Workforce Planning. Toolkit and Templates. Human Resources. Prepared by: Human Resources Version 4 15 May CRICOS Provider No.

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1 Workforce Planning Toolkit and Templates Human Resources Prepared by: Human Resources Version 4 15 May 2013 CRICOS Provider No D

2 Introduction to Workforce Planning Workforce planning is a continuous process of shaping the staff profile to ensure that it is capable of delivering the University s objectives now and in the future. This includes reviewing deciding how work is done (job analysis and job design) as well as demand/supply forecasting, gap analysis, and implementing people management strategies to address the gap. In simple terms staff planning aims to have the right people, in the right place, at the right time, all the time. Why undertake Workforce Planning? Staff planning can help Schools and Portfolios to deliver better academic and administrative outcomes by: Strengthening the University s capability to support the achievement of teaching, learning and research outcomes and contribution to the community now and in the future. Encouraging an understanding of school and administration staff profiles, based on an analysis of workforce data, and the implications to the University. Facilitating rapid and strategic responses to change. Assisting in the identification and management of people with the knowledge that is critical for effective and efficient business operations. Providing a mechanism for linking expenditure on people to business outcomes. Key elements of Workforce Planning It is driven by the University s charter and set University wide key priorities. It is an ongoing process, which is integrated and aligned with business planning. Senior Deputy Vice Chancellors, Deputy Vice-Chancellors, Deans/Directors and Managers of areas are in the best position to assess their areas and related staff needs, and therefore have overall responsibility for workforce planning within their School or Section. Human Resources staff play an important partnership role in supporting Schools/Directorates to develop and implement effective workforce plans. Finance plays an important partnership in providing salary costs and preparing salary budgets based on financial data and funding. Benefits of Staff Planning The overall success of workforce planning will depend to a large extent on how effectively it can be integrated with organisational planning. When effectively integrated, the main benefits are: CRICOS Provider No D Page 2 of 17

3 staff required to meet future business needs are being recruited and developed; reduced staffing costs through appropriate staffing levels; improved identification of staff development needs; improved capacity for career management; improved employee effectiveness through better job design; increased job satisfaction; improved employee relations; reduced skill shortages; reduced staff turnover; reduced staffing costs by correcting skill imbalances before they become unmanageable and expensive; identifying staff whose capabilities are not likely to meet future needs can be retrained, redeployed or potential redundancy; staff utilisation can be improved through assigning staff to the highest value work that they can perform; new or emerging job roles can be planned for through specific recruitment or training initiatives; and the process enhances the capacity of staff to perform higher value work. 1. Stages of Workforce Planning CRICOS Provider No D Page 3 of 17

4 In the section that follows, each step of the workforce planning model is elaborated upon. 1.1 Step 1 Determine strategic direction, objectives and activities The first step of successful workforce planning involves determining the strategy and accompanying future goals and activities for the School or Directorate. 1.2 Step 2 Conduct workforce forecasting This step is probably the most important one in the workforce planning process and it can t be undertaken without doing a thorough analysis of the School, Directorate or Section s workforce data. The two analyses that need to be conducted during this step are that of supply and demand Supply analysis The following question must be answered at the end of the supply analysis: What is the School or Directorate current workforce profile and capability? In order to answer this question, it is recommended that the following information is analysed: Staff numbers. Classification mix. Ongoing, contract and casual staff mix and ratios. Full time and part-time employment mix and ratios. Administrative and academic/teaching/research staff ratios. Diversity, disability, age and gender mix. Skills, knowledge, qualifications and expertise of existing staff members. Performance management information. It is also important to analyse the trends of the current workforce profile of the School or Directorate in order to make certain assumptions and accompanying projections. The following information should assist in conducting trend analyses: Retention rates. Termination percentages and reasons for termination. Retirement patterns. Promotion patterns. Secondment patterns. Leave usage and liability (sick leave, annual leave liability, long service leave liability, maternity leave, paternal leave, etc.) CRICOS Provider No D Page 4 of 17

