands is handled through contracts. In most cases, contract services are made possible through the use of program funds rather than the agency's general operating funds.

The use of contract services is a valuable tool that can supply services quickly or temporarily. It can also provide expertise in highly technical and/or rapidly changing fields, such as information technology. It is an excellent source for services in areas where knowledge of FHWA programs is not needed such as clerical, support, purely technical, etc.

For these reasons, the agency should carefully evaluate the utilization of contract services in workforce planning.

3.B.1. General Issues

The impact of change from internal and external sources is constant and continues to affect the way FHWA does business with its partners, stakeholders, and customers. The agency must understand the learning and development process that assists employees in achieving the agency's mission and performance goals. All FHWA employees must assume an active role in ensuring that the agency has the knowledge, skills and abilities it needs to be a world leader in the transportation industry.

The goal of professional development is to enhance the capabilities of individual employees so that they can effectively accomplish the FHWA mission. Below are general issues relating to professional development, and the actions to address these issues. This is followed by sections that address more specific needs and initiatives.

The Responsibility for Professional Development

Professional Development is a shared responsibility of the employee, the agency and its managers. It is a major investment. The employee invests time and effort while the agency supports the individual with an environment rich in resources, time, and a clear framework for development. Professional Development helps achieve the unique balance between the needs of the organization and the professional desires of the individual employee.

Employees have the predominate responsibility for their own development. They need to look at the skills they possess, areas they feel they need growth to meet the requirements of their position, and developmental activities to prepare them for the future. Although supervisors can council employees concerning areas where they believe more growth is needed and possible, employees must decide on their own that learning is a priority in their lives and their positions. They must be open and willing to commit themselves to continuous learning.

Supervisors also play a key role in guiding and encouraging their employees toward developmental opportunities. They need to help employees see that their talents best meet the organization's needs and opportunities within their current positions to keep growing. Supervisors must provide a realistic view of their employees' ultimate potential, and their strengths and weaknesses. To stay abreast of their employees' development, supervisors need to meet with their employees at least twice a year to discuss short and long-term goals, and to evaluate upcoming opportunities. Finally, supervisors are responsible for nominating individuals for developmental activities and evaluating the effectiveness of these activities. These roles of the supervisor require a great deal of sensitivity and focus. The development of agency employees is linked to every supervisory responsibility from performance evaluation to workforce planning.

Integration of Development Planning with the Performance Plan and Workforce Planning

The development of FHWA's workforce cannot be left to chance and requires forethought and planning. Areas of need must be identified and prioritized, and resources directed towards those needs that are the greatest.

As noted in Chapter 1, the agency's Strategic and Performance Plan must set the framework from which all workforce planning evolves. The workforce plan must ensure that the FHWA has the human capital available to meet the agency's strategic goals and objectives. One element of Workforce Planning is professional development -- assuring that the workforce has the necessary skills and abilities to meet the agency needs. Similarly, planning for professional development needs at the national, unit or individual level, provides a vehicle to reach the objectives in the workforce plan. For example, if the workforce plan identifies an expected shortage of generalists, this need could be met by a combination of strategies (e.g., outside hires, internal training, reallocation of resources). To the extent that training and development is needed, professional development planning must respond. For this reason, planning for development and growth of the agency's employees must be tightly linked to Workforce Planning on an agency-wide basis and in each unit.

ACTION 10: Integrate the Performance Plan and Workforce Plans with the Training and Development Plans.

The desire is to address these needs in an integrated fashion, not to have separate plans. Units should formulate an integrated plan which not only lays out their performance objectives, but how they plan to use their workforce to address those needs, and identify the training requirements to achieve those needs. Similarly, at the national level, there should be an integration to assure that appropriate resources are directed at meeting these needs. At an individual level, the process should consider how one's development and career objectives complement his or her performance objectives.

One mechanism available for employees' professional growth is the Individual Development Plan (IDP). This is a tool for the employee and for the agency. For employees, it provides a framework to structure their thoughts on what development they need and how it can be secured. For the agency, the supervisor, and the training coordinator it provides a planning tool for budgeting and programming. And, most importantly, it assures alignment between the agency's and the employee's objectives

In the past, the agency has made a number of attempts to promote the use of IDPs. Some managers have required them (e.g., the Resource Center Managers), while others have not. The form of the IDP has been flexible. With the release of the Learning and Development System (LADS), the agency now has an updated template for developing IDPs in a standard format that can be easily reviewed and shared with others. In addition, FHWA's investment in training has increased substantially, and there is a growing recognition (as referenced throughout this report) that the professional growth of our employees is critical to our long-term success.

ACTION 11: Require Individual Development Plans (IDPs) for all employees.

Tools Available for Building the Required Knowledge, Skills and Abilities

Professional development is comprehensive and includes all activities that positively influence employee performance such as training, formal education, varied work experiences and situations, rotational assignments, professional association attendance at meetings and conferences. These various tools address three areas:

• Technical Skills - Skills needed to carry out the requirements of a position or task. Training in these areas has typically come from NHI courses, although national technical meetings, academic study, on-the-job training, and other activities have also provided strong support.
• Professional Skills - Skills most associated with one's ability to perform in any organization. They include communication, writing, presentation, and facilitation. Training in these areas has been available both through FHWA's own training programs as well as training from outside vendors. There is often a belief that many of these skills are "hired" rather than developed; however, this has been hard to support. Many FHWA employees have effectively developed professional skills through their on-the-job experiences.
• Business Skills - Skills unique to working within FHWA. They apply to Federal-aid procedures, processes, requirements, and laws. They also help employees understand how to do business. There is very little formal training available in this area where most training is on-the-job.

In the following pages, these tools will be discussed in the context of the agency's training needs. There are many different ways in which these skills can be developed and FHWA needs to develop a strategy that makes the most use of them .

Professional Licensing and Certification

One of FHWA's core values is professionalism, and one way of reflecting that value is by being recognized within one's profession, whether it is through licensing, certification, or some other recognition. This applies to all fields where such recognition is possible, including planning, right-of-way, and secretarial, engineering and financial positions. Those who gain professional registration demonstrate professional competency and a commitment to the profession and its related ethics. Further, it enhances FHWA's credibility with its customers and partners. Even though this is of value to both FHWA and its employees, in the past, the agency has not uniformly encouraged, supported or recognized those who have pursued licensing or certification. This should change.

Although Federal law prohibits the agency from paying for individual license fees, there are other related expenses that can be paid by the agency. The agency needs to make managers and employees more aware of these allowances, and promote their use when they will benefit the employee and the agency. Further, offices should recognize those who have made the personal commitment required to become licensed or certified. This recognition might take the form of a personal letter from the Administrator, or a plaque given to the employee once he or she becomes registered. In addition, the agency should be able to keep track of these recognized individuals in its own personnel systems. Currently, the existing database within the Office of Human Resources (HR) does not have information regarding employee professional registration. This information should be added.

ACTION 12: Recognize employees who have become licensed, certified, or credentialed.

