ML20211L162

Provides Commission W/Preliminary Action Plan for Projecting & Maintaining Skills Requirements,Availability & Staffing

ML20211L162
Person / Time
Issue date:	05/30/1997
From:	Callan L NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO)
To:
References
SECY-97-112, SECY-97-112-01, SECY-97-112-1, SECY-97-112-R, NUDOCS 9710100121
Download: ML20211L162 (25)

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POLICY ISSUE (Information)

May 30, 1997 SECY-97-112 EQFl:

The Commissioners FROM L. Joseph Callan Executive Director for Operations l

SUBJECT:

STAFF REQUIREMENTS - COMSECY-96-027 - STRATEGIC ASSESSMENT ISSUE PAPER: STAFFING AND CORE l

CAPABILITIES (DSI 18) l PURPOSE:

To previde the Commission a preliminary action plan for projecting and maintaining skills requirements, availability, and staffing.

BACKGROUND:

As part of Phase 11 of the Strategic Assessment and Rebaselining Initiative, the Steering Committee forwarded to the Commission a directiore-setting issue paocn Staffing and Core Capabilities (DSI-18). DSI-18 concentrated on five key areas which would apply to the e,

management of human resources within the Agency. These areas are: (1) projecting skills V /

requirements and availability; (2) staffing mission and programs; (3) training and developing p

staff; (4) attracting and retaining staff; and (5) managing staff imbalances. Within each of these b i.

five areas, the staff presented three implementation options for Commission consideration. The Commission determined that DSI 18 presented an intemal strategic issue. Therefore, it was not included in the set of papers upon which the Commission issued preliminary view.. The Commission did, however, request the staff to prepare a preliminary action plan for projecting and maintaining skills requirements, availability, and staffing, to be finalized after the strategic plan is formulated and receives Commission approval.

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Contact:

NOTE:

TO BE MADE PUBLICLY AVAILABLE IN James F. McDermott, OP 415-7516 IO 1,g (g,5 WORKING DAYS FROM THE DATE OF THIS PAPER M '8882 '7*=

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~2-p DISCUSSION:

In response to SRM COMSECY-96-027, the staff has prepared a preliminary human resources (HR) action plan for managing and maintaining current and projected skills requirements and

- ensuring the availability of competent staff in the core technical areas. The plan takes into account Commission decisions on direction-setting issues and the huroan resources activities they have initiated. The HR plan will evolve as these initiatives unfold and revisions will be i

proposed as new initiatives and decis!ons are made that impact various components of the 7

plan.

p Human resource planning is an essential element in positioning the agency to respond to l

change, and an important aspect of the agency's strategic planning process. The plan :

describes the steps for initialimplementation of an ongoing human resources planning process.

The plan also includes a process for (1) developing baseline assessment data regarding core i

_ capabilities (needed to carry out core functions of the Agency), skills requirements, and skills availability; (2) selecting strategies to meet sta#ing needs and (3) updating human resources l

1 planning on a regular basis.

i Several offices are currently engaged in activities directly related to facets of the human p

resources planning process as a result of Commission guidance. The Office of Research (RES) is performing a study on Core Research Capabilities and has put a greater emphasis on skills development and training.' The Office of Nuclear Reactor Regulation (NRR) i k, involved in Job Task Analysis (JTA) activities. The Office for Analysis and Evaluation of F

Operational Data (AEOD) is intomally evaluating the quality, consistency, and effectiveness of the current training, qualification, and development programs in providing regulatory KSAs.

i This is a more detailed, focused look at a particular area than the NRR JTAs. These NRR and AEOD efforts are expected to provide KSA insights.- The Chief Information Officer (ClO) is conducting a skills assessment of CIO and Information Resources Management (IRM) staff,

- Tne Chief Financial Officer (CFO) and the Office of Personnel (OP) are determining the KSAs i

needed by supervisors to improve program planning, budgeting, and performance l-

- measurement. The Office of Nuclear Materials Safety and Safeguards (NMSS) is conducting a j

study on Business Process Reengineering and is also reviewing the NMSS performance appraisal process. All of tnese activities are expected to provide insights into required core a

l capabilities and related skills and competencies. The human resources action plan is intended

. to provide a framework within which these ongoing activities can be more closely' coordinated L

and their results integrated into a consistent and comprehensive approach.

The attachments to this paper discuss specific issues the staff was asked to address in 4

COMSECY-96-027. The preliminary human resource action plan and planning process are described in Attachment 1. Attachment 2 discusses criteria for determining core capabilities and needed skills. Attachment 3 presents criteria for deciding whether to use intemal or extemal human resources to meet mission needs. The development of an Agency-wide inventory of staff knowledge, capabilities, and expertise that will be part of a proposed human resources management system is discussed in Attachment 4. Attachment 5 describes approaches for attracting, training, developing, and retaining staff and managing staff i

- imbalances. The staff is available for a Commission meeting or a Commissioner Assistant

' briefing to further discuss this paper.

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RESOURCE CONSIDERATIONS:

With the exception of implementation of a proposed human resources information system, the actions proposed in the preliminary action plan would not require additional rescurces. The resource requirements for an integrated human resources information system are discussed in.

