William J. Rothwell - Effective Succession Planning (2005)(3-e)(en)

ODT/idp.htm and http://ohr.gsfc.nasa.gov/DevGuide/idp.htm, and a sample training plan about individual development planning can be found at http:// www.doleta.gov/ohrw2w/volume1/v1md11.htm.

Maintaining Talent Inventories

A seventh important component of any effective SP&M program is some means by which to maintain talent or skill inventories. How can the organization keep track of the knowledge, skills, and competencies of existing staff? That is the question answered by talent or skill inventories. Organizations possessing no means by which to inventory talent will have a difficult time locating qualified people in the organization when vacancies occur in key positions or when emergencies arise. Every organization should have some way to inventory its talent.

Succession planning and management inventories may take two forms: manual or automated. A manual system relies on paper files. It consists of individual personnel files or specialized records, assembled especially for SP&M, that take the form of a succession planning and management notebook or Rolodex file. These files contain information relevant to making succession decisions, such as:

▲Descriptions of individual position duties or competencies (for instance, a current position description)

▲Individual employee performance appraisals

▲Statements of individual career goals or career plans

▲Summaries of individual qualifications (for instance, educational and training records)

▲Summaries of individual skills (for instance, a personal skill inventory that details previous work experience and languages known)1

Of course, other information may be added, such as individual potential assessment forms and replacement planning charts.

A manual inventory will suffice for a small organization having neither specialized expertise available to oversee SP&M activities nor resources available for automated systems. A chief advantage is that most of the information is filed in personnel files anyway, so no monumental effort is necessary to compile information on individual employees. However, a manual inventory can lead to difficulties in handling, storing, cross-referencing, and maintaining security over numerous (and sometimes lengthy) forms. Even in a small organization, these disadvantages can present formidable problems.

Even small organizations, however, can now gain access to relatively inexpensive PC-based software that places much information at a manager’s (or HR specialist’s) fingertips. One example is People Manager (see www.gneil.com/ item.html?s-5040&i-878&pos-5&sessionid-S9nac7q-43 5). A second is PeopleTrak (see www.gneil.com/item.html?s-5040&i-695&pos-7&sessionid-S9nac7q-

43 5). A third is !Trak-IT HR (see www.gneil.com/item.html?s-5040&i-591&pos- 17&sessionid-S9nac7q-4 35). Each software package permits some limited talent inventorying that can be useful even in small businesses.

Automated inventories used in SP&M take any one of three typical forms:

(1) simple word processing files; (2) tailored SP&M software; or (3) SP&M software integrated with other personnel records. Simple word processing files are the next step beyond paper files. Special forms (templates) are created for SP&M using a popular word processing program, such as Microsoft Word. Blank forms are placed on disk or CD-ROM. Managers are asked to complete the forms on disk and return them, physically or electronically, to a central location. This approach reduces paper flow and makes handling, storing, and security easier to manage than is possible with paper records. Unfortunately, SP&M information that is inventoried in this manner will usually be troublesome to cross-reference.

Tailored SP&M software is becoming more common. Much of it is now Web-based or suitable for Web applications. Succession planning and management coordinators should review several such packages before purchasing one. The chief advantage of this software is that it is designed specifically for SP&M. Indeed, it can give decision-makers good ideas about desirable features to change, add to, or subtract from the SP&M program. Handling, storing, cross-referencing, and maintaining security over much information is greatly simplified. While software prices were relatively high even a few years ago, they are now affordable to most organizations employing fifty or more people.

The only major disadvantage of this software is that it can present temptations to modify organization needs to satisfy software demands. In other words, software may not provide sufficient flexibility to tailor SP&M forms and procedures to meet the unique needs of one organization. That can be a major drawback. For this reason, SP&M software should be carefully reviewed, in cooperation with the vendor, prior to purchase. Of course, it may be possible for the vendor to modify the software to meet organizational needs at a modest cost.