Establishing Better Performance Measures to Evaluate Professional Development

Ultimately, FHWA needs to be able to evaluate the results of its efforts to train and develop the workforce. This is a challenge in both the public and private sector:

• How does FHWA determine the return on its training investment?
• Where can the agency best invest its training dollars to ensure the highest payoff?
• How does the agency measure the effectiveness of changes in its programs?

The most fundamental measures relating to the "output" of the training investment include dollars invested in training, number of courses/training hours taken, and number of participants in courses. Although these measures provide a sense of the level of activity in training and development, they do not provide an adequate measure of how that training affected the employee or the agency. More appropriate are measures that seek to define the effectiveness of the developmental activity.

From the standpoint of the employee and the manager, these are the kinds of questions that

should be asked both before training is approved and after it is taken:

• To what extent is the training or developmental assignment likely to increase knowledge, improve skills, and/or change attitudes of the employee?
• To what extent should job behavior and performance change as a result of this training and development?
• How will this investment in development help the agency achieve its goals? (Quality, safety, output, return-on-investment )?

The Office of Professional Development should continue to pilot efforts to develop training evaluation tools that can show "evidence of achievement" if skills development is taking place and being used on the job, and to continually improve training based on feedback.

3.B.2. Development of Technical Expertise within FHWA

Advancing the-state-of-the-art in the highway sector of the transportation community is one of the core functions of FHWA, and using the technical expertise of the employees to accomplish this function is thus one of the agency's core activities. It is imperative that the technical experts have a high level of knowledge, skills and abilities, wherever they are located in the organization. In the past, FHWA hired most of its employees at the entry level and provided them the necessary training and experience. Some of these employees eventually became recognized technical experts in a particular field. Many employees have spent time developing expertise in a technical field, but later left the technical field to pursue positions in management.

The importance of technical expertise to the FHWA mission and activities requires being proactive in acquiring technical expertise, and nurturing and enhancing the expertise that exists within the organization.

Developing Technical Expertise of Entry Level Hires

FHWA leadership provides input to the Professional Development Program (PDP) management team on the specific number of developmental positions for which to advertise, including both generalists and technical specialists. In addition, the PDP management team works with the program offices and PDP discipline teams to coordinate and make recommendations on future needs of the agency.

An entry-level hire gains apprentice experience while on the PDP. The primary objective is to develop skills so that the employee can fully function at the journey level at the end of his/her time in the PDP. PDP participants receive substantial hands-on and on-the-job training, tailored by the discipline of the position they will seek upon graduation from the PDP. Graduates of the PDP may have enhanced technical expertise in one or more technical disciplines compared to their peers, but they are not typically technical experts. Recognition as a technical expert in a

particular discipline may be accomplished later, if the employee remains in the discipline and continues to pursue professional development activities within the discipline.

Developing Technical Expertise of Mid-Career Hires

Since the agency has already developed competency frameworks for many of the technical skills needed to perform its core functions, these pre-determined skills may be used in recruiting a more experienced employee. The mid-career hire will need appropriate agency and program orientation and exposure at various levels of the organization to supplement his/her past experiences. This exposure can be accomplished, in part, by participation in the orientation session of the PDP. Once the mid-career individual's work experience is evaluated, additional opportunities to fine tune skills can be provided through continuing education courses, developmental assignments, conferences and workshops.

Tools for Developing Technical Expertise in Existing Staff

A wide variety of training and learning tools are available to help existing staff develop and enhance technical expertise. Selecting the most appropriate tool requires a clear understanding of the employee's role in the agency (where he/she is, where he/she hopes to be, and where he/she fits into the future needs of their office and the agency as a whole), the level of technical competencies - awareness or specialized - needed to carry out the requirements of the job, and the most appropriate method to acquire necessary knowledge, skills and abilities.

• Competency Frameworks / Technical Career Tracks - Competency frameworks identify the competencies needed for each discipline area, the roles associated with the discipline, level of proficiency, and suggested activities that will aid in the development of the competency. The competency frameworks were designed as a resource for supervisors and employees to use in planning and managing skills and professional development. FHWA's Technical Career Track establishes grade level criteria and abbreviated competencies for technical professionals in the GS-13 through GS-15 levels in 15 disciplines. The grade level criteria describe the nature and level of expertise FHWA expects at each of the described grades within a discipline.

  As previously noted, one of the best ways for an employee to be recognized within his or her discipline is to acquire a professional license, registration or certification in his or her field. This recognition is a reflection of the expertise of the employee, as well as his or her desire to be recognized within his or her profession. The Technical Career Track has been established as a means to reward employees who have shown this kind of commitment to their fields.

ACTION 13: Where appropriate, candidates for advancement in Technical Career Tracks who have professional registration and/or certification will be given higher consideration than those without.

• Self-Study/On-the-Job (OJT) Work Assignments - Self-study consists of a self-paced review of existing technical resource material, such as textbooks, handbooks, videotapes, and research reports. OJT work assignments are designed to increase an employee's technical proficiency in a given subject area. An example would be assigning an employee to perform a traffic simulation analysis of a proposed transportation improvement project in order to learn more about how to use the simulation model.

• Conferences and Workshops - These are technically oriented conferences and workshops sponsored by FHWA, other Federal, State or local agencies, professional societies, or universities. They may be recurring in nature (e.g., Transportation Research Board (TRB) Annual Meeting) or one-time offerings. The purpose of attending these conferences is to gather technical information from speakers, papers, workshops, etc., and to interact with other technical specialists.

• Academic Study Program - This program is designed to improve individual technical and professional expertise as well as contribute to achieving the agency's mission, performance goals, and strategic skills. The purpose of the program is to develop high levels of leadership and technical expertise in priority areas identified by FHWA. Participants obtain skills in these priority areas either through full­time or part­time study at colleges or universities.

• Rotational Assignments - Rotational assignments provide opportunities for employees to gain career­broadening experiences that will enhance their knowledge, skills and abilities and provide insight into the overall FHWA program. Through this program participants are able to interact with other DOT program areas and establish new contacts outside FHWA. Rotational assignments should be project oriented, last one to four months in duration, and be consistent with the objectives of the FHWA National Strategic Plan and the Skills Needs Assessment.

• Developmental Assignments - These are short to medium term, one to six months, developmental assignments that are external to FHWA. Developmental assignments with state or local transportation agencies are designed to develop specific hands-on skills and increase an employee's technical proficiency in a given subject area. An example would be an assignment with a State highway agency district office to help develop and implement an effective incident management program.

ACTION 14: Use rotational and developmental assignments as professional developmental tools. Allocate funds for these opportunities.

• Professional Association Activities - This includes membership and participation in affiliated professional organizations such as the Institute of Transportation Engineers, American Society of Civil Engineers, American Association of State Highway and

  Transportation Officials, etc. Participation in professional association activities provides an opportunity to network and keep current with others in a particular technical field.

• NHI and other short courses, including distance learning - These are formal training courses, technical seminars and short courses on technical topics developed and/or supported by USDOT either through NHI or other training institutions. This includes traditional classroom style university courses, computer-based training, and web-based training.

