Succession Planning - Central Washington University...Succession planning is an integral part of the...

Succession

Planning Prepare the right people for the right jobs at the right time.

Succession planning is an integral part of the strategic planning process. It connects you to CWU’s long-term goals and objectives, helps mitigate risk associated with turnover, and cultivates existing talent by matching promising employees with future organizational needs.

Succession Planning ties to a wide-range of Human Resource (HR) management functions, including recruitment, performance management, and training and development.

Your HR Partner is available to assist you with succession planning and help coordinate the process with your department and appropriate HR staff.

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Table of Contents

Objectives of Succession Planning.….…………………………………………………………………….

Process Overview..…………………………………………………….………..…………………………...

Step-By-Step Process..….……………………………………………………..........................................

1. Review/Update Current Organizational Chart.……………………………………………………

2. Conduct Departmental Needs (Current and Near-Term)..………………………………………

3. Identify Pivotal Positions and/or Incumbents.…………………………………………………….

4. Assess Risk of Turnover in Pivotal Positions.…………………………………………………….

5. Assess Opportunities Within Current Staffing…………………………………………………….

6. Integrate Action Plan With Individual Performance Development Plans (PDP).……………...

Forms

Planning for Vacancy of Pivotal Position..….………………………………………………………………

360° Feedback.………………………………….…………...……………………………………………….

Professional Development Plan (PDP)..…………………………………..............................................

Determine pivotal positions

Identify and prepare immediate backup to fill short-term vacancies in pivotal positions

Develop viable internal candidates for future vacancies*

Project future staffing needs and competency requirements based on institutional goals and workforce

trends and predictions

Identify obsolete or declining functions

Develop promising leaders

What are Pivotal Positions?

Positions that are critical to the success of a department—or CWU as an

organization—because of specific strategies, process constraints,

resources, or competitive differentiators

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Objectives

*Note: While candidates must still compete for an open position through the search and selection process,

internal candidates strengthen the candidate pool when they have benefitted from mentoring, training,

experiential opportunities and performance feedback.

1. Review/update current organizational chart

2. Conduct needs analysis (current and near-term)

3. Identify pivotal positions and/or incumbents

4. Assess risk of turnover in pivotal positions

5. Assess opportunities within current staffing

6. Integrate action plan with Individual Performance Development Plans (PDP)

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Process Overview

The level of analysis necessary at each step of the succession planning process will differ among departments and by positions. Feel free to customize the process to suit your individual needs. HR is available to assist you and your management team throughout the process.

1. Review/Update Current Organizational Chart

A current organizational chart is the foundation to begin succession planning. Review your current department organizational chart and update as needed.

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Step-by-Step Process

2. Consider Departmental Needs (Current and Near-Term)

Compare the knowledge, skills and abilities (KSAs) of your staff with both current needs and projected needs over the next two to three years. When assessing needs, think broadly about KSAs, including areas such as institutional knowledge, technical skills, and leadership ability.

You may find a gap analysis is useful at this phase to help identify what lies between where your department is and where you want it to be. A gap analysis is simply the process of considering what it will take to move from your current state to your desired future state.

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TIP Referring back to your organizational chart and focusing on the people in various positions may help you identify unmet needs. Consider the following:

Are there projects you may not be able to move forward due to limitations of

current staff time or skills?

What additional skills would enable you to better serve your customers?

3. Identify Pivotal Positions and/or Incumbents

Pivotal positions are those you consider critical to your area—either strategically, operationally or both. Evaluate who (staff or position) is key for performing and providing essential services and achieving business needs for your department.

Considerations:

You may choose to designate a position as pivotal because of the importance of the duties and responsibilities or because of the incumbent’s specialized KSAs.

You may have multiple positions with the same title and determine some, but not all of the positions are pivotal based on particular incumbent qualities or future needs.

If you decide not to designate a position as pivotal, it doesn’t mean you could or should eliminate that position. It simply means turnover in the position would not be overly disruptive to your area.

Mark positions and/or incumbents you consider pivotal on a copy of your organizational chart.