5 The following quarterly HR management reports are available to assist in these analyses: HR management report Staff management report Staff profile continuing and fixed-term report Staff FTE report Staff separation report Leave management report Qualifications report Information to be analysed Number of employees. Number of casual and sessional employees, and accompanying ratio. Number of employees per permanent/continuing and contract employment type, and accompanying ratio. Number of employees and employment type per cost centre and accompanying ratio. Upcoming contract expiry dates. Number of employees. Number of employees per continuing and fixed-term employment type, and accompanying ratio. Gender mix. Age profiles. Full time equivalent per employment type and accompanying ratio. Number of terminations. Reasons for terminations. Number of terminations per classification. Retention rate overall and per classification. Leave usage. Leave liability. TAFE Teacher Qualifications Higher Education Qualifications Human Resources have also prepared a supply template as a point of departure and this template, Template 1 Supply, is contained in Appendix A Demand analysis This step involves identifying the future workforce the School or, Directorate needs in order to achieve its strategy and goals. Most of the information needed for this analysis should be contained in the School or Directorate s plans. Other internal, external factors should also be given consideration such as: External demographic issues that are likely to influence the demands placed on Schools or Directorates, e.g. ageing population, older age structure of the Australian academic workforce, etc. External labour trends. University work/life balance strategies and polices. Workforce flexibility clauses in University industrial agreements. CRICOS Provider No D Page 5 of 17

6 Schools and Directorates should complete Template 2 Demand in Appendix A after considering and analysing the Schools/Directorates future workforce needs. Appendix B contains external and internal factors to consider when analysing demand. 1.3 Step 3 Identify surplus/gaps and develop strategies to address surplus/gaps This step involves comparing the workforce supply and demand forecasts in order to identify surpluses or gaps. A surplus indicates an excess of employees in some categories and may thus require action in accordance with the UB s applicable industrial agreements or policies and procedures. A gap indicates a future shortage of needed workers and/or competencies. This comparison is done automatically (via Excel formulae) in Template 3 Surplus/Gap in Appendix A. Where gaps exist strategies should be prioritised based on the size and impact of the gap. Some of the strategies that can be implemented to address gaps are as follow: Recruitment, i.e. attracting and recruiting high performing staff for particular roles. Professional development activities such as secondments or retraining. Relocation or redeployment (from different geographic locations, from roles no longer required, etc.). Succession planning, i.e. ensuring that there is a pool of highly qualified and competent staff available to fill critical positions as well as management and leadership positions. Retention strategies, e.g. improving working conditions, flexible working arrangements, job redesign, job enrichment, career development, etc. Knowledge transfer strategies, i.e. capturing the knowledge of experienced staff members before they leave. Change management strategies, e.g. cultural, structural or operational change. The impact of selected strategies upon the budget must be determined and taken into consideration as part of the staff budgeting process. Appendix A contains the Template 4 - Surplus/Gap Strategies Development template to assist in the prioritisation and strategy development process as well as determining the impact of the strategies on the budget. 1.4 Step 4 Implement workforce plan Each School or Directorate should implement its workforce plan according to priorities and budget. A separate action plan is used for implementing the workforce plan. Best practice for completing this action plan should allow for defining the following: Identifying the goal based on the surplus or gap. Defining key performance measure/s, i.e. deliverables. Establishing timelines. Allocating resources, i.e. person/persons responsible, budget and other (e.g. technology). CRICOS Provider No D Page 6 of 17

7 1.5 Step 5 Monitor, evaluate and revise workforce plan The School or Directorate workforce plan should be formally reviewed bi-annually. In addition, the Schools or Directorates are encouraged to review their workforce plans quarterly in order to: Review performance management information. Assess what is working and what is not working. Adjust the plan and strategies as necessary. Address new workforce issues and organisational issues that arise. 2. Resources and support during the workforce planning process Human Resources can provide support during the workforce planning process with: Management information reports such as the HR management reports as per the table in Advice on skills/competency analyses. Advice on Equal Employment Opportunity legislation. Advice on organisational design and development. Advice on change management. Advice on employee relation matters. Advice on work/job redesign. Advice on workforce flexibility strategies. CRICOS Provider No D Page 7 of 17

8 3. Process and Timelines STEP 1 On a yearly basis determine the strategic objectives and activities for your School/Directorate in line with University-wide key priorities. STEP 2 Two-three months prior to the scheduled Budget Advisory Committee meetings in April and September, develop or review your current workforce forecasting including the supply/demand gap analysis templates. STEP 3 At least three weeks prior to the Budget Advisory Committee meeting, submit any new position descriptions to Human Resources for classifying. STEP 4 At least two weeks prior to the Budget Advisory Committee meeting, submit the Request to Establish a New Position form, as well as your workforce planning templates, to the relevant Senior Deputy Vice-Chancellor or Deputy Vice-Chancellor for endorsement. STEP 5 Once endorsement has occurred the relevant Senior Deputy Vice-Chancellor or Deputy Vice- Chancellor will forward the form to the Executive Officer of the Budget Advisory Committee for consideration and approval. CRICOS Provider No D Page 8 of 17