Succession planning and management software may also be integrated with other personnel systems. In this case—and some large organizations attempt to keep all data in one place, usually in a mainframe system, in an effort to economize the problems inherent in multiple-source data entry and manip- ulation—SP&M information is included with payroll, training, and other records. Unfortunately, such software is usually of limited value for SP&M applications. To be tailored to a large organization’s uses, such software may have to undergo lengthy and large-scale programming projects. A typical—and major—problem with such mainframe HRIS programs is that they provide insufficient storage space for detailed, individualized recordkeeping tailored to unique organizational procedures. When that is the case, it may be easier to use a personal-computer-based system—or else mount a massive, expensive, and probably quickly dated programming effort to modify a mainframe program.

Evaluating the Program

An eighth and final important component of any effective SP&M program is some means by which to evaluate the SP&M program and each of its components. This ensures that continuous program improvement can be made. At this writing, however, no online software currently exists that is specifically tailored to evaluating SP&M programs. Thus SP&M coordinators must prepare their own online and high-tech approaches if they wish to use them for evaluating their programs.

Of course, it should be relatively simple to prepare online questionnaires or other surveys to gather information about the relative value of SP&M programs. Typical evaluation issues that should be addressed will be discussed in the next chapter. Using online methods, however, may increase the speed and ease of response and facilitate data analysis.

Other Applications

There are other online and high-tech applications for SP&M. For instance, you can use software to prepare replacement charts. Best known, and perhaps least expensive, for doing that is probably OrgPlus (found at the time this book goes to press at www.gneil.com/item.html?s-5041&i-601&pos-6&sessionid-S9 nac7q435).

Software can also be purchased to facilitate preparation of forms for succession planning (such as Formtool, described at www.cdromshop.com/ cdshop/desc/p.730526347135.html) or online training support to build competencies. Many so-called e-learning sites exist on the Web, and they can be tied to the competencies that individuals need to build to qualify for advancement opportunities.

What Specialized Competencies Do Succession Planning and Management Coordinators Need to Use These Applications?

The specialized competencies required by SP&M program coordinators to use online and high-tech applications in their programs will, of course, vary by the medium or media that they use and their applications. It is not advisable to try to be all things to all people, so it is best to target specific applications of potential value to the organization and spend only the time necessary to master those.

Succession planning and management coordinators can apply online and high-tech methods in essentially three ways. First, they can try to learn it on their own. The competency requirements to do that can be the most daunting. It means mastery of the subject matter—such as, for instance, performance appraisal—and the technical issues associated with the application. As a simple

example, putting the company’s performance appraisal system on the Web might mean that technical knowledge is required of HTML and JAVA languages. Likewise, preparing Web-based training may require knowledge of the subject matter, instructional design, and the programming languages necessary to place it on the Web.

Second, contractual assistance could be hired to provide help with all or part of the project. That would permit the SP&M coordinator to concentrate on the subject matter and on managing the project. Hence, necessary competencies would focus around the subject area and project management. Technical issues would be handled by a contractor.

Third, the SP&M coordinator could create a team whose members collectively possess the competencies necessary to perform the work. In this case, the coordinator would at least require subject matter competence, project management competence, and facilitation competence to help team members work together. The coordinator may be able to choose team members from within the organization who possess the requisite technical knowledge of the media or medium.

Some competencies are shared no matter which of the three approaches is chosen. First, patience is an essential competency to work with any online or high-tech application. (It is never as easy as it appears to be.) Second, knowledge of the organization’s corporate culture and politics is also important. The SP&M coordinator must understand how decisions are made in the organization and be able to work through that process to achieve the desired results. Third and finally, the SP&M coordinator must be able to excite enthusiasm among other people for the project. Without these competencies, it will be difficult to make any application successful.