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4. Assess Risk of Turnover in Pivotal Positions

Use the Planning for Vacancy of Pivotal Position Form (p.10) as a tool to focus on each of the positions you designated as pivotal. The form will help you assess the risk and develop mitigation strategies, should the position become vacant. You will want to consider a number of factors, including:

What is the operational effect of a vacancy in this position?

What effect on leadership would a vacancy in this position create?

Who is available as immediate, short-term backup for this position?

Are there qualified internal candidates to fill the position on an ongoing basis?

Based on workforce trends, what is the supply of qualified external candidates?

How long would it take a replacement to become fully functional?

How likely is the current incumbent to leave the position?

While anyone could leave unexpectedly, you can estimate likelihood, based on factors such as retirement eligibility or the incumbent’s desire for transfer or promotional opportunities. HR can provide information such as retirement eligibility, seniority, and tenure to help with your analysis.

Employees who do not currently possess the necessary KSAs to be successful in the position, but are identified as immediate backup or as potential candidates, will need development plans.

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5. Assess Opportunities Within Current Staffing

Beyond planning for vacancies in pivotal positions, you will want to assess and develop strategies for any unmet current or near-term needs you have identified. If adding positions to meet needs is not an option, you may want to assess opportunities to reorganize or retrain and reassign individuals.

When selecting potential candidates for current or future needs, consider incumbents in declining or less

essential functions and/or those with high potential who are not challenged in their current position.

Why consider internal promotions? Facilitating career development helps reduce or eliminate the need for talented employees to seek opportunities elsewhere. Retention and internal promotion preserve institutional knowledge and minimize disruption to operations.

While all employees should be supported to grow and develop, you may wish to identify candidates for immediate development in the following ways:

Assess potential

Assess current performance

Consider motivation

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Assess potential Oftentimes, high performing employees are promoted to management positions that require a completely different skillset and mindset to be successful. A mismatch negatively impacts both the employee and the organization. Be sure to consider the differences between high potential (see questions below) and high performing employees.

Questions to help identify high potential employees:

Does the person take charge and make things happen or sit back and let things happen before

producing?

Do obstacles stop the person? Or do they represent challenges, not threats?

Does the person inspire confidence in his or her decision making?

Can the person lead through persuasion and influence? Can he or she serve as an effective sounding

board to others who are struggling with complex issues?

Do others trust the person to lead projects and teams, even though he or she doesn’t have a

leadership title?

Can the person keep a high-level perspective? Are priorities apparent, or does she or he become

mired in the details and tactics?

Assess current performance Regularly observe employees and their work, review performance evaluations, and/or conduct a 360° assessment, using the 360° Feedback Form (p.11) to gather feedback on an employee’s performance from various perspectives.

Consider motivation Are potential candidates interested in advancing their careers? Are they committed to learning new skills? If employee aspirations do not match organizational goals, you may wish to consider other candidates. Ask yourself how you will nurture the leaders of the future without alienating fellow workers who may not meet the requirements for the top job. Is there an opportunity to develop multiple employees?

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High potential/high performance

High potential/high performance people are highly promotable and should be included in the talent pool for pivotal positions. Aim to keep employee turnover

low in this category.

High potential/poor performance

Finding ways to improve the performance of high potential/poor performance employees improves their potential for promotion. They should not be

part of the talent pool for now, but may be promotable at a later stage.

Low potential/high performance

Keep people in the low potential/high performance category in their current position. Motivate them to

maintain their performance.

Low potential/poor performance

Seek to improve the performance of people in the low potential/poor performance category

6. Integrate Action Plan with Performance and Development Plans

In addition to clarifying expectations, Performance and Development Plans (PDPs) provide the framework for setting goals to enhance employee knowledge, skills, and abilities—making employees better able to provide backup for other positions, and become qualified candidates for promotional opportunities. The goals on PDPs for employees in your area should align with and support your succession plan.

Integrating your succession plan with employee PDPs is essential. You may discover you also need training to enhance your skills (coaching and mentoring, and performance feedback) to facilitate the development of your staff. Reach out to your HR Partner if you need assistance creating PDPs for your team.

The PDP should reflect the specific knowledge, skills, and abilities to be acquired or enhanced, which may include managerial, technical and/or department specific skills. Plans should also include specific timelines and methods for acquiring the stated knowledge, skills, and abilities. Methods may include job shadowing, stretch assignments, temporary job rotation, mentoring, and attending professional development courses through CWU or outside sources.