Use of the Communities of Practice (CoP) Concept to Develop Ownership of Technical Expertise Development Issues by Discipline

In the knowledge management arena, communities of practice are defined as networks of people with mutual interests, goals or expertise working together to exchange ideas and information, share and collaborate on projects, speed technology transfer, identify best practices, and advance the state-of-the-art in their fields. Several communities of practice have been established and are active within FHWA, some for individual technical areas (e.g., air quality, realty), others for individual program areas (e.g., borders and corridors, TCSP).

In addition to sharing knowledge and working together, CoPs could take responsibility for the overall technical health of the community. An individual CoP might be concerned not only with sharing information between members, but also about the level of expertise and developmental needs of individual members of the community. Raising the level of expertise and satisfying the developmental needs of individual members of the community of practice will serve to make the entire community stronger and more effective.

In order to effectively use this concept to enhance the level of technical expertise in a particular functional area, the community of practice might need to engage in the following activities:

• Know where individual members are located and how they function within their local organizations. Actively help in the process of recruiting entry-level members and replacing members who leave the community.
• Serve as coaches for the PDP and mentors for less experienced individual members of the community.
• Maintain a good sense of the educational background, experience, and training required to be a contributing member of the community and the additional requirements to be considered an elder. Recommend new professional development activities where gaps exist between what is available and what is needed (e.g., a new technical training course). Actively participate to help close gaps that exist.
• Be generally aware of the level of expertise of individual members.
• Support professional development needs of individual members (e.g., share information on technical training opportunities, help arrange for rotational assignments).

Carrying out these activities implies a great deal of communication among individual members of the community. Individual communities of practice should want to take on these responsibilities for the concept to be effective. Assigning these responsibilities to what is at its core a volunteer community will not work. However, where communities of practice take on the responsibilities outlined above, the sense of ownership created should ensure a higher degree of success than if the responsibility for development of technical expertise for individual employees is solely the responsibility of the employee and his or her supervisor.

ACTION 15: Support and fund the formation and use of communities of practice.

ACTION 16: Evaluate professional development activities conducted by communities of practice (e.g., development of core competencies) for possible broader use.

3.B.3. Developing FHWA Generalists and Program Managers

FHWA generalists/program specialists comprise 57 percent of the workforce in support of FHWA program activities, and approximately half of these employees are located in Division Offices. Federally funded highway programs are generally complex and involve extensive coordination in a wide-ranging array of transportation disciplines, subject areas, laws and regulations. The FHWA generalist is involved in managing program funds, implementing improvements in compliance with all Federal and State environmental requirements including coordination with necessary outside entities, realty issues, financing, planning issues, public involvement, civil rights, and an extensive range of transportation engineering matters. As noted earlier, they can be defined as any FHWA employee serving in a position regardless of location or title in which he or she works in a capacity supporting the overall improvement of public transportation through the administration of Federally funded programs.

Although these positions share certain commonalities, they also reflect a broad diversity of activities. The position may or may not have supervisory (or team leader) responsibilities. The grade level may range from GS-7 (training program) to GS-15 (Headquarters management). Although many generalists are engineers working in line or mid-level management positions, there are many other positions which also deal with a variety of issues associated with Federally funded transportation programs. Jobs that may be considered "generalists/program managers" can include area engineer, transportation engineer, environmental specialist, financial specialist, district engineer, field operations engineer, ROW specialist, engineering coordinator, senior Federal-aid engineer, strategic planning/quality coordinator, etc.

Considering all of these factors, the developmental needs of generalists and program managers warrant special attention.

Professional Development of the FHWA Generalists and Program Managers

Talented and skilled generalists are critical to FHWA achieving its mission and accomplishing its strategic objectives. It is important to recruit, develop and retain such employees. Historically, FHWA benefited from hiring college graduates and using the agency's training program(s) to develop these employees to a journey level. In fact, many of the agency's managers and leaders eventually emerged from these programs. The question is whether FHWA can depend solely on this approach into the future. Although the preferred method of recruitment for generalists continues to be recent college graduates, today's employment trends may necessitate recruiting more mid-career hires for these positions.

From a professional development standpoint, the agency must be even more flexible in the future. For the recent college graduates, the two-year PDP will continue to provide an excellent introduction to the agency, its opportunities, and the requirements of its journey level positions. For mid-career hires, the need may exist to place these new employees in a modified version of the PDP to orient them to FHWA as an agency and to the FHWA programs. Regardless, of how an employee enters the PDP, it is important that they leave that program well grounded in the basic skill areas needed to administer FHWA programs.

The agency no longer has sufficient personnel ceiling to allow new employees to serve in apprentice positions (usually GS-11 level) upon exiting the PDP. The generalist employee emerging from the training program must be ready to assume responsibility immediately upon leaving the two-year program. During 1999 and 2000, the PDP underwent extensive updating to address the employee development needs of today. The current program, with a maximum length of 24 months, is directed at efficiently bringing the new employee up to journey level status as quickly as possible.

Upon graduation from the PDP, professional development should continue with relevant technical short courses and management related programs to develop and improve management, leadership, communication, and interpersonal skills. Due to the extensive coordination associated with the administration of FHWA programs, the successful generalist must also have excellent customer service, interpersonal, and communications skills. Thus training in these areas is important. For particularly promising generalists, graduate study in the field of Public Administration or other general administration program is desirable (see Action 25). Similarly, developmental assignments may be valuable and appropriate in certain cases.

One area in which these developmental opportunities would be most appropriate is between the Federal Lands and the Federal-aid programs. Each organizational unit has a great deal to offer from both a technical and program standpoint; however, movement between the two has been limited. For some new hires, the Federal Lands Division provides an excellent opportunity to strengthen their abilities to apply theory in application. Similarly, Federal-aid offers opportunities to develop both technical and program management skills while working with an extremely broad array of customers and partners.

ACTION 17: Encourage the movement of personnel between Federal Lands and Federal-aid offices to enhance professional development.

3.B.4. Development of Leadership in FHWA

One of the characteristics at the core of FHWA's future is leadership. Whether it manifests itself in visionary leadership, proactive teams, or simply individual staff members helping create new communities of practice, leadership has and will continue to play an important role in the agency. The development of leadership skills and talents in the workforce becomes even more important as the agency continues to face a growing program and more turnover in the workforce.

The need for the Agency to think more broadly about leadership was raised often in the outreach sessions. Although there is clearly a need for this kind of focus in developing executive positions, there is also a need to focus on developing leadership skills in all of the staff. While there currently are a few courses offered for non-supervisors, leadership training is generally not emphasized in these positions. Rather, it is reserved for people moving into supervisory or team leader positions. Even for these people, much of the emphasis on leadership development is through on-the-job experience.

To reach the agency's strategic goals and assure that FHWA has the workforce needed for the future, this needs to change. Leadership training must be more available and encouraged at all levels of the organization. This is not a change that can be addressed through professional development or training activities alone. Managers must create an environment that encourages their staffs to exercise leadership, initiative and creativity. Giving people opportunities to apply what they have learned must follow the provision of leadership training.

ACTION 18: Expand the development of leadership, business and professional skills to all levels of the organization including non-supervisory positions.