9 Appendix A Template 1 - Supply Classification Position Title Total A B C D E HEW 1 HEW 2 HEW 3 HEW 4 HEW 5 HEW 6 HEW 7 HEW 8 HEW 9 HEW 10 Assoc. Director Director TAFE T1.1 TAFE T1.2 TAFE T2.1 TAFE T2.2 TAFE T3.1 TAFE T3.2 TAFE T4.1 TAFE T5 SE1 SE 2 SE 3 TOTALS Gender Diversity Age profile Employment type Male Female ATSI* *ATSI: Aboriginal and Torres Strait Islander Staff Full time employment Ongoing Fixed-term (include end date) Part-time employment Ongoing Fixed-term (include end date) CRICOS Provider No D Page 9 of 17

10 Appendix A Template 2 - Demand Classification Position Title Total A B C D E HEW 1 HEW 2 HEW 3 HEW 4 HEW 5 HEW 6 HEW 7 HEW 8 HEW 9 HEW 10 Assoc. Director Director TAFE T1.1 TAFE T1.2 TAFE T2.1 TAFE T2.2 TAFE T3.1 TAFE T3.2 TAFE T4.1 TAFE T5 SE1 SE 2 SE 3 TOTALS Diversity ATSI* Employment type Full time employment Part-time employment Ongoing Fixed-term (include proposed end date) *ATSI: Aboriginal and Torres Strait Islander Staff Ongoing Fixed-term (include proposed end date) CRICOS Provider No D Page 10 of 17

11 Appendix A Template 3 Surplus/Gap Classification Position Title Total A B C D E HEW 1 HEW 2 HEW 3 HEW 4 HEW 5 HEW 6 HEW 7 HEW 8 HEW 9 HEW 10 Assoc. Director Director TAFE T1.1 TAFE T1.2 TAFE T2.1 TAFE T2.2 TAFE T3.1 TAFE T3.2 TAFE T4.1 TAFE T5 SE1 SE 2 SE 3 TOTALS Gender Diversity Employment type Male Female ATSI* Full time employment Ongoing Fixed-term (include proposed end date) *ATSI: Aboriginal and Torres Strait Islander Staff Part-time employment Ongoing Fixed-term (include proposed end date) CRICOS Provider No D Page 11 of 17

12 Appendix A Template 4 Surplus/Gap Strategies Development Surplus/Gap Strategies Development Specify the surplus/gap. What is the size and impact of the surplus/gap? What priority will be given to the surplus/gap? (High, Medium or Low) What strategies will be implemented to address the surplus/gap? What will the impact of the strategy implementation be on the budget? Any other benefits? E.g. How serious is it? What will happen if it is not addressed? Insufficient staff in Level B classification to meet the Accounting is a popular subject and X number of students High Recruit two additional staff members. One additional Level B salary of X amount. teaching requirements of anticipated to enrol for the Accounting II due to volume of course in given number students and current lecturer of Accounting I students taking 12 months maternity currently. Will not be able to leave starting 5 February meet teaching requirements Staff will have to be pulled off other courses to assist impacting on the quality and availability of other courses. CRICOS Provider No D Page 12 of 17

13 Appendix B Considerations that can inform Workforce Planning Teaching and Learning How is the demand for your programs going to change (domestic and international)? What educational and teaching legislative changes have occurred? How are students /industry needs and expectations likely to change? What new products or services will be introduced? new programs or courses new student services What expansion of existing activities is planned? international new programs What activities will be discontinued? program renewal or closure organisational changes Do staff have appropriate teaching qualifications for particular programs? Does the staffing composition (full-time, part-time, sessional/casual) support quality delivery of programs and program management? Does the staffing composition support the changeable nature of the environment? Does the staffing composition support international activity? How can student feedback/survey outcomes be used to support development and improve performance? How can staff best utilise new technology to support teaching & learning (eg online)? Research and Innovation What proportion of staff are currently research active? What (if any) barriers can be removed to support staff engaged in research? How will the ERA affect your School s research outcomes? What proportion of staff are currently completing PhDs? How can PhD completion be encouraged and supported (e.g. building into staff Work Plans)? What proportion of staff are available to supervise research higher degree students? Is this sufficient? CRICOS Provider No D Page 13 of 17