Performance Development Plan Form (p.12-17)

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If you would like help with Succession Planning, the Human Resources staff is happy to assist. Please contact your HR Partner who will coordinate the process

with your department and appropriate HR staff.

PLANNING for VACANCY of PIVOTAL POSITION

This form may be used to facilitate assessment of risk and development of mitigation strategies for key positions.

Part 1 Pivotal Position Title:

Specialized Knowledge, Skills, and Abilities (KSAs):

Name of Incumbent:

How would vacancy affect the area in terms of operations and leadership?

How long would it take a qualified replacement to become fully functional?

Likelihood of departure (consider retirement eligibility/desire for transfer):

Does a procedure or operational guide need to be developed or updated for this position? If so, are there plans in place

to accomplish that?

Part 2 Use the table below to assess the following: Immediate backup for short-term and/or unexpected vacancy Consider who could provide immediate, short-term backup. If a single individual is not appropriate, consider how the duties could be divided. You may want to consider making arrangements for cross training outside of your area with a position of similar skills and duties.

Internal candidate to permanently fill the position Consider high potential employees who are now, or may develop into strong candidates who could compete for the position through the search and selection process. Consider those who have demonstrated an interest in promotion, are not fully challenged in their current position, and/or are serving in functions that are becoming obsolete or less critical to operations.

Name Considered

immediate backup, internal candidate, or both

If the individual is not currently prepared, what additional KSAs are needed, and how will they be developed?

Acquiring the necessary KSAs listed above should be incorporated into individual Performance and Development Plans (PDPs).

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360° Staff Performance Feedback As part of the employee’s performance evaluation process, please complete and return this feedback form at your earliest convenience

but no later than . In each category, mark the item which best describes the employee’s performance based on your experience.

PERFORMANCE FEEDBACK:

Employee Name

(Last) First) (M.I.)

Performance Period Dates

To

I am a customer co-worker subordinate supervisor other ( ) of the employee.

EVALUATION

Interpersonal and Communication Skills: Exhibits

appropriate behavioral characteristics toward clients, customers, and peers. Listens well, makes contributions, and keeps others informed.

Outstanding skills for this job. Very desirable skills for this job. Skills satisfactory for this job. Some skills need to be developed for this job. Skills unsatisfactory for this job. No knowledge of this skill.

Comments:

Client/Customer Service: Serves the customers/clients in a

competent manner. Utilizes resources properly and realistically to accomplish tasks.

Very competent; understands and uses proper resources. Competent and usually uses proper resources. Understands resources, but does not always use them. Limited knowledge of available resources Does not understand or utilize proper resources. No knowledge of this behavior.

Comments:

Courtesy: Provides polite attention to other people.

Always very polite; goes out of the way to assist customers. Agreeable and pleasant; assists when requested. Polite to customers; limited assistance. Tends to be argumentative. Blunt; discourteous No knowledge of this behavior.

Comments:

Responsiveness: Responds to tasks or requests in a cooperative

and timely manner.

Extremely cooperative; completes all tasks/requests in a timely manner. Cooperative and usually completes tasks/requests on time. Accommodates tasks/requests as best he/she can. Gets to tasks/requests at his/her own convenience. Continuously delays completion of tasks/requests. No knowledge of this behavior.

Comments:

Problem Solving: Works independently; uses good judgment

to make decisions with amount of information available.

Exceptionally keen and alert when solving problems. Recognizes problems and recommends solutions. Usually quick to solve problems on own initiative. Solves problems but may need help from others. Requires help with solving problems. No knowledge of this ability.

Comments:

Teamwork: Helps others to resolve problems quickly, gets along

with co-workers; maintains a positive, supportive work environment; promotes a “can do” attitude to achieving goals.

Exceptional team player - always goes the extra mile. Outstanding team player - always willing to help/can be a leader

or a team member. Good team player.

Needs frequent reminders or encouragement to accomplish team activity.

Prefers working alone. No knowledge of this behavior.

Comments:

Additional Comments:

Feedback Provided By PRINT NAME

Summarize my comments with those of others.

My feedback may be shared with the individual.