COORDINATION:

l This paper has been coordinated with the Office of the Chief Financial Officer. The Chief Information Officer has been informed of this initiative and agrees in principle with this approach. The Office of General Counsel has no legal objections, ed L.

seph Callan Executive Director for Operations Attacnments: 1. Preliminary Human Resources Action Plan

2. Core Capabilities and Skills and Competencies Requirements c

3, Criteria for Selecting intemal and Extemal Staffing Sources

4. Development of a Skills and Competoncies Database

5. Approaches for Training and Developing Staff, Attracting and Retaining Staff, and Managing Staff Imbalances DISTRIBUTION:

Commissioners OGC OCAA OIG OPA OIP OCA ACRS-ACNW ASLBP CIO CFO EDO REGIONS SECY

PRELIMINARY HUMAN RESOURCES ACTION PLAN leo.ducilon The human resource (HR) action plan tescribed below is made up of two parts. The first phase is the initialimplementation of a hu. nan resource planning process in the context of the Agency's overall strategic and performance planning framework. This phase includes the development of assessment tools, criteria, and processes, and the development of baseline data on required core capabilities and related skill and competency requirements. The second phase is the process for updating human resources planning on a regular basis.

Identification of the Agency's skills and core capabilities requirements is key to achieving strategic, MYlP, and annual organizational performance objectives. Skills must be considered by line managers in the broadest sense of the total of knowledge, skills, abilities (KSAs), and competencies required to perform a designated function or maintain a core capability (Attachment 2).

The basic tools for implementation of both phases of the human resources action plan are:

the strategic, multi-year implementation, and annual organizational '

e performance plans, and the supporting information that has been developed in the course of the strategic assessment and rebaselining process; e

an organizational self-assessment process; a human resources planning process; and e

the set of available human resources strategies and action options and criteria for selecting from among them.

The timeline estimates in the chart begin with issuance of the action plan following Commission approval to proceed. The ranges reflect the expectation that some of the activities will be conducted in series, some in parallel, d

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2 PART I-INITIAL IMPLEMENTATION OF HUMAN RESOURCES PLANNING h

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1 issue Action Plan EDO D

(day 1) 1.1 Brief the ALMPC on action plan.

OP D+30 &

ongoing 1.2 Update NUREG/BR 0100, Human Resources OP D+180 Strategic Planning within the NRC (Guide) 2 Identify Core Capabilities 2.1 Conduct organizational self-assessment and OD/RA D+180 identify required core capabilities at office / region Supvs/Mgrs level 2.2 Integrate / normalize office / region results at

DEDOs, D+180 Agency level CIO, CFO to 240 2.3 Review and approve agency-wide list of core Executive D+ 240 capabilities and required skills / competencies Council to 270 3

Assess availability of skills / competencies from intemal and extemal sources over planning horizon 3.1 Identify current skills / competencies of existing Supvs/Mgrs D+180 staff 3.2 Aggregate results in agency-wide skills database OP D+180 to 360 3.3 Assess anticipated increments to staff skills and Supvs/Mgrs D+180 competencies vis-4 vis core capability AEOD to 270 requirements achievable through training over OP planning horizon; project next 3 years 3.4 Identify current and anticipated shortfalls or gaps OD/RA D+180 in staff skills and competencies Supvs/Mgrs to 270 3.5 Assess availability of required OD/RA D+180 skills / competencies in civilian labor pool over OP to 240 MYlP planning horizon

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3.6 Assess potential for obtaining required skills and OD/RA D+180 competencies by contracting with D.OE labs, ADM to 240 universities, private companies 3,7 Integrate current and projected skills availability,

DEDOs, D+270 shortfalls, and overages at the Agency level CIO, CFO to 330 4

Implement strategies for obtaining and retalning needed skills and competencies 4.1 Identify, evaluate and recommend options for OD/RA D+270 overcoming ski!!/ competency shortfalls and OP, ADM to 330 imbalances ct the office / region level 4.2 Integrate and r.ormalize office / region

DEDOs, D+330 recommendations regarding shortfalls

.d CIO, CFO to 390 imbalances across the Agency 4.3 Review and select suite of strategies Executive D+390 Council to 420 4.4 Implement selected strategies OD/RA D+420 OP, ADM Ongoing

4 PART 11 - UPDATING THE HUMAN RESOURCE ACTION PLAN -

Regular updating of the human resource action plan is an important aspect of the strategic planning process, it will consist primarily of adjustments to the initial plan dictated by unfolding events. The process described below presumes utilization of the planning tools developed and put in place in the initial implementation of the humm' resource action plan described in Part 1.

Evaluate human resource accomplishments against OD/RA Nov-planned objectives 1.1 Identify shortfalls l OD/RA lNov l

1.2 Identify causes of shortfalls OD/RA Nov OP, ADM 2

Identify changes in core capability requirements ODIRA Dec generated by changes in strategic plan, MYlP, or current performance plan 3

Identify shortfalls or overages in needed skills and OD/RA Dec competencies generated by core competency changes la strategic plan and programs 4

Select strategies to overcome shortfalls -

l OD/RA Dec-l OP, ADM 5

Integrate strategies across the Agency l DEDOs, CIO, CFO' l Jan l

6-Review and approve action plan-l Executive Councill Jan l

CORE CAPABILITIES AND SKILLS AND COMPETENCIES i

REQUIREMENTS Identification of Core Caoabilities and Skills Reaulrements An ongoing corollary to the strategic planning process is the identification of the core capabilities and the critical skills and competencies which are required to implement and carry out NRC line managers' strategic planning objectives, As the planning objectives are translated into implementation activities, mission objectives are more narrowly defined. Specificiwork groupings of skills, by competency levels, can be identified, using basic criteria for identifying skills and core capabilities, and matched against available employees with the appropriate skills, core capabilities, and competency levels. The deltas between the skills and core capabilities needed and the employees available become the primary identification of requirements.

