Report 2015-608 Recommendation 10 Responses

Report 2015-608: High Risk: State Departments Need to Improve Their Workforce and Succession Planning Efforts to Mitigate the Risks of Increasing Retirements (Release Date: May 2015)

Recommendation #10 To: Transportation, Department of

Caltrans should develop a process by December 2015 to measure and evaluate its workforce and succession planning activities at least annually, and update its plans as necessary, to ensure that its activities are effective. This process should include evaluating the trends in retirements for leadership and technical positions.

1-Year Agency Response

Caltrans One-Year Status Update:

In December 2015, Caltrans requested employee data from the State Controller's Office in order to analyze demographics and attrition rates for its twelve major occupational groups. OERM plans to continue to analyze this data twice a year. The data received allows Caltrans to establish an enterprise-wide employee population baseline. The goal is to ensure that Caltrans has the right number of employees, at the right time, in the right positions, and is preparing its employees to transition into leadership positions.

To date, OERM has met with or has scheduled engagement meetings with eight of the twelve occupational groups to discuss areas of risk and possible solutions. By the end of summer 2016, OERM will have met with all occupational groups, reviewed data, identified gaps in the workforce, and brainstormed solutions to those gaps. Occupational groups will work with various divisions and teams to complete solutions to increase recruitment, retention, employee development, knowledge transfer, and succession planning.

As it continues to engage the occupational groups and analyze the data, OERM will be able to identify trends and determine if the solutions are working.This information will be published in its Annual Caltrans Workforce Plan at the beginning of each year. The next report summarizing the 2016 efforts will be released in January 2017.

OERM will continue to use the CalHR workforce and succession planning model to engage with the occupational groups and facilitate ad hoc requests. The commitment from Caltrans' Executive Board to workforce and succession planning will help drive efforts and ensure completion of the workforce planning strategic objective listed in the 2015-2020 Caltrans Strategic Management plan.

Corrective action complete; no further action necessary.

California State Auditor's Assessment of 1-Year Status: Fully Implemented

6-Month Agency Response

Caltrans continues to develop its processes to measure and evaluate its workforce and succession planning activities to ensure that they are effective. The processes include assessments of leadership, technical, and other positions and how they will be affected by retirements. Districts and divisions have selected champions to meet for bi-monthly workforce planning forums, and serve as focal points/liaisons in all matters of workforce and succession planning. In addition, Caltrans' Office of Enterprise Risk Management (OERM) developed a form for the champions to fill out regarding their workforce activities and submit quarterly. The first submission will be for the third quarter of the calendar year and is due on November 30, 2015. Further, OERM is currently analyzing the information collected from the organizational excellence survey to create tools and presentations to inform employees about workforce planning and OERM efforts.

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

Caltrans continues to develop its process to measure and evaluate its workforce and succession planning activities to ensure that they are effective. A survey was sent to all employees to determine the current state of Caltrans' workforce and succession planning efforts and the results will be assessed by August 2015. Caltrans also established a cross-disciplinary group as part of the 2015-2020 Strategic Plan requiring all occupational groups to adopt at least one workforce planning strategy by 2020. Districts and Divisions are also being surveyed to identify workforce planning "champions" to serve as focal points/liaisons in all matters of workforce and succession planning. The champions will report quarterly on issues relating to workforce planning, solution strategy development, and implementation efforts. They will also participate in monthly workforce planning forums and brown bag sessions which have been initiated to bolster communication channels and enhance workforce and succession planning efforts within Caltrans.

California State Auditor's Assessment of 60-Day Status: Pending

All Recommendations in 2015-608

Agency responses received are posted verbatim.