_

Signature Date

8/09 11

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__ Initial Expectations __ Interim __ Final Evaluation

Performance Expectations and Ratings

Critical Performance Elements (add more as needed) Development of performance expectations and goals is a collaborative process between the supervisor and employee. Use the SMART method for setting goals (Specific, Measurable, Applicable/Achievable, Relevant, and Time Orientation/due date). Example: Strive to achieve and maintain an error rate of less than 5% on financial transactions by the end of the fiscal year. 1.

2.

3.

4.

5.

Performance Evaluation Factors Use Comments sections below to give feedback and document performance. For example, Quality of Work might receive a score of 3 at the interim review with a comment such as, You’ve done a good job getting your error rate down to 7% from 10%; continue using your audit tools to identify errors and keep working toward our goal of 5%. Interim Final

Meets Job Expectations

• Consider overall performance of job duties described on position description

Outstanding performer; goes above and beyond required job duties. 5 5

Exceeds expectations in completing required job duties. 4 4

Satisfactorily completes assigned job duties. 3 3

Performance of job duties requires improvement. 2 2

Unsatisfactory performance of job duties. 1 1

Interim review comments/feedback: Final Evaluation comments:

Performance Development Plan/Performance Evaluation

Employee Data

Employee Name and ID:

Title or Classification Employee Type

Exempt Civil Service

Supervisor Name and ID:

Title or Classification

Evaluation Period From: To:

Department: Division: ASL BFA Ops Pres

Were any changes made to Position Description after review? Yes No

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Job Knowledge Consider factors such as: • Level at which the

employee understands and applies laws, rules, policies and procedures

• Demonstrated level of expertise and understanding

Demonstrates thorough understanding and application of all phases of job. Performing at expert level.

5 5

Very well informed, seldom requires assistance and instruction. 4 4

Demonstrates satisfactory job knowledge; understands and performs most phases of job well. Requires occasional assistance or instruction.

3 3

Demonstrates limited job knowledge; frequently requires instruction or assistance. Additional training required.

2 2

Demonstrates insufficient knowledge to perform effectively. 1 1


Quality of Work Consider factors such as: • Attention to detail • Accuracy of services or

information provided • Customer feedback

Demonstrates highest quality possible, final job virtually perfect. 5 5

Quality above average with very few errors and mistakes. 4 4

Quality very satisfactory, usually produces error-free work. 3 3

Room for improvement, frequent errors, work requires checking and re-doing.

2 2

Very poor quality, excessive errors and mistakes. 1 1

Mid-Year/Interim review comments/feedback: Final Evaluation comments:

Judgment Consider factors such as: • Analysis of options and

determination of appropriate course of action

• Effectiveness of decisions

• Ability to separate fact from anecdote

• Evaluates facts and data to make decisions

Uses exceptionally good judgment when analyzing facts and solving problems.

5

5

Above average judgment, thinking is very mature and sound. 4

4

Handles most situations very well and makes sound decisions under normal circumstances.

3 3

Uses questionable judgment at times, room for improvement. 2

2

Uses poor judgment when dealing with people and situations. 1 1


Accountability and Dependability

Consider factors such as: • Timeliness • Attendance • Accepts responsibility

for own work and/or mistakes

Highly effective, always gets the job done on time. 5 5

Very accountable and/or dependable, above average, usually persists in spite of difficulties.

4 4

Usually gets the job done on time, works well under pressure. 3 3

Sometimes undependable, will avoid responsibility, satisfied to do the bare minimum.

2 2

Usually unaccountable and/or undependable, does not accept responsibility, gives up easily.

1 1


Teamwork Consider factors such as: • Promotes cooperation

Extremely cooperative, stimulates teamwork and good attitude in others. 5 5

Goes out of the way to cooperate and get along. 4 4

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• Acknowledges achievements of team members

• Encourages participation and mutual support

Cooperative, gets along well with others. 3 3

Indifferent, makes little effort to cooperate or is disruptive to the overall group or department.

2 2

Negative and hard to get along with. 1 1

Mid-Year/Interim review comments/feedback: Final Evaluation comments:

Initiative and Creativity

Consider factors such as: • Ability to plan work • Ability to take

initiative

• Ability to make constructive suggestions

Displays unusual drive and perseverance, anticipates needed actions, and frequently suggests better ways of doing things.