Core capabilities are the capabilities needed to carry out the core functions of the Agency, Accordingly, the criteria for determining core capabilities are derived from the c..teria for determining core functions, namely. Agency functions required by:

Statute Executive Branch directions National security Commission policy decisions, particularly regarding DSis Regulation 4

Congressional mandates National Performance Review (NPR) commitments International agreements and commitments Core functions determine the core capabilities required to meet the Agency's mission. Core capability requirements determine the technical, regulatory, and managerial skills and competencies required to carry out the mission.

The criteria used to determine the skills and competencies needed to meet the NRC's health and safety rnission should be job based in that the primary assessment should be the critical task requirements of the Agency and the skills required to carry out those tasks successfully.

The NRC needs ihree broad categories of skills: technical, regulatory, and managerial. Withiq these three bread categories, the skills and competencies should be divided into those generally availabio on an immediate basis either intemally or extemally and those for which the supply is short, training is needed, or long-term development programs would come into play.

Primary strategic concentration should be with those skills and competencies which cannot f4 easily obtained in addition, where major program or organizatic.ial char.ges are developing, skills and competencies associated with organizational realignments should be identified. This should apply also to identifying core capabi!! ties.

2 The Office of Nuclear Reactor Regulation (NRR) Job Task Analysis study and the Office of Research (RES) Core Capabilities study are expected to provide some insight to core capabilities. AEOD is intemally evaluating the quality, consistency, and effectiveness of the current training, qualification, and development programs in providing needed regulatory KSAs.

Insights gained from these activities will be factored into organizational self-assessment approaches being developed in response to guidance from DSI-15 Management Philosophy and DSI-17 Mariagement and Organization (COMSECY 96-026, COMSECY-96-031).

Strateales for Resoondino to Skills and Core Cacability Reauirements Strategies for resoonding to skills and core capability requirements are first linked to whether the requirements are short term and easily met through conventional staffing activities or are more strategic in nature because of organizationalimpacts, major mission changes, technology shifts, scarce labor supply, or training / retraining requirements. Strategies are also influenced by full time equivalent (FTE) staffyear and funding availability, and the political / human impact of various strategies at any point in time.

Strategies fall into four major areas: (1) outsourcing (contractors, consultants, etc.); (2) recruitment from extemal sources; (3) hiring from internal sources; and (4) development and training. Within these areas the specific approaches to be used, such as the mix of permanent to contingent staff, entry level to full performance level s+aff, will vary with the specific situations generating the requirements. Availability of time, funding, and FTE staffyears is also critical.

The full range of options, outsourcing, recruitment, staffing, and training / development activities can be brought into play with sufficient planning time. For example, where the planning process identifies a future skill need, the manager can assess the benefits of in-house or outsourced capability, internal vs. extemal recruitment, or using training and developmental programs to satisfy the requirement. The planning process should also providc guidance on the magnitude and duration of the skill requirement, which in tum would help the manager determine whether approaches such as the visiting fellow program, term appointment, outsourcing, interagency detail, or permanent hiring would be of value to meet the need.

Elements to consider in determining the staff mix would thus include general cost, time, intemal availability, labor supply both intemal and extemal, training and development required, FTE staffyear limitations, need to control salary and benefits, degree of staff imbalances at the time, etc. No one method or strategy would apply across the board to all situations. Attachment 3 contains further guidance with regard to choosing among these options.

CRITERIA FOR SELECTING INTERNAL AND EXTERNAL STAFFING SOURCES The primary criterion for determining whether to use intemal staff or extemal sources to perform an Agency function is a determination that the function is or is not an inherently govemmental 4

function. The Office of Federal Procurement Policy has defined a function as inherently govemmental if it is so intimately related to the public interest as to mandate performance by Government employees. Activities that require either the exercise of discretion in applying Government authority or the application of value judgments in making decisions for the Government are inherently governmental. Typical examples are:

the performance of adjudicatory functions; conduct of criminalinvestigations; determination of Agency policy, such as determining the content and application of regulations; determination of program priorities or budget policy, guidance, strategy and requests; direction and control of Federal employees; selection for Federal employment; approval of position descriptions and performance standards of Federal employees; approval of Federal licensing actions and inspections; and collection, control and disbursement of fees.

Services in support of activities such as those listed above are not necessarily inherently govemmental functions and may be performed by contractors, subject to appropriate Agency control.

Outside the realm of inherently govemmental functions, the choice among staffing options is based on a detcrmination of the estimated effectiveness and efficiency of the capability that the option would provide to accomplish the function in question.

Different staffing options have different inherent effectiveness and efficiency costs and benefits.

For example, permanent staffing promotes such values as independence, corporate memory, a strong health and safety culture, and regulatory expertise. It also entails long-term commitment of full time equivalent (FTE) staffyears, some higher salary and benefit costs, and some risk over time of skills imbalance, particularly if expertise is narrow. Reliance on temporary staff and contractor support avoids long-term commitment of resources, and provides rapid access to state-of-the-art expertise. It foregoes, however, many of the institutional values associated with permanent staffing, and may cost more in the short-term.

