Succession Plan

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6 Νοε 2013 (πριν από 3 χρόνια και 8 μήνες)

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SUCCESSION PLANNING


Jonathan P. Ruff, P.E.

Environmental Manager

City of Plattsburgh, NY


ruffj@cityofplattsburgh
-
ny.gov

518
-
536
-
7519

Agenda


What is Succession Planning?



Why is it important?



How do we do it?



Case Study

Houston, we’ve got a problem.

Crisis Background


78 million Baby Boomers turning 65 in 20 years



16% of workforce is over 55.



25% over 55 by 2020.



Retiring en
-
masse.



Insufficient replacements available.

Employees Leave


They always do


Preparation for that day is Succession Planning






I understand that most of you are from relatively
small organizations.



I’m going to lay out the “traditional” approach
that large organizations typically use and then
come at it with a modified approach that tries to
account for the needs/constraints of smaller
organizations.



Disclaimer

Succession Planning


Introduction/Definitions


Context


Developing the Plan


Implementation


Succession Plan



The process of developing a systematic approach
to building replacement workers to ensure
continuity, by identifying potential successors in
critical

work processes.

Succession Management



The integrated approach to workforce
recruitment, development, and retention to
ensure that the organization has candidates
whose present and future potential contribute to
their individual success and the success of the
organization.



Knowledge Transfer



Processes and strategies that allow an
organization to:


Document key data and policies for critical work
processes


Exchange key process data and information from
one individual or group to another


Define how vital and important information will
be retained within the organization despite
attrition


Context


Employer


Ensure a sufficient supply of talent
for key roles and tasks.



Employee


Provide clear opportunity to grow,
learn, evolve, advance.



Customer


Results. Employees who are reliable,
knowledgeable, and meet their expectations.

More Context


Civil Service




Leaders need to prepare in advance to create
smoother implementation and more
options
.



Create a partnership with Civil Service in
advance


Identify key personnel who can help


Share your goals with them


Get them involved in your planning process.


Developing the Plan


Basic Steps


Institutionalize the process and capture
stakeholder support


Conduct assessments of organizational needs


Develop the succession planning model


Implement succession planning strategies


Continuously measure, evaluate, and adapt


Step 1



Institutionalize the process and capture stakeholder support



Gain commitment from decision makers


Demonstrate why it’s needed and benefits


Gather resources


Senior leadership


HR/Civil Service


Union representative


Employees groups


Identify the strategic vision and goals of the organization


Make succession planning a priority


Strategic plan will determine # future employees and skills
needed


What will succession program look like? What will it do for
organization?


Incorporate succession planning into your organization’s values


Clearly define the objectives for the program

Step 2


Assess Organization’s Needs


As is


To Be


Gap Analysis

Step 2A


“As Is” Assessment


Collect and analyze organization and demographic data


Retirements?


New leaders being developed?


Are you identifying new leaders?


What is average age and tenure of current employees?


What are attrition and vacancy rates?


Identity and prioritize key work processes/positions


Which are most critical?


Which have the least amount of resource depth?


Which processes are documented?


Are future leaders prepared?


Identify condition and availability of resources and systems


What items are needed to do work? Maps, policies/procedures, training
guides?


Are they accessible and up to date?


What technology systems are currently in use?



Step 2B


“To Be” Assessment


Analyze future requirements for services


Future
demand


Customer expectations


Regulations


What are the goals of the Strategic Plan


Demand placed by
SP


How will SP change workforce/leadership
requirements


What are upcoming changes in the industry
?


What demands will technology place on
organization
?


Step 2C


Gap Analysis


How does “as is” organization fall short of “to
be”?



Workforce


Do current organizational demographics look like the
future ones?


Are you prepared to handle shifts in demographics?


Do we have the people skills to keep up with the change?


Processes


Which ones are most susceptible to changes in personnel?


Where are we most susceptible to losing essential
knowledge?


Systems/Resources


What info will we need or not need in the future?


What information needs to be more accessible?