Developing the Next Generation of Executives

Focusing on developing these skills throughout the agency will help build a foundation of leadership at all levels of the organization. From this base, a cadre of people must emerge, who will continue to develop their skills and abilities, and eventually apply them as agency executives. Although only about four percent of our current workforce occupies these positions, they are critical to the agency's future.

Traditionally, FHWA has not had any extensive or formal program to train its future leaders early in their careers. Many of the existing agency executives received little or no management or leadership training prior to reaching the GS-14 level, when they were expected to be already applying these skills. Focusing on building leadership skills earlier would benefit both the agency and the employees. Further, today's leaders need a new skill set that enables them to work in a dynamic environment with a diverse and transient workforce. Finally, although there are exceptions, a large number of FHWA's leadership (GS-15 and above) did not achieve their positions until late in their careers. While it is desirable for agency leaders to be experienced and thoroughly knowledgeable about the program, it is equally desirable to have GS-15 professionals who can enter the Senior Executive Service earlier in their careers, thus ensuring significant contributions at the executive level for many years.

FHWA needs to take positive steps to train potential leaders earlier in their careers, and provide them with the skills they will need to lead the agency in the coming decades. The following outlines recommendations to do this:

• Core Competencies - FHWA's effort to develop future leaders and executives should be built around competencies that FHWA believes are critical to its leadership. The foundation of these should be the SES Core Competencies, augmented as necessary to meet any specific FHWA needs. Even at the GS-12 level, the agency should be focusing on these competencies as the framework for training and other developmental assignments.

• Nurturing Potential Leaders - Throughout the agency, there are highly talented young professionals at the GS-12/13 levels with executive potential who should be trained in management and leadership principles. At this point in their careers, they are exploring whether they want to pursue careers as generalists, technical specialists, executives or as part of the administrative support team. Managers are beginning to assess employees' potentials in each of these fields.

At the GS-12/13 levels, FHWA should provide opportunities for employees to explore their interests as leaders. The emphasis should be on nurturing their interests versus selecting them for a particular leadership program. Identification of this interest should be based on an expression by the employee as well as support from his/her supervisor. The Task Force felt that the emphasis at this early stage of one's career should be on inclusion, i.e., allowing these potential leaders to explore their interests and begin developing a clearer sense of their ultimate career goals. Such a focus should not be limited to only junior employees. Some employees may not choose to pursue leadership positions until later in their careers. There should be no preference given for any particular discipline. The same encouragement should be given to generalists, technical specialists, engineers, planners, realty specialists, finance specialists, etc.

Expanded Developmental Opportunities

To meet the challenges of developing the agency's future leaders, FHWA's opportunities for leadership development should be expanded and deepened -- expanded in the sense that it would provide leadership growth opportunities for a greater number of GS-12, 13 and 14 employees, and deepened to the provide a significantly broader range of opportunities for candidates at all grade levels and in all fields.

Some of the ideas for expanding these opportunities include:

• Creating a Community of Practice for those interested in developing their potential as leaders. As with other communities of practice, people should be able to self-designate themselves to this group and become active participants. The community should not only encourage dialogue in management and leadership issues, but also serve as a clearinghouse for resources (e.g., books, courses, tapes) on leadership.
• Developing a basic core curriculum based on the core competencies noted above that could serve as a tool for guiding those interested in this area.
• Developing new leadership programs to expand the opportunities for employees, particularly at the GS-12 and 13 levels. Participation in these programs or courses could be far less restrictive than many of the current Executive leadership programs.
• Expanding FHWA's participation in current leadership programs which are successful. In many cases this means increasing the number of candidates sent to such programs. In those cases where agency participation in these programs is restricted not by agency funding, but by available openings allocated by the sponsor, FHWA should try to renegotiate its allotment. In addition, FHWA should continue to explore other existing leadership programs that would serve its interest, particularly for employees at the GS-12/13/14 levels.
• Expanding the Academic Study Program to include greater consideration of those seeking graduate degrees in management and leadership areas. The criteria and selection process should be modified to reflect this, as should the agency's allocation to support these programs.
• Providing a source of funds to support such programs. Currently many of the executive level courses and leadership programs are funded from training money that is held centrally. For leadership opportunities at lower grades, such programs may be funded from resources distributed at the units. Either decision may effect future funding distribution decisions.

Expectations

Those who choose to pursue Leadership and Executive positions need to understand early in their careers the expectations associated with those jobs. Two specific expectations that should be shared are:

• Mobility - Executives (as defined earlier in this report) need to have a broad understanding of the agency, its programs, and its people, and should have a diversity of experience covering areas such as program delivery, policy development, budget, and legislation. Since some of these activities are performed primarily in the Division Offices and others performed in Headquarters, the candidate aspiring to an executive position should recognize the benefits which geographical mobility provides. A diversity of geographical experience can be gained not only from permanent assignments (i.e., laterals or merit promotion actions), but also through details and rotational assignments. Again, the emphasis and the expectation should focus on experiences versus simply a variety of locations.

• Evaluation - In the coming year, all SES leaders will be evaluated using a balanced scorecard approach that will assess competencies not only in achieving results but also in leading people, customer satisfaction, and coalition building. Employees aspiring to an executive position in the future (SES or otherwise), should seek such feedback from their supervisors, peers and staffs to assess their skills and talents in these areas which are also reflected in the core competencies. Areas which need improvement should be addressed in the employees' own individual growth plans.

Those in key executive positions identified earlier in this report were the 52 Division Administrators who serve as FHWA's senior officials at the State level and as the spokespersons for the agency in those locations. They require a broad understanding of the agency, its policies, its people, and its programs. They represent a tremendous opportunity for further developing the executive competencies of our leaders. Therefore, the Task Force recommends that one of the objectives of the FHWA's leadership development activities be to assure that there is a sufficient pool of candidates within the agency who are qualified and prepared to fill Division Administrator positions that become vacant.

ACTION 19: Expand and provide earlier leadership development opportunities to shape future executives.

3.B.5. Secretary/Administrative Assistant Professional Development

One of the administrative support positions most challenging to adapt to the future is what has historically been referred to as the "secretary." In the past 15 years, no staff role has changed more than the secretary's. Fifteen years ago, few office workers had their own computers. Now everyone has a computer at his/her desk where the majority of the work is performed. The electronic age has caused the secretary's role in the agency to change. In addition to the changes brought about by the computer and its many applications, the changing role of the secretary also stems from basic changes in the structure of offices and the nature of the work. In some areas these changes have been conscious, but in others, the secretary has had to adapt to a new role.

To adapt to these changes, the functions of these positions have been redefined to better match both the needs of the organization as well as the capabilities of those entering these positions. This is also occurring throughout industry. In most cases, the secretary's job has changed into more of an office assistant. Secretaries have become an integral part of the manager's team, often training their bosses and their offices in areas such as word processing, electronic communications, web research, and desktop publishing. By working through others to get things done, they often manage the processes of individuals who outrank them. In the manager's absence, they may even be asked to speak to others as the manager's voice. They are integral to the operation of the office.

Professional Development Needs of the Secretary/Office Assistant - The following table can be used as an avenue to move from the present roles into the future.