The relative importance of the inherent advantages and disadvantages of potential staffing options depends upon the characteristics of the work to be performed, including:

2 long-or short term duration; long or short-term value of expertise required; value of corporate memory; need for independence; and whether it is a* primary" or ' supplemental

• skill (e.g. financial meagement)

Further, the parameters in effect at the point in time of selecting a staffing optioti may shape the choice on the basis of such factors as:

length of available lead time to acquire or develop capability; current availability of sources of expertiso; level of staffyears available; and level of funding available, a

in ihe case of inherently govemmental functions, the only question is whether the employee should be hired permanently, or on some time-limited basis. That decision would be based on many of the same effectiveness and efficiency considerations that apply when the function is not inherently govemmuntal. The table below provides criteria or guidelines for determining whether to staff permanently (long-term) or temporarily (short-term).

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W Yes Hire permanent staff 1

Long-term Nnction No Hire temporary staff /contrsctor Yes Hire permanent staff 2

Broad application in NRC No Rely on contractor /nationallab Yes Hire pennanent (1=Yes) or tempo ary 3

High need for independence (1=No) staff, No Rely o.1 contractor / lab /temporar/ staff Yes Hire oermanent staff at entry it. vel Time for skill development No Hire permanent senior staff (t and/or 4

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No Rely on contractor support Yes Hire permanent staff 7

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investment No Hire temporary staff; rely on contractor support Internal staff less expensive over Yes Hire permanent staff g

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Function is cyclical but requires Yes Rely on contractor support g

state-of-the-art expertise No Default to criteria listed above Core capability gains value from Yes Hire permanent staff 11 presence of critical mass of expertise in-house No Default to criteria listed above In practice, managers would use these and other criteria in electing staffing options in the course of updating their human resource action plans. The Agency's historical bias toward relying on a robust permanent staff to carry out functions reflects its sense of the values, intangible but no less real, added by a relatively large, technically competent, health and safety conscious permanent staff. Budget realities may force the Agency to consider other options more closely.

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DEVELOPMENT OF A SKILLS AND COMPETENCIES DATABASE To respond to COMSECY-96-066 (DSl-22), the Office of Personnel is evaluating, with the assistance of Office of Information Resources Management (IRM)citemative commercial-off-the-shelf (COTS) packages to support a proposed integrated human resources information system. The inventory of technical core capabilities and related skills and competencies will be part of this proposed system along with other capabilities such as training, staff planning, performance appraisal, etc. The preliminary planning estimate of the cost of a corporate human resources information system that would include a skills and competency database is

$5-6M over 4 years to buy the hardware and software and develop the database, and approximately $340K annually to operate it. A more precise estimate of the cost of the proposeo system will not be known until a Capital Planning and Investment Control (CPIC) analysis is performed.

Development and maintenance of an agency-wide position and skills database represents a signi'icant commitment of time and resources by line managers and NRC support staff offices.

However, in an era of decreased resources and limited extemal recruitment, the ability to quickly analyze changing job requirements and match them to available human resources can significantly enhance the Agency's ability to position itself for change _ With an up-to-date and user-friendly database, a manager could quickly identify employees with the right knowledge, skills, and abilities (KSAs) and competency level to meet the requirements of a position or assignment to be filled; could identify training or retraining requirements to match surplus employees to vacant /new positions; and could identify the magnitude of training requirements i

when new technology is being implemented. The skiliv database would be the vehicle for maintaining, updating, projecting, and tracking skills and competency levels, including the formal qualifications programs for licensing and inspection.

Database Develonment Ootions The acquisition ano development of an agency wide skills and competencies database is included in OP's plan to procure and implement a corporate-level human resources information system. The OP plan is to identify and procure a commercial-of-the-shelf product that will complement the PayPers application under development, providing the additional functionclity, including a skills database, required for effective management of the agency's human resources.

. Several commercial human resources information systems available today have the capability

. not only to collect skills and competency information, but to integrate thia skills data into the information processing and reporting functions that support position management, hiring, merit promotion, staft utilization, t.aining and development, and performance management. This integration capability would greatly facilitate maintenance and utilization of skills data.

Absent an integrated human resources information system, the agency would be able to conduct initial skills identification and requirements activities, and record the results partly in its current systems and partly in ad hoc applications created for this purpose. Utilization and on-going maintensace of the data would require significant amounts of manual manipulation. This l

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2 would be labor intensive, and the timeliness and accuracy of the data would be a constant challenge.

Resource Estimates and Considerations:

The preliminary estimate for a corporate human resources information system that would incorporate a skills and competer,cy database is 2.6M for FY 1998. This would include costs for hardware, software, maintenance, operations, and data migration strategy and implementation, initial development and on-going maintenance of skills requirements will require a substantial l

commitment of management and staff support time. Previous efforts to catalogue required l-skills in the aggregate, let alone for individual positions, proved to be labor intensive, and revealed considerable differences of opinion among managers as to which skills were required and in what priority.

One benchmark indicator of the level of effort required to develop a comprehensive set of skill requirements is the AEOD-sponsored effort to assess regulatory knowledge, skills, and abilities.

Completion of this project is expected to require eight staff years over a two-year period.

Achieving consensus and consistency with regard to key positions or classes of positions is expected to take a comparable investment of 8-10 staffyears over a period of 2-3 years.