5 5

A self-starter, proceeds on own with little or no direction, progressive, makes some suggestions for improvement.

4 4

Very good performance, shows initiative in completing tasks. 3 3

Does not proceed on own, waits for direction, routine worker. 2 2

Lacks initiative, less than satisfactory performance. 1 1


Adaptability and Flexibility

Consider factors such as: • Ability to respond

quickly/effectively to uncertainty

• Acceptance of changes

Extremely flexible, always responds quickly/effectively to uncertainty and adapts very well to constant change.

5 5

Very flexible, responds well to uncertainty and constant change. 4 4

Cooperative, attempts to adapt and be flexible to uncertainty and change. 3 3

Indifferent, makes little effort to be flexible and/or adapt. 2 2

Negative and often responds poorly to uncertainty and change. 1 1


Total Performance Score

Average Performance Score

Complete this section if employee’s duties include supervision Interim Final

Supervision Consider factors such as: • Participation in

recruiting and hiring. • Establishing/evaluating

job performance standards.

• Evaluating performance.

• Taking corrective action.

• Training. • Assigning and

scheduling work. • Acting on leave

requests.

Demonstrates thorough understanding and application of all phases of supervision. Performing at expert level.

5 5

Very effective supervisor. Seldom requires assistance or instruction. 4 4

Satisfactory supervisor. Requires occasional assistance or instruction. 3 3

Limited effectiveness as a supervisor. Frequently requires intervention or assistance. Additional training required.

2 2

Ineffective as a supervisor. 1 1

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Leadership • Takes a long-range

view to develop and promote goals

• Creates environments for success and motivates staff.

• Sets meaningful goals and expectations that are aligned with those of the organization.

• Seeks out and develops initiatives to improve quality, efficiency, and effectiveness.

Exceptional leader. Performing at expert level. 5 5

Above average leader. Seldom requires assistance or instruction.

4 4

Satisfactory leader. Requires occasional assistance or instruction.

3 3

Limited effectiveness as a leader. Frequently requires intervention or assistance. Additional training required.

2 2

Ineffective as a leader. 1 1


Management • Effectively oversees

and directs resources (staff, facilities, budgets, and equipment) for current and emerging needs.

Exceptional manager. Performing at expert level. 5 5

Above average manager. Seldom requires assistance or instruction.

4 4

Satisfactory manager. Requires occasional assistance or instruction.

3 3

Limited effectiveness as a manager. Frequently requires intervention or assistance. Additional training required.

2 2

Ineffective as a manager. 1 1


Total Supervisor Score

Average Supervisor Score

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Training & Development Opportunities

Use this section to identify area(s) of training and development for the employee to focus on during the upcoming evaluation period. Be specific on methods of accomplishing stated outcomes along with target dates for completion (for example: Central Learning

Academy, online training, seminars, conferences, college courses, etc.)

Expectations (Check courses that are to be completed by the employee) Target Dates

Completion Dates

*New Employee Orientation

*Emergency Preparedness (biennially)

*Preventing Employment Discrimination (required every 3 years)

*Preventing Sexual Harassment (required every 3 years)

*Supervisor Enrichment Program (new supervisors)

*In accordance with CWU Policy 2-2.75.

Other Training (Indicate below)

1)

2)

Organizational Support (Optional) The employee may complete this section at any time during the evaluation period. The purpose is to identify assistance or support

that the employee feels he or she may need to be successful in meeting their performance and/or development goals.

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Signatures

Initial Expectations

Supervisor’s Name Supervisor’s Signature Date

Additional comments from supervisor:

Employee’s Name Employee’s Signature Date

Additional comments from employee:

Interim Review





Final Evaluation After the final evaluation has been completed and all signatures are in place, provide the employee with a copy and send the completed original to

Human Resources for the employee’s file. Schedule the initial expectation session for the next evaluation period. The employee’s signature is an acknowledgement that the evaluation form was discussed and reviewed on the specified date.





Reviewer’s Name Reviewer’s Signature Date

Additional comments from reviewer:

Succession Planning - Central Washington University...Succession planning is an integral part of the...

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