Communities of Practice are also emerging and should be developed for people in these positions. The CoP should focus on the professional development of these individuals and provide them with an opportunity to share best practices, ideas, new business processes, and suggestions.

ACTION 20: Encourage a community of practice for secretarial/administrative assistant positions, and identify champions to assure its effective operation.

Career Paths of Secretary/Administrative Assistant Positions

Although there are clearly important issues relating to one's development within these positions, a frequently asked question is, "Where can I go from here?" To stay strictly within a secretary/office assistant position series, one might be able to move to a GS-10 position in Headquarters, or up to a GS-8 level in the field. However, even these opportunities are very limited. Therefore, the question for those seeking advancement is what options do they have?

There are two options within the agency. The first is to stay within the secretarial/office assistant position series. In this series, managers can work to expand the functions and responsibilities of these positions, and provide the opportunity for commensurately higher grades. This must be balanced against the office's needs for the higher graded work and the need to have someone continue to support the other functions of the office.

The second option is to move beyond that series into other positions such as a Transportation or Program Assistant. Within Headquarters, this has historically been possible, particularly for secretaries who have moved into offices where they have had an interest, and gradually developed skills in that area. This has been far more challenging in the field, particularly in the Division Offices, where there may only be one secretary in the office with no one to assume the duties if he/she were to move into another position, even if the incumbent is capable of advancing into another field.

One of the tools presented later in this report is a mechanism through which managers may be able to seek additional ceiling where such short-term needs exist (see Action 33). It is recommended that managers look at the flexibilities which they may have to meet these challenges and opportunities as they arise, and continue to use professional developmental opportunities as a means to help employees grow to their full potential.

3.B.6. Building A More Robust Program of Training and Development

FHWA has opportunities to create stronger training and development programs. Some opportunities involve long-standing concerns. Other concerns have emerged more recently because of current events, such as the reorganization and hiring shortages. To have a fully trained and developed workforce, the agency must address these concerns, particularly in the areas of providing time for long-term assignments, resources, and capacity.

• Long-term Assignments

  As noted earlier in this section, the skills required by FHWA staff, such as those in leadership and technical positions, cannot easily be acquired through short courses or on-the-job experience. For this reason a number of developmental tools exist which would be longer in duration and often require working in another location. These might include rotational assignments, technical development assignments with outside organizations, academic study, or simply details to other offices. All of these clearly pose challenges to employees, their families, and their current offices.

  One of the greatest challenges associated with these types of assignments has been the fact that if an employee takes such an assignment, it leaves a hole in the office while he or she is away. Even in the short term (e.g., taking a one or two week course), employees and their supervisors feel the impacts. The longer the absence, the greater the impact. For longer-term needs, this report presents a vehicle intended to help managers address these needs (see Action 33), regardless of the source of the need. The following section on Quality of Life also proposes actions that would provide employees with better means to stay connected to their families during such assignments.

  Although there are immediate impacts associated with these vacancies, they also present opportunities for others to grow and develop while detailed to "cover" those responsibilities. Often it is the supervisor that has tried to use these vacancies, but the agency, as a whole, needs to look at them more broadly.

ACTION 21: Use vacancies in key positions as opportunities for rotational or developmental assignments.

• Resources

  A second factor that can affect the agency's ability to have a skilled and prepared workforce is the commitment of resources to training and development. In the past two years, the funds invested in professional development have grown substantially, as shown on the following chart. This chart reflects the performance objective that was set by the agency to invest at least two percent of benefits and salaries in training in FY 2000, and three percent in FY2001.

ACTION 22: Continue to invest at least three percent of salaries and benefits in training.

Staffing is the second resource needed to make training successful. Training is very decentralized within the agency. Although the Office of Human Resources and the Office of Professional Development maintain a staff and contractors to administer FHWA's internal and external training programs, much of the support for training, in particular training delivery, comes from other agency employees.

There are many advantages both to our internal and external customers in having FHWA staff deliver courses. Teaching provides a means to develop expertise, a network of contacts, presentation skills, and knowledge of practices used around the country. From an agency standpoint, it also reduces the direct costs to the training budget, although there is a very real cost associated with the time which the employee must spend on travel away from his/her job as well as the time to prepare for the sessions. There needs to be a balance. The following factors should be considered:

With all of this considered, the FHWA should still make a substantial commitment to using its own staff for instructors.

ACTION 23: Increase the use of FHWA employees as instructors for NHI and other training.

• Capacity

  A final consideration is the capacity of the agency to deliver challenging, effective, and needed training and developmental opportunities to our employees. This relates to the preceding points (i.e., commitment of time and resources), and to providing our employees with every opportunity to grow.

  A major issue relates to the training sources that are provided in the agency, and the capacity to deliver in each of those. The sources available can be divided into two categories: those training and developmental opportunities which are provided centrally, and those which are available locally.

  At a central level, FHWA provides training (and dedicated funding) in a number of areas including executive courses, academic study, and long-term developmental assignments and courses. Also courses developed centrally have been delivered or made available throughout the agency (e.g., diversity, LADS, and facilitation training). The NHI courses have also been made available as centrally delivered resources, although offices use their local training resources to pay travel to send staff to these courses. These courses are FHWA specific and address our needs particularly well.

  At a local level, especially in the field, there are many local sources of training available; however, almost all of these are not FHWA or transportation specific. Many provide general "professional skills" such as computer or information technology (IT) training, general team or supervisory training, and office practices. Local sources of technical training are also available. The sources can range from colleges to private companies. One of the challenges that many offices face is knowing about these courses and determining their availability.

  There is a strong need for an expansion of the courses and developmental opportunities offered centrally. To meet this need, the agency must dedicate not only funding but staff resources to support the development and delivery of these courses and other training opportunities.

ACTION 24: Expand the capacity to deliver training developed specifically for FHWA employees.

In part, this need could also be met through expanded use of distance learning and web-based training. The efforts to expand the use of these learning technologies should be vigorously pursued where appropriate.

It is clear the agency must also depend on outside sources of training to meet its needs.

ACTION 25: Take greater advantage of local training opportunities.

As noted throughout this section of Chapter 3, one of the best means to develop FHWA staff is the Academic Study Program. This program has proven to be an excellent means to develop agency employees, refine their skills, and bring them to a new level of knowledge. Recently, the program has been focused almost exclusively on developing technical expertise. In the past it has been used to support employees in programs relating to business, public administration, and other fields. Given the breadth of needs in the agency to develop leaders, generalists, and administrators, such an expansion would be beneficial.

ACTION 26: Expand the Academic Study Program to include non-technical programs (e.g., leadership, generalists, administrative). Pursue legislation to allow the agency to fund advanced degrees for employees.

This section discusses the future workforce requirements for "flexibilities" which improve the ability of employees to accomplish the agency's business and fulfill their personal commitments. In general, managers and supervisors should consider the introduction of these flexibilities to the work environment, keeping in mind that the needs of the agency must always be of paramount importance.