Fortunately, developing a comprehensive list of agency skills requirements will benefit directly from the AEOD project and related activities.

Utilization and maintenance of skills information will require some general training and _

reorientation to accustom managers and e;pervisors to using desk top access to human resources information.. That access, however, can provide them powerful tools not only to maintain and utilize skills information, but also to make timely, well-informed decisions with regard to all aspects of managing the human resources for which they are responsible.

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2 Approaches for Training and Developing Staff With the expectation that the Agency will continue to experience a decrease in funding allocated for training and de/elopment activities and a need to better manage time due to increasing or maintaining current workload levels with fewer employees, line managers must use more cost beneficial approaches to training and developing staff.

The relative program stabliity experienced during the last ten years is changing due to National Performance Review (NPR) and the Govemment Performance and Results Act (GPRA) initiatives, mission changes, technology shifts, automation, exploration of more responsive organizational designs and human resource (HR) systems, and the need to maintain a competitive edge One of the key response mechanisms for ensuring the Agency maintains its status as 4 premier Federal Agency is the program for training and developing the NRC staff.

The NRC must ensure training dollars are spent wisely and at the same time must ensure that employees make more effort to take charge of their own careers - developing into a career-resilient workforce which can effectively meet future change in mission, organization, technology, and culture. This includes employees taking more responsibility on their own for developing marketabic knowledge, skills, and abilities (KSAs) for careers in transition.

An effective approach for training and developing staff now and into the next century must look at four basic training and devGopment areas: (1) maintaining the KSAs at peak levels through continuous leaming for employees; (2) managing Agency career transition activities; (3) fostering the change to a high performing, results-oriented organization along with the organizational and HR systems changes that will develop; and (4) addressing emerging outcomes resulting from changes in mission, organization, technology, culture such as staff imbalances, realignment of career to transitional workforce, etc. Many different training options may be used; however, on-the-job tralning will remain a primary tool where possible.

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Maintain KSAs currently required at peak levels.

1.1 Continue and improve annual training needs survey with Line managers with OP, AEOD emphasis on identification of training and development assistance annually and as a result of (T&D) specifically targeted to KSA maintenance and any T&D needs identified through the creation of coalitions to allocate resources for training office level multi-year implementation and development in line with KSA needs.

plans or other planning documents.

1.2 Continue encouragement and use of IDPs which will Line managers with OP, AEOD address skills and competencies needed and identify on-assistance on an ongoing basis.

the-job opportunities and mentoring requirements.

1.3 Maximize use of attemative T&D approaches including Line managers, OP, AEOD, and IRM, on satellite broadcasting, distance leaming, televideo an ongoing basis as such activities training, computer-based training, etc.

become available and are implemented in the NRC.

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1 1.4 Create a loaming organization. Facilitate workplace Line managers with the assistanca of OP.

loaming by shifting the emphasis from instruction to AEOD, and designated mentors on an loaming help employees acquire knowledge themselves ongoing basis and as immediate activities in order to facilitate continuous performance require.

improvement.

1.5 Maintain T&D source database for use in responding to OP, AEOD, with assistance from immediate KSA shifts not anticipated in annual or long-supervisors and managers on an ongoing range planning, basis to ensure currency.

2 Manage career transition activities.

-r 2.1 Maintain a career management conter/ office at the OP - as directed by top management and Individualized Leaming Center with available computer as resources ermit.

g resources, publications, counseling services, etc., and provide periodic information to employees on the center and on career management activitist and opportunities.

2.2 Provide guidance to supervisors and managers on OP, SBCR, with consultant assistance, mentoring and counseling to assist them in dealing with as required on an ongoing basis.

employees in change.

2.3 Integrate career planning and management requirements Line managers with OP, AEOD Into planning for organizational realignments or mission assistance on an ongoing basis as changes.

changes occur.

2A Provide guidance to employees on career management OP, supervisors and managers, and/or and taking charge of their own careers including mentors as individual or group situations relooking at traditional career paths and need for new occur which trigger career management career flexibility, planning.

2.5 Provide general guidance to employees on Agency Line managers with OP assistance as changes and potential future KSAs and competencies changes are identified, requirements so that both supervisors and employees can target career management activities to mesh with.

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Foster change to high-performing, results-oriented

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3.1 Identify T&D opportunities which will facilitate employee Line managers with OP, AEOD input and understanding of high performing. results-oriented ewistance, and best practices from other requirements.-

agencies or professional groups - as needed on an ongoing basis.

3.2 Provide guidance to supervisors and employees on new OP with consultant assistance as organizational structures such as flat or horizontal necessary on an as needed basis orin organizations or self<lirected teams which are being used respase to office multi-year planning more frequently in the public and private sector and their implementation efforts.

Impact on how work is performed and KSAs are utilized.

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3.3 Provide guidance to supervicors and employees on OP with consultant assistance - as attemative HR systems which may have potential for necessary on an as needed basis orin future application, response to individualline manager requests or office multi-year planning implementation, 3.4 Develop TfD options associated with designing and Line managers in cooperation with OP -

implementing attemative organizational or HR systems on as requested and as such pilot programs a test or pilot basis.

are discussed.

4 Address emerging outcomes resulting from change.

4.1 Identify and implement T&D requirements associated with Line managers with OP, AEOD staff imbalances from reorganization or fune' onal assistance as soon as reorganizations, realignments, functional realignments, or other situations causing imbalances can be identified.