14 Appendix B What activities will be discontinued? conclusion of projects or consultancies organisational changes What expansion of existing activities is planned? enhanced industry partnerships additional research projects or consultancies higher student enrolment targets What proportion of your research staff have more than one research discipline and can display flexibility in research options? What proportion of your research staff are continuing, fixed-term or casual? At what levels are your research-active staff? What proportion of staff engaged in research are funded through grants, external funding, or internal funding? How do the various research activities of the discipline contribute to the Cost Centre and University goals and objects/growth? How is this measured? What proportion of your research and innovation activities are long term and show potential for growth? Organisation and Management Are there any new resources that will become available? new research facilities School mergers/structural changes new projects What opportunities exist to use new technologies to improve service delivery? How will new technologies impact on the way work is organised or conducted? application of multimedia and on-line learning business and information systems What changes in operating methods or productivity improvements are planned? different service delivery methods changes to administrative processes student:staff ratios structural or technological changes course rationalisation CRICOS Provider No D Page 14 of 17

15 Appendix B Are there any changes in administration, information or control systems planned that will impact on the organisation of work? decentralisation or centralisation changes to delegations technological changes process simplification Are the structures and systems appropriate for future requirements? number of positions and levels job roles and position descriptions management skill and experience flexibility and responsiveness communication systems Is the current staff mix appropriate for future requirements? academic, technical, administration, management etc continuing, fixed-term and casual employees different areas of expertise Academic appointment-level balance Does the staffing composition provide effective administrative support for research and teaching activity? Are casuals and sessional staff utilised appropriately for short-term work or peak workloads? Are the roles that currently carry out the core business functions the same as what they will be in the future? Are there any critical roles that are particularly difficult to fill or develop? Have any critical capabilities shortages or surpluses been identified? generic administrative, technical, teaching research capability or grant application partnership development marketing project management How will critical capabilities be developed? only available in the external labour market in the organisation at present training and development of existing staff mentoring, higher duties, secondment or other development opportunities Are there any skills that will become obsolete under future scenarios? CRICOS Provider No D Page 15 of 17

16 Appendix B Is there a sufficient number of senior staff to provide leadership in the School/Section? Is there a sufficient appointment-level balance to allow for meaningful leadership, mentoring and/or succession planning? How can opportunities be provided to support career development of staff? Are career paths linked to performance? Are there staff that are likely to be promoted in the near future? Are there development opportunities available for staff who have been in the same position for a long period? How can opportunities be provided to support development of teachers and academic staff? Are there performance problems (unsatisfactory performance and/or misconduct) that need to be addressed? What workplace issues can be identified? new workplace agreements or changes to conditions of employment workloads new human resource policies and procedures compliance with legislative requirements Are there any foreseeable losses of key staff (eg retirements) over the next 1 to 3 year period? What are the implications? Are there succession plans in place to ensure management positions or other critical roles can be filled? Are there sufficient strategies in place to manage contingencies and maintain continuity of quality service delivery eg staff leaving and not being available? What succession planning and management strategies do you have in place? What retention strategies are in place? Are there any upcoming staff movements (eg staff returning from secondment, staff leaving, staff changing hours of work, staff taking extended leave such as parental leave, long service leave or leave without pay)? Are there any staff turnover issues that need to be addressed? high employee-initiated turnover rapid turnover reasons for employee-initiated separation insufficient staff mobility in certain areas Does the staffing profile reflect the student profile and wider community? Are there any particular groups of staff who are experiencing particular difficulties? Do all groups of staff have the same opportunities? Is there a large cohort of staff approaching retirement age at the same time? CRICOS Provider No D Page 16 of 17

17 Appendix B What diversity and equity issues have been identified? workforce education mix of equity target groups compliance with legislative requirements recruitment and promotion rates Are there any trends in leave that impact on business objectives? Are there any absenteeism issues? Is there a significant leave liability that will need to be reduced in the coming year? Are there any trends in health and safety incidents that need to be addressed? What occupational health and safety issues have been identified? responsibilities and accountabilities workforce education compliance with legislative requirements management of incidents number of incidents/claims workload and stress issues - end - CRICOS Provider No D Page 17 of 17