3.C.1. Meshing Workforce Culture with Business

Employee's attitudes have changed over the past 20 years. People entering the employment pool expect that they will have multiple careers, sufficient opportunities for career advancement, and will no longer have to relocate in order to further their careers. They anticipate cycles of time when, as long as they remain technically current, they can take advantage of part time employment to meet their immediate needs in balancing career and personal life. The following issues were identified by employees participating in the Task Force outreach sessions:

• employees don't want to have to move to advance,
• employees would like more flexibility in the work schedule for "family time" including job sharing,
• employees would like to take advantage of today's technology and work through virtual offices and telecommuting arrangements.

FHWA has also seen evidence of these issues in its recruiting and hiring activities. FHWA will find individuals of different abilities to fill the same position based on its geographical location. When an engineering position was advertised as two part-time permanent positions rather than one full-time position the number and the qualifications of the applicants increased. FHWA has approved virtual office arrangements on a limited, case-by-case basis when a valued employee needed flexibility to manage his or her professional and personal commitments.

These employee pool dynamics mean that FHWA will need to use new mechanisms to develop a broad variety of experiences to take advantage of opportunities to use quality employees in part time permanent (career) positions as well in full time permanent (career) positions. FHWA must proactively provide challenges to all quality employees to keep them interested in working for FHWA and for FHWA to benefit from their abilities beyond their specific daily responsibilities.

The goal of FHWA is to have a talented, skilled, motivated workforce to advance the FHWA vision, mission, and goals. There must always be clear delineation of the agency's mission and business goals and complete understanding of how each position contributes to the agency's accomplishing its mission and achieving its goals. The agency needs a work environment that allows employees the ability to succeed in their careers and their personal lives. To accomplish the last item, FHWA needs to accommodate the needs of the employee where possible without negatively impacting the agency's ability to accomplish its mission and goals.

In order for the agency to recruit and retain the highest quality employees in the future, the agency will need to increase the use of approved flexibilities. It should be noted that FHWA is currently using most of these flexibilities to some degree. Employees are "task" telecommuting, using official telecommute work centers, working out of virtual offices, and working in other than full time positions. With the actions to be taken as a result of this Task Force, the agency will be endorsing and implementing processes to expand the use of these flexibilities. In considering each opportunity for either a change in work location or flexibility in work hours, the employee and the supervisor must ensure that the proposed work processes satisfy all aspects of an employee's responsibilities and that there are defined, specific performance objectives. Each employee's responsibilities in FHWA include not only the efficient and effective daily business necessary to fulfill the responsibilities outlined in the position description, but also being an integrated member of the office and agency workforce and continually working to improve all of the agency processes. The Task Force conducted a survey of existing employees and supervisors involved in managing virtual office arrangements. The summary of this survey is included in Appendix E.

It is critical that FHWA managers and employees understand the intent of these flexibilities and that these flexibilities be implemented to achieve both the agency's mission and meet employees' personal needs. Figure 3-1 provides a checklist of items for the employee and supervisor to consider in implementing and evaluating the flexibilities. It is also critical that the supervisor and employee recognize the mutual responsibility to effectively communicate and periodically review the agreement to evaluate whether (1) the business processes/responsibilities of that position have changed and impact the agreement, and (2) evaluate how well the process is working from both the employee's and the agency's perspective.

ACTION 27: Make managers more aware and knowledgeable of existing flexibilities in the human resource area. Help them make better decisions on ways to enhance employees' quality of life, as well as improve hiring, development and retention of quality staff.

3.C.2. Flexibilities

The flexibilities approved for FHWA's use in recruiting and retaining the highest quality employees are listed below. The discussion identifies when the change involves expanding the use of a flexibility and/or when the change involves a change to the agency policy. Supervisors are encouraged to use these flexibilities to assist the employee in meeting the agency's performance expectations

• Alternate Work Schedules (AWS)

  The agency continues to allow the use of alternate work schedules as previously approved. The Task Force did find varying levels of comfort and success in the use of AWS. Supervisors and employees need to remember that the implementation of alternate work schedules must not result in a decrease in the services provided by FHWA, increase operational costs, or result in the closure of any office during the normally scheduled business hours. Chapter 8 of the FHWA Personnel Management Manual clearly states that all employees are eligible for AWS, that the use of the program is an employee benefit - not an entitlement, and that employees and supervisors have the joint responsibility to cooperate and make schedule changes to meet the operational needs of FHWA.

• Flexitime

  The current FHWA Personnel Management Manual defines Flexible Work Schedules (Flexitime) as "a schedule where an employee works a fixed schedule of eight hours (plus lunch period) each day, 40 hour work week, and must adhere to a set of core hours. The fixed starting time may deviate from the business period of the office." While this is the official policy and definition, the Task Force recognized that informally the supervisors in this agency allow employees to work an eight-hour day that deviates from their "fixed" work hours on occasion to accommodate personal business when this deviation does not interfere with the agency's needs. Allowing employees to "flex" their daily schedules allows for continued productivity of the employees without requiring the use of leave for short periods of time.

ACTION 28: Redefine the policy regarding Flexible Work Schedules (Flexitime) to permit managers to officially allow employees to "flex" their scheduled work hours.

• Maxi-flex

  The Task Force discussed additional work schedule flexibilities, including the use of four 10 hour days and maxi-flex concepts structured around an employee working their 40 hours/week or 80 hours/pay period through use of a seven day work week. FHWA has approved the use of four 10 hour days for the Federal Lands Highway (FLH) survey and drill crews because of the travel requirements and because they do all field work, with this approval being the exception to FHWA policy. The Task Force does not recommend the agency expand the use of four 10's or use maxi-flex at this time because: (1) FHWA is a service agency to industry partners and we need to reasonably match their work hours, and (2) FHWA needs to have stronger performance criteria and evaluation processes in place prior to increasing the use of workday flexibilities.

• Telecommuting

  Private industry permits employees to work out of their homes when it is more cost effective to support a home office situation than house the person internally. This may reduce company overhead costs and allow employees to locate near any major hub airports thereby facilitating airline travel. This holds all persons (employees and supervisors) accountable for accomplishing the company's business goals and communication necessary to facilitate working as a united team. FHWA has a policy on telecommuting that allows for:

  • employees to use satellite telecommuting offices (Washington, D.C. as well as field locations,
  • "home based" telecommuting where there is clear benefit to the mission accomplishment,
  • "home based" telecommuting on a very limited basis as an accommodation of an employee's physical condition or other situations.

  Authority for limited use of "home based" telecommuting is delegated. Approval for permanent "home base" telecommuting must be coordinated with the Executive Director. The words of the FHWA policy fully endorse use of satellite offices. The endorsement of "home based" telecommuting is not as strong, and is limited to those instances where there is clear benefit to the accomplishment of the mission, or to limited use for accommodation of physical condition or other employee issues.

  The FY 2001 Department of Transportation Appropriations Bill includes the following provision: "Each executive agency shall establish a policy under which eligible employees of the agency may participate in telecommuting to the maximum extent possible without diminished employee performance. Not later than 6 months after the date of the enactment of this Act, the Director of the Office of Personnel and Management shall provide that the requirements of this section are applied to 25 percent of the Federal workforce, and to an additional 25 percent of such workforce each year thereafter." The conference report language for this provision identifies the purpose of this program to be "to reduce traffic congestion," and identifies that "each agency shall develop criteria to be used in implementing such a policy and to ensure that managerial, logistical, organizational, or other barriers to full implementation and successful functioning of the policy are removed." FHWA has an internal policy that identifies how we will manage telecommuting, so our current challenge is to use this policy to its fullest extent.