4.2 Identify and implement T&D requirements resulting from Line managers with OP, AEOD new technology or from discontinuance of existing assistance as early as changes can be technologies.

Ic'entified and planned for.

4.3 Identify specific T&D requirements for supervisors Line managers with OP assistance as resulting from supervisory ratio reductions, now types of required on an ongoing basis as changes organizations, social and cultural impact of managing are identified.

culturally diverse employees, etc.

4.4 Identify the T&D impact of shifts in organizational culture, Line managers with OP assistance and in realigning the workforce mix such as using career or.

assistance from subject matter contingent employees.

consultants - as required when shifts can be identified or projected.

Managers would follow these approaches for determining their training and development needs in the course of updating the human resource action plans.

5 Approache.3 for Attracting and i%tallting Staff The Agency plan for attracting and retaining staff must be flexible enough to deal with both resource reductions and potentialincreases due to mission changes. Key to the plan will be the culture and structure of the Agency, the nature of the workforce now and in the future, and the perspective of the current and future staff in terms of how to attract and retain the best.

With diminishing resources and salaries and benefits taking up an increasingly large portion of the budget, the issue of a permanent career workforce or a workforce with an increasing proportion of contingent (part-time, term, contract) workers becomes more critical. With the current downsizing efforts and a large portion of the current staff at or reaching the potential retirement zone, the NRC has an opportunity to realign the makeup of the workforce with a minimum adverse impact on current employees. The key criterion is the analysis of functions to determine which may be best served by permanent, part-time, term, or contract employees.

For example, as mission changes, tasks are assigned, either under the present or future organizational structures, and work that can be completed within a time frame of more than one

. year but not exceeding four years should probably be staffed by term employees or perhaps contract employees. Managers will need to take an increasing role in identifying and aligning work so that the most cost beneficial ar.d effective employee mix can be established. Activities and programs for attracting and retaining employees will then vary depending on the nature of the workforce.

Attracting and retaining staff must also be linked to HR systems and organizational structures.

For example, a well-designed variable compensation system (base pay plus variable pay components) has recruitment and retention positives and negatives - marginal employees would be encouraged to leave, and high performing employees would be rewarded accordingly, while most employees might or might not receive within-grade increases and, therefore, might not do as well as with the current system. But when looking at an organization structure and the HR systems best suited to that structure, the recruitment and retention advantages and disadvantages should automatically 'oe factored in.

Much has been written about the work perspectives of workers by generational category -

traditional (pre-1946), baby boomers, baby busters, generation X, and what is needed to effectively manage workers in these and other demographic groupings. Many of the " soft' personnel programs dealing with worklife quality have developed over the last 15 to 20 years in response to what is needed to recruit and retain an increasingly diverse and aging workforce.

In terms of addressing recruitment and retention, we can look at four broad issue groups:

(1) workforce composition; (2) workforce demographics; (3) worklife quality; and (4) workforce systems.

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Workforce composition. career vs. contingent.

1.1 Identify functioris and activities best carried out by Line managers with assistance from OP -

continuing permanent staff. Include maintaining ongoing as functions and mission knowledge base, public responsiveness among criteria.

change.

1.2 Identify functions that could be carried out effectively by Line managers with assistance from OP -

temporary, part-time, term or other contingent staff.

ongoing as functions and mission change.

1.3 Design and imp!ement a process whereby staff mix Line mtnagers with assistance from OP (permanent career or contingent) is optimally identified at ongoing as situations warrant.

the time of reorganization, position establish mentor work groupings and/or recruitment, mission changes, etc.

Include FTE, budget, productivity and morale as selection factors when selection could go either way.

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'Norkforce demographics - generational, ethnic, etc.

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2.1 Identify range of demographic areas to be considered.

Line managers with assistance from OP and input from SBCR - on an ongoing basis.

2.2 Refine outreach activities to consider demographic Line managers with assistance from OP -

considerations when recruiting extemally.

on an as needed basis.

2.3 Ensure intemal career management activities incorporate Line managers assistance from OP demographic considerations.

(including Career Management Program Manager)- on an ongoing basis.

2.4 Enhance training for superv;aors and managers on OP with assistance of line managers - as supervising a demographically diverse workforce.

training is identified and needed.

2.5 Incorporate demographic approaches in recruiting efforts Line managers with assistance of OP - on and in periodic employee outreach and informational an ongoing basis.

activities.

3 Worklife quality

• soft

• programs like work at-home.

3.1 Ensure current programs are fully identified and OP with assistance of line managers on periodically publicized to existing staff and in recruitment an annual or other identifiable basis.

information.

3.2 Ensure recruiters are knowledgeable about worklife quality Line managers with OP assistance - as programs and can respond to questions.

needed when programs change or new recruiters are used.

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b 3.3 Identdy potential areas of expansion in existing of new ODs/ ras with assistance from OP based progrsms that could be adopted that would substantially on mission changes, functional transfers, enhance recruitment und retention efforts, identrfication new govemment wide inttletives or other should include a cost / benefit analysis and any

factors, consideration of mission changes which might kwolve sethm of groups of employees from egenc'es where t Jch expandvd p egrams were stroady in place.