How will technology change our resource needs?


Determine the talent needs on the long run


Identify the core leadership KSAs to bridge the gap.


What will future leaders look like?


What skills and behaviors will make them successful
?


Step
3
-

Develop
the Succession
Planning Model



Determine which employees or levels of employees will be
involved in program.


Build leadership pipeline.


Identify internal talent with critical competencies (KSAs).


Analyze external sources of talent.


Identify training and development strategies.


Formal professional development.


Coaching and mentoring.


Use cross training/multi
-
skilling.


Job shadowing.


Identify career paths.


Develop retention strategies.


Create knowledge management and transfer strategies
.

Model


Page 28 Model.


Step 3 outlines the model.


Not one size fits all. Adapt to your organization.


Step
4
-

Implement
Succession
Planning Model



Determine resource needs for implementation.


Identify barriers to implementation.


Update or develop job descriptions.


Prepare organization for change.


Establish communication plan.


Connect with stakeholders and get their buy in.


Identify and establish peer and leadership champions of change.


If needed, implement strategies on pilot basis.


Link succession strategies with HR.


Recognition


Workforce planning


Assessment strategies


Recruitment strategies


Train staff as necessary.


Step
5
-

Continuous
Measurement,
Evaluation, and Adaptation



Define measures of program success


Determine how frequently the program will be
evaluated.


Design the reporting process.


Track progress, communicate and celebrate program
success.


Get stakeholder feedback on strategy success.


Adjust or adapt programs based on evaluative results.


Ensure top management stays engaged and provides
support and attention to program.


Make 3 to 5 year succession plans part of organization’s
strategic planning process.


IMPLEMENTATION


Develop pilot program in one department.


Track and measure how it’s working:


Turnover


Employee survey results


Participant satisfaction


# Individuals promoted vs
. outside
hires


# “ready now” candidates


Diversity of talent pools


Size of talent pools


Communicating Program


Share with everyone how it’s going.


Use multiple methods



Costs/Benefits


Costs


highly variable and hard to quantify


Consultant, in
-
house time, lost production.


Employer Benefits


Stabilize performance


Ensure continuity of leadership


Develops pool of skilled workers


Minimizes disruption during change


Enhances knowledge transfer


Makes “employer of choice”


gets you the better workers


Employee Loyalty/Commitment


Opportunity for skills development/training


Increased organizational resiliency/capacity


Employee Benefits


Improves communication and morale


Improved effectiveness


Improve working relationships


Personal/Professional growth


Customer Benefits


Improved staff knowledge


More efficient service


Increased staff responsiveness/pride


Better run organization



Common Pitfalls


Keeping it a secret


Underestimating talent within


Narrow minded thinking


too old/young, rough,
different


Focusing exclusively on hard skills


Not offering training/development opportunities


Expecting employees to self
-
identify


help them
see what they can be.


Not holding managers accountable for succession
planning.


Considering only upward succession. Lateral?


One size fits all program.


Producing too many candidates for too few spots.

Program Participation


Recruit and develop bright career minded
individuals who appreciate recognition.


Voluntary opt
-
in.


Provides self
-
directed careers.


Leadership Competencies



Defines attributes desired.


What an employee must achieve to show
proficiency at each level.


Effectiveness, communication, ethics,
knowledge, developing people,
flexibility/adaptability, strategic initiative,
effective decision making, customer orientation,
achievement orientation, team orientation.


Knowledge Transfer and Retention
Strategies



Document processes and records.


Hire new person before old one leaves.


Rehire retirees part time.


Make videos of people doing work.


SOPs, standardized record keeping formats,
archiving and data retrieval systems.


Cross training existing staff.


What’s a small organization to do?


Create organizational chart.


List age, years of service.


When do you expect people to leave?


Where do you expect to get replacements?


If they’re abundant and readily available, ok.


If not, where will they come from?


Need to develop in advance?


Recruit for exam?


Trade schools, military, minorities?