  FHWA has the opportunity to increase the use of telecommuting within the framework of the existing policy, and the opportunity to reinforce the agency's support of this policy. FHWA positions require a mixture of daily processes to accommodate our internal interactions as well as our interface with the public and our partners. Considering the amount of time devoted to travel or meetings and the decentralization of processes everywhere, the staff is already utilizing the electronic and telephone information processes necessary to work in virtual situations and performance is being managed in this "part virtual" world. It is a common expectation of all (employees and supervisors) that employees will check telephone messages and email on a timely manner while the employees are in "duty status" (in the office and while on travel). Considering the amount of travel FHWA personnel do, the need for employees to be responsive to inquiries, and the direction to increase the practice of telecommuting, FHWA should look for opportunities to ensure that our office telephone systems and our computer operations afford "seamless" operations, i.e. there operation between access and service is equivalent regardless of whether the employee is in the office or operating from a remote site. It is time that FHWA match the private sector management and support of telecommuting.

ACTION 29: Revise the telecommuting policy to allow greater use of home-based telecommuting. Invest in the infrastructure to ensure the necessary technology is available.

• Virtual Office

  Virtual office, for the purpose of this report, is defined as having staff assigned to one office but physically housed in a different FHWA, Federal, or official telecommute work center. Similar to the previous discussion under Telecommuting, there are opportunities to improve FHWA's ability to attract and retain quality staff through the implementation of virtual offices while maintaining or improving the efficiency and effectiveness of our business processes. It is not feasible to allow virtual office opportunities for every position because of the impacts to that position's work. However there are many positions across FHWA where virtual office opportunities could be implemented.

  The Task Force conducted a survey of existing employees and supervisors involved in managing virtual office arrangements. The complete summary of this survey is included in Appendix E. A review of the responses clearly indicated that employee performance and position responsibilities are key to the ability to succeed in a virtual office arrangement. It is also clear that effective communication by both the employee and supervisor, and innovative ways to manage workload assignments to retain an "office team" when employees are located in more than one office are important to long-term success of virtual office arrangements.

  While past FHWA practice did not endorse the use of virtual offices, FHWA's recent difficulties filling certain positions as a result of the current demand for quality employees and the desire of employees to maintain quality of life is requiring FHWA to change from the past practice. It has also been realized that there are specific positions, including the Resource Center "boundary-less" technical specialist positions, that can successfully accomplish their responsibilities with easy access to air transportation to their customers. FHWA will consider use of virtual offices where there is improved access to quality employees and improved business operations for FHWA. It will be easier for the supervisor and employee to succeed in developing a plan for the use of a virtual office when they have an existing supervisory/employee relationship and both fully understand the agency requirements of the position and how the position integrates into other office/agency functions.

  However, supervisors should consider the virtual office opportunities when vacancies occur and when the virtual office possibility would improve the quality of candidates applying for the vacancy. There are ways to note the potential for a virtual office work arrangement in the vacancy announcement and allow the supervisor to reserve the right to make the final decision based on a review of the applicants and the ultimate benefits to the agency.

ACTION 30: Allow the use of virtual office arrangements where they will benefit the agency. Agency benefits include improved program efficiency, improved program effectiveness, and greater access to quality employees.

• Job Sharing/Increased Use of Part-time Permanent Positions

  FHWA has accommodated employees that can no longer work 40 hours a week by reconfiguring existing full time positions to allow for some part time positions. This has been done in the support fields as well as generalist/program specialist positions, and has been accomplished by creating job-sharing positions (two people share same duties) as well as creating separate and distinct part-time jobs in lieu of one full-time position. Recent history in the two FHWA offices in Denver shows that through creating part-time positions for new parents, FHWA was able to retain two quality employees as well as attract considerably more applicants for the position when it was advertised as a part-time position than when it was advertised as a full-time position. While the Task Force does not recommend extensive use of part-time permanent positions to accomplish the agency's business, we do think that managers need to be more aware of the opportunities and advantages of using part-time permanent positions.

• Home Leave/Spouse Visits During Extended TDY

  The use of rotational assignments or detailed assignments for whatever reason frequently require extended travel for the employee. The official government travel regulations allow for agencies to pay for employees to travel home to visit family during periods of extended TDY. FLH has implemented this policy for its Construction Staff, who are frequently on extended TDY for specific construction project assignments, to allow permanent employees to travel home for non-work day visits every four weeks at the government's expense. The FLH policy has language that requires these "home visits" to be scheduled so that there is no impact on the government's ability to accomplish its mission.

ACTION 31: Implement and fund home leave for employees on rotational assignments or detailed work assignments requiring extended TDY.

It should also be recognized that when employees are on extended TDY, there is a business reason for that extended TDY, and there may not be opportunities to take personal leave in order to arrange a home visit. While there is no authority currently available to authorize the reimbursement of a spouse to visit the employee, it is recommended that the agency pursue the authority to compensate an employee for the cost of the spouse to travel to the TDY location in lieu of the employee traveling home.

ACTION 32: Pursue authority to fund spouse travel to TDY location for rotational or detailed work assignments requiring extended TDY.

3.C.3. Management of Personnel

As a result of information obtained during our outreach sessions and a review of the FHWA All-Employee survey results, the Task Force identified two items that affect the quality of life in our work environment, and defined actions to improve the morale in the offices.

• Mobility

  FHWA has had specific mobility plans in effect in prior years, and employees still have a concern about mobility and the impact on their lives. The team reviewed FHWA policy on mobility, and found that the current policy does not require mobility for career advancement. Current FHWA policy recognizes the benefit of an employee having a variety of experiences but there is no specific requirement. The Professional Development discussions as a result of this Task Force identified the need to emphasize "variety of experiences" for FHWA Executive positions. For all other positions in FHWA, depth and breadth of experience are assets when competing for positions, with these being obtained through application of oneself to his or her profession, participation on task forces, industry committees and special studies, detailed assignments as well as relocation.

• Administrative Services That Treat Employees as Customers

  Working for the government requires employees to agree to certain terms of employment. While the Federal government often is behind in synchronizing all of the rules and requirements with our changing world, for the most part the employees accept these rules and recognize that in many instances these rules are mechanisms that benefit the employee. As a result of outreach sessions, the Task Force received numerous comments on the manner in which the agency administers its policies and procedures with particular focus on the need for FHWA to implement policies and procedures (1) that comply with the mandated Federal requirements and (2) that are efficient and effective for the employees and the administrating units' business processes. Specific items identified in the outreach sessions were: administration of travel requirements including performance of travel agents, mandating use of government credit cards, and voucher approval processes; and personnel recruiting procedures including the timeliness of the process.