3.4 ilaintain state-of the-art awarenets of developments and OP with assistance fiom line managers, I est practices in worklife quality programs and assess supervisors, employees and other OP effectiveness of cngoinq programs.

staff, as needed on an ongoing basis, 3.6 Link workkfe quality and demographic activities where une managers in cooperation with OP.

feasible and where such Imking would be productive. for as activities change.

example, highligt ting elder care programs to current staff or full professional level candidates rather than to new college graduates.

5.6 Survey Agency employees periodically on a broad of OP with contract sJpport and input from narrowly focused basis to determine extent of interest in supervisors, managers, and employees.

and/or satisfacticn with worklife quality programs.

on a periodic basis vt when change is being studied.

4 Workforce syste is issues matching HR systems to organizatiors, 4.1 Identify types of r, genizational structures, sudi as teams OP with consultant or otherin-house and flat organlastkqs, and the HR compensaticn, input resulting from test practices performance manal sment, staffing, and other systems reviews and line mariagement requests.

best suited to them.

updated on a periodic basis to be determined.

4.2 Assess short term and long range costs associated with OP, with consultant assistance as changing systeris, including moving to multiple systems.

required, as systems are proposed.

4.3 Identify advantages / disadvantages in recruiting and OP with input from line managers, retaining employees associated with various supervisors, and consultants. in organizational structures enri altomate HR systems.

coordination with #1, 4.4 Provide guidance to supervisors and managers in choices OP with input from consultants as in organizing work and using altomate hR systems required. work into existing supervisory including start up costs and time and training required training courses or establish new courses before a high q Jality full perforn,ance organiza' ion is as appropriate in addition to general OP schleved.

Informat6on dissemination, 4.5 Develop pilot or demor.stration projects to test various Line managers with OP input and organizational structures and allemative HR systems assistance as requested by Agency which would be of potential high value to the Agency.

management.

Following this guidance when updating human resowce action plans will assist managers in determining their staffing and retention strategies.

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Approaches for Managing Staff Imbalances

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Staff imbalances, from the broadest perspective, include both skills imbalances and staff imbalances where skills are not the major concom. The issue has both positive and negative aspects from both the Agency (management) and employee outlook. Dealing with situations i

that happen individually or in very small numbers presents different resolution problems from situations where large numbers of employees are involved.

t Causes of imbchnces include position abolishment, transfnts of function, reorganizations, mission change,.echnology changes, and resource changes. This action item should not be viend as totally separated from the other issues in the action plan, j

Transfers in or hiring of employees other than on a one for one replacement basis generates l

Imbalances both in terms of deployment of staff and identification of skills. This is especially true where functions are being transferred from one Agency to another such as would occur if NRC were to be tasked with oversight of the Department of Energy (DOE). Proper assignment of employees transferring with the function, especially as the Agency determines how it will manage the new functions, will present problems. Imbalances occurring whera staff i

separations are identified - retirements or transfers or separations, will be of concem where critical skills are being lost. Management of staff resources must take into account greater intomal staff flexibility in being reassigned to areas of need coupled with targeted extemal recruitment. Managers must diso bear in mind that employees' grade levels and qualifications will impact their fungibility in moving from one skill area to another to address imbalances. The two key elements are knowing the knowledge, skills, abilities, and competencies of current staff and of functions to be performed so that the matching process can be accomplished with a minimum of effort.

Reorganizations associated with downsizing, mission changes, NPR or GPRA initiatives impact staff and skills, and also secondary issues such as carsar paths. For example, NPR initiatives to change the supervisory ratio are resulting in a flatter organization with fewer supervisors.

- Deployment of excess supervisors into new positions or career paths with minimal impact on morale and productivity requires careful planning and counseling.

- Technology or mission changes that wipe out need for existing KSAs or bring in new ones affect how we deploy current staff resources, how we handle training to meet new needs, and how we recruit. Decision points develop when the manager must decide whether to reassign, retrain, separate, and/or recruit.

in the end, there are four basic approacnes to managing staff imbalances: (1) recruitment; (2) reassignment; (3) training; and (4) separation. How these come into play, either separately or in combination, is basically determined by the manager (s) concemed in concert with the Office of Personnel (OP). Strategic planning and multi-year implementation activities should

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1 Addressing imbatences through recruitment 1,1 Define situation. l e., upstring, downsizing, realigning, Line managers with input from OP on an mission or technology changes.

as needed basis as situations develop and as part of multi-year implementation plan initiatives.

1.2 Identify what imbalances can be addressed through Line managers with the assistance of OP intemal measures. Make maximum use of career on an as needed basis as situations management initiatives in making choice to go intemal or develop and as part of multi-year make use of extemal recruitment.

Implementation plan activities.

1.3 Derine recruitment needs. Identify timeline to fill, level of Line managers with assistance of OP on proficiency needed, targeted recruitment sources, any an as needed basis as decisions are additional training needed once on board, made te go extemal tecruitment.

1.4 Pull together recruitment team and focus recruitment OP with participation of line managers, approaches and Agency advantages to meet interests of supervisors, Agency technical targeted group.

representatives as required on an as needed basis as recruitment is initiated.

1.5 Identify and implement electronic recruitment activities.

OP with supervisor or manager input as available as required when extemal recruitment is initiated.

1.6 Assess effectivenosa of targeted extemal recruitment in OP with input from supervisors, resolving imbalances and apply lesson 11eamed to future managers and others after completion of recruitment initiatives, recruitment efforts rt on a periodic basis as feasible.