Mission Critical


Identify “Mission Critical”
positions/tasks
.


If this skill set, expertise, license, person is
suddenly unavailable, we can’t function or
something really bad can happen.



It might be something that’s not readily
apparent.


Payroll, IT, pesticide applicator’s license, CDL.



How many positions/people can perform this
task?


If only one, “Houston, you have a problem.”


You need to plan for back up or when they leave.



Try to figure out when they
plan

to leave.



You need to develop a plan for that event.



In the meantime, you still need to provide back
up for while they’re there.


Some Possibilities


Cross training



Multi
-
skilling



Retiree/Part timer



Outside sources of talent



Contractors

Contracting Possibilities?


Electrical



I&C



Payroll



Retirees


Redundancy, training, transition, sick/vacation.

Institutional Knowledge


SOPs:


Have employees write down how to perform MC
tasks from the perspective of someone who knows
nothing and needs to be able to do it.



Have them create a video that demonstrates and
it.

Case Study


City of Plattsburgh WPCP


WPCP


16 mgd


23 Employees


Compost Plant


140 wtpd


7 Employees


Now


No Compost


WPCP


11 Employees



2000


Many retirements looming



Significant system changes

Developing the Plan


Basic Steps


Institutionalize the process and capture
stakeholder support


Conduct assessments of organizational needs


Develop the succession planning model


Implement succession planning strategies


Continuously measure, evaluate, and adapt


Assessment


Staffed 24/7


7 Operators


6 Maintenance Workers


6 Lab Technicians



Flows dropped


Loads dropped


Revenues dropped

WPCP Organizational Chart

CPO

Storekeeper

Typist

Lead/Process Operator

6 Maintenance Staff

7 Operations Staff

Water Resources


Chemist


6 Lab Staff


Saw retirements coming.


Stepped back and looked at the work.


Had everyone list what they did all day and how
long it took.


Evaluated whether all of the work actually needed
to be performed.


Were able to eliminate much of the work and
reorganize how it was done.


Don’t have as much work


Only needed 8/7.


Significant lab reduction.


Not as much actual maintenance as we thought.


Still needed operators for required certified
coverage.


Decided to go operator heavy and maint/lab
light.


Plan


Keep operators.


Cross train/certify maint/lab staff to transfer as
operators retire. Eliminate their old position.


Now:


6 Operators


2 Maintenance


No lab techs


SOPs

Act


Created draft plan


Shared with employees and union


Got their feedback


Modified plan


Conveyed that plan was dynamic


Created schedule for implementation


Created schedule for review and revision


Now Looking at Management


All 3 managers plus admin gone in 5 years.


140 years of experience.


Identified all mission critical tasks and licenses.


Scary list.


Compliance sampling and reporting.


Industrial pretreatment.


Decision making.


Scheduling


Payroll


Process control


Data management


Computers


Project management, bid specs


4A Certification


Developed Progression/Succession Program.



Staff can volunteer to learn mission critical tasks.


Once proficiency developed, recognition and pay
bump.


Provides:


Back up/Redundancy


Pipeline


Continuous learning environment


Excitement/Competition


Organizational capacity/resiliency.

Step 1



Institutionalize the process and capture stakeholder support



Gain commitment from decision
makers


ME!


Demonstrate why it’s needed and
benefits


less$


Gather
resources


CPO, Lab Manager, ME!


Senior
leadership


CPO/Lab Manager


HR/Civil
Service


Talked to both


Union
representative


Pulled in shop steward/
Prez


Employees groups


Identify the strategic vision and goals of the organization


Make succession planning a
priority


Yes.


Strategic plan will determine # future employees and skills
needed


Looked at actual work.


What will succession program look like? What will it do for organization
?
More cross trained operators, less
maint
/lab


Incorporate succession planning into your organization’s
values


Imposed.


Clearly define the objectives for the
program


fit # workers to actual work.

Step 2A


“As Is” Assessment


Collect and analyze organization and demographic data


Retirements
?
Many coming, across titles.


