Personnel Bulletin No. 02-3: Workforce, Staffing, and Individual Development Planning for Trust Management Activities

This personnel bulletin establishes overarching departmental policies for workforce, staffing, and individual development planning in trust management organizations.

I. Workforce Planning

A. Workforce plans will be developed covering all positions with trust management responsibilities. Each plan will be at the bureau/office level and cover a five-year time period beginning with the fiscal year of next budget cycle submission (i.e., the Workforce Plan submitted for FY2003 would include information for FY 2003 through FY 2007). Each plan will be completed by the date the bureau/office submits its budget request to the Department's Office of Budget.

B. At a minimum, each workforce plan will address future workforce issues including management initiatives in the area of outsourcing, delayering, and EGov. Each plan will contain the following:

1. Total number of full time equivalents (FTEs) (by year) needed to conduct trust management work;

2. Total number of positions with trust management responsibilities broken out by position title, series, grade or grade range, type appointment (permanent, seasonal, term, temporary), and work schedule (full-time, part-time, intermittent);

3. Attrition projections, including retirements, for the first fiscal year of the plan and the total planning period;

4. Projected hiring needs for the first fiscal year of the plan and the total planning period; The projections will include information on the grade level(s) at which positions will be filled.

5. An assessment of hiring/recruitment programs and activities needed to fill projected vacancies;

6. An assessment of retention issues, including specific programs and activities needed to retain employees in critical mission positions;

7. An assessment of training and/or retraining issues, including specific programs and activities needed to ensure employees possess the necessary competencies;

8. An assessment of diversity issues, including programs and activities needed to ensure workforce diversity;

9. A budget summary section that provides summary information for the first fiscal year of the plan and the total planning period; The budget summary section will contain information on:

a) Total FTEs needed (with average salary projections);

b) Projected recruiting bonuses;

c) Projected relocation allowances;

d) Projected retention allowances;

e) Projected use of other allowances or monetary incentives (tuition reimbursement, etc.);

f) Projected recruitment costs (publicity/marketing material, program administration, travel, per diem, school recruitment fees, etc.);

g) Projected workforce shaping costs (buy-outs, early-outs, cost of reduction-in-force (RIF), relocations, etc.);

h) Projected training costs (including costs of programs, costs of courses, Executive selection and development, succession planning, etc.);

i) Projected award costs;

j) Projected costs for quality of work life initiatives; and

k) Projected costs for diversity initiatives.

A. Annually, every organization performing trust management work will prepare detailed staffing plans for positions with trust management responsibilities.

1. If budget authorization has been received, staffing plans will be developed and in place no later than the start of each fiscal year covering all FTEs approved in the budget. If a new budget has not been authorized, a projected staffing plan will be in place no later than the start of each fiscal year for all FTEs requested in the upcoming year's budget. Once budget authorization is received, the projected staffing plan will be reviewed and updated according to the final FTE authorization.

2. Positions will be established in trust management activities covering all FTEs approved in the bureau/office budget. Exceptions to this requirement must be requested from the Bureau Director (or designee), through the normal reporting chain.

3. Approved positions with trust management responsibilities will be filled as soon as possible after authorization (for new positions) or becoming vacant. Exceptions to this requirement must be requested from the Bureau/Office Director (or designee), through the normal reporting chain.

4. At a minimum, each staffing plan will contain:

a) A list of all positions with trust management work responsibilities including position title, series, grade, type appointment (permanent, seasonal, term, temporary), work schedule (full-time, part-time, intermittent), and percentage of time spent on trust management work;

b) If encumbered, the name of the incumbent. If vacant, the date the position became vacant;

c) Positions will be annotated with known or projected attrition (including retirements, resignations, transfers, etc.);

d) If vacant or projected vacant, the grade level(s) at which hiring activity will be started;

e) A detailed plan for filling all vacant or projected vacant positions (including the type of hiring/recruitment activities to be conducted and the dates by which hiring/recruitment activities will begin.) Plans should include information on use of recruitment bonuses, relocation allowances, or other incentives, and should address targeted recruitment for diversity.

f) Detailed information on any intended use of retention initiatives (including the use/cost of retention allowances or other incentives.);

g) Staffing plans will be adjusted throughout the year to reflect changes in FTEs, positions, employees, and hiring/recruitment plans.

C. Each organization responsible for developing a staffing plan will prepare a report at the end of the 1^st and 3^rd quarters covering staffing activities for the preceding six months (i.e., the 1^st quarter report will contain information on the last quarter of the preceding fiscal year and the 1^st quarter of the new fiscal year, the 2^nd quarter report will contain information on activity during the 2^nd and 3^rd quarters). The report will contain information on:

1. The status of all positions with trust management responsibilities (filled or vacant);

2. The number of positions filled during the time period covered by the report;

3. The number of positions that became vacant during the time period covered by the report (including the dates upon which they became vacant);

4. A listing of all vacant positions (as of the date of the report) with projected hiring dates;

5. The specific hiring/recruitment activities accomplished during the time period covered by the report; and

6. Challenges encountered in filling vacant (or projected vacant) positions and proposed approaches to overcoming the challenges.

III. Individual Development Planning

A. Every employee with trust management responsibility must have an individual development plan (IDP). IDPs should be developed and signed by both the employee and the supervisor. At a minimum, each IDP must identify the:

1. Short-term (one year or less) and long-term developmental objectives (knowledge, skills and abilities needed for the position); and,

2. Developmental assignments, on-the-job training (OJT), and formal training (if any) that will help provide the knowledge, skills and abilities needed for the position. Training and/or developmental experience(s) identified in the IDP will contain information on the training source (course names and descriptions, dates, etc.), direct costs (e.g., tuition, fees, etc.) of training, and associated costs (e.g., travel).

IV. Implementation of Policy

A. Workforce plans will be developed in accordance with the requirements above, by September 30, 2003, for FY 2004--2008 and updated annually thereafter.

B. Staffing plans for FY 2002 will be prepared addressing current and projected vacancies. Staffing plans will be developed in accordance with the requirements above, for FY 2003 and beyond.

C. Individual development plans meeting the above requirements must be in place by the end of the 1^st quarter, FY 2003.
Questions about this policy can be directed to Dave Anderson, (202) 208-7339.

/Signed/

Carolyn Cohen
Director, Office of Personnel Policy