1.7 Integrate and normalize office / region recommendations DEDOs, CIO, CFO.

regarding imbalances and recruitment options.

1. 8 Review and select sulte of strategies.

Executive Council.

2 Addressing imaatances through reassignment.

2.1 Identify KSAs of Individuals being effected through Line managers with OP assistance as imbalances and probable Agency vacancies to which they situations develop and individuals or could be reassigned immediately, groups of individuals are identified.

2.2 identify KSAs of positions or functions in shortage Line managers with OP assistanco as category to which Agency employees could be matched or situations develop or are identified where recruitment could readily resolve short term through the multi-year implementation problems.

plan process.

2.3 Consider multiple approach to handling reassignments Line managers with input from OP as part including directed reassignments, competitive of the implementation strategy for announcements, rotational assignment offerings, career effecting reassignments.

nianaDement oppormnities. etc.

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2.4 Consider situations where individual reassignment would Line managers with OP assistance as have to be combined with trair%g before the employee situations develop where reassignments was fully proficient in the new position.

are an option.

2.5 Provide training to supervisors and managers on OP with cr nsultant assistance as advantages of various types of reassignments and value appropriate.as part of supervisory to the Agency as a whole in making the Agency more training or ottar periodic training responsive through a flexible, well rounded workforce.

Initiatives.

2.6 Provlde appropriate publicity for Agency employees to OP with input from line menagers on a promote reassignments as career enhancing to encourope periodic basis to be determined and in more employees to voluntarily seek reassignments.

career management guides.

2.7 Integrate and normalize office / region recommendations DEDOs, CIO, CFO.

regarding resolving imbalances through reassignment.

2.8 Review and select suite of strategies Executive Counell.

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Addressing imbalances through training and development.

3.1 Match ski!!s requirements identified through strategic Line managers with OP assistance as planning, multLyear implementation plans, and other various planning initiatives are planning activities to skills and proficiencies of curr91 staff implemented and other organizational or to determine specific imbalances.

mission changes occur, 3.2 Identify the extent to which the imbalances can be OP with input from the Technical Training resolved by intemal or extemal training and development Division (TTD), supervisors and of current staff, including describing types of'. raining and managers on an ongoing basis in development activities which would be appropriate (e.g.,

response to projected imbalances or l

Senior Fellowship Program) and time and resources specific situations.

required.

3.3 Identify recruit.unt and training programs such as the OP with input from supervisors and Intem Proq*am or Groduate Fellowship Program which managers on an ongoing basis as could be ased to address skills imbalances where opportunities present themselves for a sufficient time is provided to move from entry to full longer training and development timeline, proficiency levels. Include identification of KSAs involved, number of individuals, cost benefit.

3.4 Identify pool of Agency employees considered in the Line managers with OP assistance as overage category due to reorganizations, etc. Identify situations are identified in implementing KSAs which could be expanded to increase their p!anning initiatives,in effecting competitiveness for reassignment opportunities. Identify reorganizations, in redesigning work through career counseling any retraining efforts that may operations to meet mission or be appropriate and feasible to enable such employees to technological change or on an individual move into new career areas within the Agency.

basis.

3.5 Integrate and normalize office / region recommendations DEDOs, ClO CFO.

regard.ng training and development options for correcting skills imbalances.

3.6 Review and select strategies.

Executive Council.

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g 3.7 Maintain technical / occupational training programs for OP and TTD with input from supervisors employees to ensure KSAs are at peak levels to address and manag6rs on an ongoing basis for all changes and minimize the number of Imbalances employeae ;f the Agency.

developing.

4 Addressing Imbalances through separation.

4.1 Strengthen training and support of supervisors to deal with Line managers with OP assistance on an employees during the probationary period to weed out ongoing basis and as part of formal marginal performers.

supervisory training.

4.2 Explore strengthening of performance management Line managers with assistance of OP on systems to build in results oriented objectives to identify, an experimentalbasis as resources and assist, where possible, marginal or unsatisfactory permit.

employees.

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4.3 Explore possibility of piloting pay system redesigns to Line managers with assistance of OP on impisment systems such as variable pay which encourage an experimental basis as resources top performers and cause poor performers to reevaluate permit and in response to interest in their career plans.

particular systems.

4.4 identify those employees who cannot or will not be Line managers with assistance of OP as retrained and who have no meaningfuljob and cannot be reorganizations or realignments occur productively reassigned for appropriate action including and employees cannot be immediately separation.

placed.

4.5 Integrate and normatize office / region recommendations OEDOs, CIO, CFO.

regarding options for addressing imbalances through separation.

4.6 Review and select suite of strategies.

Executive Council.

4.7 Provide clear guidance and training for supervisors on how OP with assistance from managers, to deal with poor per,ormers or excess employees, consultants, etc., on an ongoing basis especially in situations where assistance has been and as needed.

provided but has been refused or has not worked.

4.8 Provide guidance to employees through career OP,line managers, and designated management counseling, supervisory mentoring or montors on an ongoing b;Js for all counseling activities, notices, etc., on being flexible in employees.

career goals and opportunities, in maintaining skills, in being productive, etc., to minimize situations where skills are outdated or employees must be reassigned.

Managers would use these and other criteria when determining hw to manage staff imbalances in the course of updating their human resource actior, clans, e