New leaders being developed
?
Huh?


Are you identifying new leaders
?
Round 2/3.


What is average age and tenure of current employees
?
Old/Forever.


What are attrition and vacancy rates
?
Nil.



Identity and prioritize key work processes/positions


Which are most critical
?
Operators.


Which have the least amount of resource depth
?


Which processes are documented
?
None.


Are future leaders prepared
?
No, round 2/3.


Identify condition and availability of resources and systems


What items are needed to do work? Maps, policies/procedures, training
guides
?
All.


Are they accessible and up to date
?
Some accessible, not up to date.


What technology systems are currently in use
?
Old ones.



Step 2B


“To Be” Assessment


Analyze future requirements for services


Future
demand
-

Lower


Customer
expectations


Controlled costs


Regulations


always getting stricter


What are the goals of the Strategic Plan


Demand placed by
SP


less staff, 8/7, cross train


How will SP change workforce/leadership
requirements


move to ops, develop decisions


What are upcoming changes in the industry
?
-

?


What demands will technology place on
organization
?
More computer savvy, IT


Step 2C


Gap Analysis


How does “as is” organization fall short of “to
be”?



Wanted mostly operators. Progress from
Lab/maintenance to operations.


Develop critical thinking/decision making skills.


Develop Lead Operator training.


Cross train Ops to maintenance and lab.


Develop technology skills.


Step
3.1
-

Develop
the Succession
Planning Model



Determine which employees or levels of employees
will be involved in program
.


Lab/
Maint


Build leadership pipeline.


Identify internal talent with critical competencies
(KSAs
).


ID’s specific people with promise.


All ops got turns as Lead Operator


Analyze external sources of talent
.


Reviewed Civil Service lists in advance.


Recruit for exams.

Step
3.2
-

Develop
the Succession
Planning Model



Identify training and development strategies.


Formal professional development.
Certification classes, in
-
house, proficiency
program, NYWEA.


Coaching and mentoring.
Trainees teamed up.


Use cross training/multi
-
skilling.
Lab/maint,
project management, decision making.


Job shadowing.
Interns.


Identify career paths.
In progress.

Step
3.3
-

Develop
the Succession
Planning Model



Develop
retention strategies
.


Not an issue.


Create knowledge management and transfer
strategies
.


Inventory documents, plans, reports.


Develop/Update SOPs.


Some videos.

Step
4
-

Implement
Succession
Planning Model



Determine resource needs for implementation.

Managers.


Identify barriers to implementation.
Staff/Union, Civil
Service, DEC, MUs, alarms.


Develop or update job descriptions.
Reviewed. Ok.


Prepare organization for change.


Establish communication plan.
Meetings to explain
what/why.


Connect with stakeholders and get their buy in.
DEC,
MUs, EOs.


Identify and establish peer and leadership champions
of change.


ID’d ambitious employees, existing leaders and did
one on one.


If needed, implement strategies on pilot basis.
Too small.


Link succession strategies with HR.


Recognition


Stars, acknowledgement at staff
meetings, personal thanks.


Workforce planning


Looked at actual work,
what can we reduce/eliminate, practice/dry
runs on tasks.


Assessment strategies


Recruitment strategies


Train staff as necessary.


Step
5
-

Continuous
Measurement,
Evaluation, and Adaptation



Define measures of program
success.
Compliance/safety


Determine how frequently the program will be
evaluated
.
Routine staff meetings.


Design the reporting process
.
Informal.


Track progress, communicate and celebrate program
success
.
Monthly.


Get stakeholder feedback on strategy success
.
?


Adjust or adapt programs based on evaluative results
.
Yes!


Ensure top management stays engaged and provides
support and attention to program
.
Managers.


Make 3 to 5 year succession plans part of organization’s
strategic planning process.


Questions/Comments?

Jonathan P. Ruff, P.E.

Environmental Manager

City of Plattsburgh, NY


ruffj@cityofplattsburgh
-
ny.gov

518
-
536
-
7519