Workbook

One succession planning tool is knowledge transfer.
Knowledge Transfer - Getting Started

STEP 1

• Management identifies key positions. For large organizations, this task may begin at various administrative levels (determined by management) and rolled forward to upper management.
• Key positions significantly impact agency activities – strategically, operationally or both. A position may be identified as key based on such things as unique skills, future projects, organizational structure, its specialized function, work load or importance of tasks.

Key Position Criteria

• Unique Skills: Required skills not easily duplicated
• Future Projects: What are the functions going to be? Where is the agency going and what type of skills or leadership will it need to get there?
• Specialized Function: Any position that requires specialty or unique expertise. e.g., Rules writer
• Importance of tasks assigned: Any position that, if left vacant, would stop critical function from taking place. e.g., HRIS Manager
• Geographical: Are the same jobs in different locations necessary? Is the job critical because it is in another location?
• Organizational Structure: How the position fits into the overall organization of the area of responsibility. e.g, HRIS Project Manager
• Work Load: Is a position key because it relieves others to make valuable decisions or is the position part of the process by which decisions are made?

STEP 2

• Once key positions are identified at the unit level, it is recommended that the agency’s executive team and other stakeholders, as a group, review and provide feedback regarding key position identification. This provides stakeholders input and an opportunity to ensure key resources, from their perspective, are identified. Stakeholders must recognize that continuity of services is the goal.
• This step is essential and highlights positions that other units may find as “key” positions; it also highlights positions/people that more than one unit is relying on as “key”

STEP 3

Once key positions are identified:

• Management should ensure employees in such positions understand that his/her position is considered a key position and its implications. Communication is essential, employees may become concerned should management suddenly request procedures be documented or request co-workers be cross-trained.
• Management must also identify temporary replacement(s) for all key positions – identified for the short term, e.g., leave, sudden illness, sudden departure, etc. Once the temporary replacement employee is identified, the employee should be notified that he/she will begin, or continue, filling in for the key position during absences. Documenting the key positions and replacements:
• Allows quick list of “key” positions for executives; outlines individuals that are thought of as backup for more than one position
• The short-term replacement should be exposed to the position as much as possible, e.g., during vacation periods, illnesses, special projects, etc.
• AD identifies sources of potential permanent replacements (internal recruitment vs. external recruitment, statewide, nationally, etc.), the level of difficulty in finding such skills, including estimated time to fill (based on historical data from Hiring Gateway, hiring supervisor’s personal experience, current market demand/competitiveness)
• Key positions, position numbers, brief position descriptions, temporary replacements, and knowledge transfer methodology may be captured on a spreadsheet. For sample excel tracking spreadsheet, see Key Position Tracking

STEP 4

• Document competencies, knowledge and skills needed to perform each key position, for sample document, see Knowledge Transfer – Key Position form
• Document procedures, manuals, “how to” guides that are needed or exist for each key position, for guidelines to develop these materials, see Knowledge Transfer/Sharing – Developing Employee Transition Tools
• Document action plans to complete documentation of procedures, methods, etc., if necessary, include timeframe for completion
• Document knowledge transfer methodology and timeframe

NOTE: If all knowledge transfer takes place as “on-the-job” training, review position closely to note any type of documentation that may be created. If truly the only knowledge transfer methodology is “on-the-job” training the “short-term” replacement thoroughly becomes critical.

Action: Document Knowledge Transfer

• Document the competencies, knowledge, skills and abilities of the key positions
• Document methods, procedures, customers, key contacts for the work performed
• Document the processes, methods, tools, and techniques of people in key positions and any special skills and responsibilities
• Determine how knowledge transfer will take place, e.g., on-the-job training; utilizing retiring employees as mentors; appoint retiree's successor to "shadow" the incumbent; utilize other similarly situated employees; specialized training

Competencies
– What is a competency?

• Employee characteristics contributing to successful job performance and the achievement of organizational results. It is the knowledge, skills, and abilities necessary to accomplish a position combined with an individual’s values, motivation, initiative, and self-control.
  

– Knowledge, Skills, and Abilities (KSAs):

• Knowledge is an understanding of facts or principles relating to a particular subject area; skill is the application of knowledge resulting from a development of basic abilities through formal training and practical experience; ability is capacity in a general area that may be utilized to develop detailed, specific skills.
• See KSA Toolkit at http://www.hr.state.az.us/staffingandrecruitment/selectiontoolkit.htm

Examples of competencies

• Competency: Accountability
  • Definition: Can be relied upon to achieve excellent results with little need for oversight.
• Competency: Planning
  • Definition: Logically integrates various ideas, intentions, and information to form effective goals, objectives, timelines, action plans, and solutions.
    
• Competency: Writing
  • Definition: Recognizes or uses correct English grammar, punctuation, and spelling; communicates information (for example, facts, ideas, or messages) in a succinct and organized manner; produces written information, which may include technical material, that is appropriate for the intended audience.
    
• Competency: Interaction With The External Environment
  • Definition: Works effectively within the political environment to meet customer expectations. Exhibits knowledge and shows cooperation regarding intra- and inter-agency programs/activities/responsibilities. Displays sensitivity to public attitudes and concerns while maintaining program integrity and responsibility. Understands and cultivates strategic partnerships. Demonstrates team play. Recognizes impact of alternate courses of action on external environment and customers.
  • In addition to competencies and tasks, complete information regarding how knowledge transfer will take place and the timeframe needed to accomplish training/transfer. e.g., Shadowing, documented methods, procedures, customer contact information, etc.
    

STEP 5

• Follow-up regarding progress towards completion of knowledge transfer materials, e.g, updating manuals, procedures, etc.
• Update key position tracking materials, change in personnel, key positions that should be added or removed, etc. HRIS data and vacancies can be compared with the excel tracking spreadsheet. For instructions on completing comparison, see Comparing Key Position Tracking to HRIS