Summary

As this chapter has pointed out, online and high-tech approaches are having an important impact on succession planning and management practices. The chapter focused attention on four key questions: (1) How are online and hightech methods defined? (2) In what areas of succession planning and management can online and high-tech methods be applied? (3) How are online and high-tech applications used? and (4) What specialized competencies are required by succession planning and management coordinators to use these applications?

The next chapter focuses on the important issue of evaluating succession planning and management programs. As decision-makers devote more time and other resources to succession issues, they naturally wonder if their efforts are paying off. For that reason, evaluation is becoming more important in succession planning and management.

continues to enjoy the dubious reputation of being the first HR program to be slashed when an organization falls on hard times.

On the other hand, writers on evaluation have tended to pay far less attention to SP&M than to training. One reason could be that systematic SP&M is less common in organizations than training is. A second reason could be that evaluations of SP&M are informally made on a case-by-case basis whenever a vacancy occurs in a key position: if a successor is ‘‘ready, willing, and able’’ when needed, the SP&M program is given the credit; otherwise, it is blamed. While the value of SP&M should (of course) be judged on more than that basis alone, the reality is often far different.

Key Questions Governing Evaluation

To be performed effectively, evaluation for SP&M should focus on several key questions:

1.Who will use the results?

2.How will the results be used?

3.What do the program’s clients expect from it?

4.Who is carrying out the evaluation?

The first question seeks to identify the audience. The second question seeks to clarify what decisions will be made based on evaluation results. The third question grounds evaluation in client expectations and program objectives. Finally, the fourth question provides clues about appropriate evaluation techniques based on the expertise of the chosen evaluator(s).

What Should Be Evaluated?

Some years ago, Donald Kirkpatrick developed a four-level hierarchy of training evaluation that may be usefully modified to help conceptualize what should be evaluated in SP&M.4

Kirkpatrick’s Hierarchy of Training Evaluation

The four levels of Kirkpatrick’s training evaluation hierarchy are reaction, learning, behavior, and organizational outcomes or results. Reaction forms the base of the hierarchy and is easiest to measure. It examines customer satis- faction—that is, ‘‘How much did participants like what they learned?’’ Learning, the second level on the hierarchy, has to do with immediate change. In other words, ‘‘How well did participants master the information or skills they were supposed to learn in training?’’ The third level of the hierarchy, behavior,

has to do with on-the-job application. ‘‘How much change occurred on the job as a result of learner participation in training?’’ The highest level of Kirkpatrick’s hierarchy, the fourth and final one, is organizational outcomes, or results. It is also the most difficult to measure. ‘‘How much influence did the results or effects of training have on the organization?’’

Modifying Kirkpatrick’s Hierarchy

Use Kirkpatrick’s Hierarchy of Training Evaluation to provide a conceptual basis for evaluating an SP&M program. (Examine the Hierarchy of Succession Planning and Management Evaluation depicted in Exhibit 13-1.)

Make the first level customer satisfaction, which corresponds to Kirkpatrick’s reaction level. Pose the following questions:

▲How satisfied with the SP&M program are its chief customers?

▲How satisfied are its customers with each program component—such as job descriptions, competency models, performance appraisal processes, individual potential assessment processes, individual development forms, and individual development activities?

▲How well does SP&M match up to individual career plans? How do employees perceive SP&M?

Make the second level program progress, which is meant to correspond to Kirkpatrick’s learning level. Pose the following questions:

▲How well is each part of the SP&M program working compared to stated program objectives?

▲How well are individuals progressing through their developmental experiences in preparation for future advancement into key positions?

Make the third level effective placements, which is meant to correspond to Kirkpatrick’s behavior level. Pose these questions:

▲What percentage of vacancies in key positions is the organization able to fill internally?

▲How quickly is the organization able to fill vacancies in key positions?

▲What percentage of vacancies in key positions is the organization able to fill successfully (that is, without avoidable turnover in the first two years in the position)?

▲How quickly are internal replacements for key positions able to perform at the level required for the organization?