The Task Force also identified that as a result of the latest changes in many "administrative" processes, employee responsibilities for managing and processing these "administrative actions" have increased. Part of this is a direct result of the national effort to streamline administrative processes and reduce overhead associated with internal administrative activities. Understanding that the goal is to streamline administrative processes, consideration should be given to keeping administrative functions consolidated, if it is clear that the most effective way to implement the administrative activity in FHWA business is through the use of a consolidated activity.

FHWA has the opportunity to improve the administration of its internal policies and procedures and to ensure that its policies and procedures comply with the requirements and are efficient and effective for its employees. The first step in this process is employee/management stakeholder participation with the Administrative staff in the development or revision of any internal administrative policy. This parallels the commitment made to include field staff in the development of all [external] program policy. Examples of where this worked effectively are the revisions of the training programs in the new Professional Development Program, and the development of the technical career track program. While there are issues that are still being addressed with the implementation of both of these activities, there is a clear sharing of the issues, identification of solutions, and management of these activities by program managers and Administrative staff.

Secondly, FHWA staff needs to treat its internal customers and suppliers with the same courtesy and advocacy role provided to our external customers. The Administrative staff must be advocates for policies and procedures that comply with the requirements but minimize the hassles. Frequently, employees think that Administrative personnel are "policing" their actions to ensure that nothing unauthorized occurs, and that Administration does not act to make sure employees receive the maximum benefit. Policies and procedures must be developed to enable employees to easily conduct the agency's business, and to recognize the employee as responsible and trustworthy. Employees and managers should respect the need for compliance with the mandates and provide timely suggestions to improve the processes and procedures and assist in implementing change when required. All FHWA employees must apply customer service standards to their internal customers. Finally, where appropriate, FHWA should apply process review procedures for the management of internal administrative processes to help streamline them.

The Bureau of Reclamation has implemented a quality of work life initiative to centrally bill all routine travel expenditures (airfare, hotels, rental cars, etc.). This process eliminates a lot of paperwork processed by the government and by the employee, and is under consideration for implementation by the entire Department of Interior. The Task Force does not advocate the implementation of these procedures at this time. But the Task Force does cite this agency's travel procedures as an example of an alternative way to comply with Federal mandates, and the Task Force notes that another Federal agency has initiated alternate procedures in order to improve employee quality of life.

• Performance Objectives/Evaluations

  The Task Force identified the need for supervisors and employees to revise the performance objective/evaluation process, to improve the ability to manage performance, and have accountability with the use of the identified flexibilities. Improvement of this process does not require a change to the forms used in the process; improvement does require (1) supervisors and employees to develop specific objectives and performance goals for each year, (2) employees to communicate on the status of work efforts and progress towards these goals since there may not be routine information flowing to the supervisor as past business processes provided, and (3) supervisors to communicate changing agency needs to the employee.

Many of the actions recommended by the Workforce Planning and Professional Development Task Force are resource based, intended to ensure that FHWA is fully staffed, and that it has trained, dedicated, and motivated employees to deliver the agency vision, mission, and goals now and into the future. Because these actions require financial or staffing resources, they compete with other needs for staffing or funds. The balance in the use of these tools should vary over time, but will always be supportive of overall management objectives. For example, when employment at FHWA approaches FTE ceilings, the need for recruitment, hiring, and retention incentives is low. Conversely, when staffing shortages are large, these initiatives are critical. The initiatives outlined in this chapter are not permanent entitlements, but strategies to achieve broader corporate objectives.

One significant concern is whether the agency can better achieve results with a more "decentralized" approach to managing resources. That is, can FHWA change the way it manages the distribution of positions to provide individual unit managers greater control over the achievement of unit/agency objectives by maximizing the flexibility for hiring, succession planning, and professional development? The value of such a decentralized approach must be balanced with overall agency goals and staffing. There will always be a need for some centralized "pool" to accommodate potential employees with desirable skills when the appropriate unit has no current vacancies.

The Current Approach

As part of the annual appropriations process, FHWA receives funding for administrative expenses (commonly known as general operating expenses, or GOE) derived from a one and one sixth percent takedown from major Federal-aid program authorizations. These funds cover agency costs such as salaries and benefits, travel, training, rent and facility services, information technology, other equipment, and supplies.

While often viewed as a flexible pot to cover any and all administrative expenses, appropriations committee report or conference report language typically sets levels for the individual elements of FHWA's administrative budget. For example, FHWA justifies its annual budget request based on the number of FTEs it intends to utilize in the coming year. Congress provides an amount for salaries and benefits it views as an appropriate staffing level for the agency. Unless otherwise provided through the Appropriations Act, Congress expects that those funds designated for salaries and benefits will not be used for other administrative purposes. However, in association with across-the-board cuts in the agency's requested funding for administrative expenses in recent years, Congress has granted FHWA some flexibility in its use of GOE.

Under FHWA's current arrangement for managing salaries and benefits funding within FHWA, senior management has assigned more positions to individual organizations than the FTE funding provided by the Congress. Under this management approach, if all units in the agency succeed in filling positions up to their assigned ceilings with full-time employees at the beginning of the current fiscal year, the agency would exceed the amount available in the budget for salaries and benefits. However, given ongoing attrition and the amount of time necessary to refill vacant positions, as well as the "catch-up" in filling positions resulting from several years of constrained staffing during the FHWA reorganization, FHWA budget staff calculates that current position allocations will not result in exceeding available funding. This management of position "float" at an agency-wide level has enabled a cumulative 57 positions more than the FTE provided by the Congress to be allocated among individual organizational units.

Improving the current approach

Even though this management approach has permitted more positions than the agency's FTE ceiling to be distributed among agency units, many FHWA executives believe this centralized approach to managing "float" removes some control from individual unit managers to achieve performance results for which they are accountable. For example, under the current approach, if a unit is operating at its full position ceiling, a unit manager does not have the option to bring on a new employee to learn the responsibilities of a position from which a current employee might be planning to resign or retire in the near future. Yet, this type of on-the-job succession training is often critical to ensuring continuity of service during such a transition.

Further, the current approach may be a deterrent to achieving the agency's professional development objectives. One of the most effective means of developing the workforce is through rotational assignments, public and private sector loan programs, and other long-term assignments that can significantly expand employees' knowledge and experience. But enabling employees to participate in these types of developmental experiences often means that work remains undone or must be added to the workload of others in the unit during an employee's absence. This is a powerful disincentive for engaging in these opportunities that clearly are of long-term benefit to FHWA and its customers.

Finally, the current management approach does not easily enable hiring of co-op students, temporary employees, student aids, contractors, etc., since "partial" positions are not available to individual unit managers. For example, units may face critical service lapses when a support staff person resigns or retires, often without significant advance notification. An ideal arrangement would permit the unit manager to hire contract services during such a vacancy until a permanent replacement has been selected and fills the vacated position.

ACTION 33: Create a pool of new positions to more readily enable managers to meet special, short-term staffing needs.

This "pool" will be created not by withdrawing positions that are currently allocated to FHWA organizational units, but by further stretching the bounds of the centrally-managed "float" above agency FTE.

After experience with this decision making model, in the future it may be appropriate that the agency consider a more decentralized management approach which gives local managers even greater flexibility to make resource allocation decisions that directly impact their ability to achieve unit performance measures.