HR PlanningStrategic HR PlanningStrategic HR planning is an important component of strategic HR management. It links HR management directly to the strategic plan of your organization. Most mid- to large sized organizations have a strategic plan that guides them in successfully meeting their missions. Organizations routinely complete financial plans to ensure they achieve organizational goals and while workforce plans are not as common, they are just as important.Even a small organization with as few as 10 staff can develop a strategic plan to guide decisions about the future. Based on the strategic plan, your organization can develop a strategic HR plan that will allow you to make HR management decisions now to support the future direction of the organization. Strategic HR planning is also important from a budgetary point of view so that you can factor the costs of recruitment, training, etc. into your organization's operating budget.Strategic HR management is defined as:Integrating human resource management strategies and systems to achieve the overall mission, strategies, and success of the firm while meeting the needs of employees and other stakeholders.Source: Herman Schwind, Hari Das and Terry Wagar, Human Resource Management: A Strategic Approach. In this Section:Introduction to strategic HR planningThe strategic HR management planning processDocumenting the strategic HR planImplementing the strategic HR plan

What is this?

Related HR Management Standard:Standard 3.3All employees have a work plan and performance objectives that identify the tasks/activities and expected results for future performance.

Introduction to strategic HR planningThe overall purpose of strategic HR planning is to:Ensure adequate human resources to meet the strategic goals and operational plans of your organization - the right people with the right skills at the right timeKeep up with social, economic, legislative and technological trends that impact on human resources in your area and in the sectorRemain flexible so that your organization can manage change if the future is different than anticipatedStrategic HR planning predicts the future HR management needs of the organization after analyzing the organization's current human resources, the external labour market and the future HR environment that the organization will be operating in. The analysis of HR management issues external to the organization and developing scenarios about the future are what distinguishes strategic planning from operational planning. The basic questions to be answered for strategic planning are:Where are we going?How will we develop HR strategies to successfully get there, given the circumstances?What skill sets do we need?

What is this?

Related HR Management Standard:Standard 6.1The organization has a process for regularly reviewing staffing needs.

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The strategic HR planning processThe strategic HR planning process has four steps:Assessing the current HR capacityForecasting HR requirementsGap analysisDeveloping HR strategies to support organizational strategies

Assessing current HR capacityBased on the organization's strategic plan, the first step in the strategic HR planning process is to assess the current HR capacity of the organization. The knowledge, skills and abilities of your current staff need to be identified. This can be done by developing a skills inventory for each employee.The skills inventory should go beyond the skills needed for the particular position. List all skills each employee has demonstrated. For example, recreational or volunteer activities may involve special skills that could be relevant to the organization. Education levels and

certificates or additional training should also be included.

An employee's performance assessment form can be reviewed to determine if the person is ready and willing to take on more responsibility and to look at the employee's current development plans.Forecasting HR requirementsThe next step is to forecast HR needs for the future based on the strategic goals of the organization. Realistic forecasting of human resources involves estimating both demand and supply. Questions to be answered include:How many staff will be required to achieve the strategic goals of the organization?What jobs will need to be filled?What skill sets will people need?When forecasting demands for HR, you must also assess the challenges that you will have in meeting your staffing need based on the external environment. To determine external impacts, you may want to consider some of the following factors:How does the current economy affect our work and our ability to attract new employees?How do current technological or cultural shifts impact the way we work and the skilled labour we require?What changes are occurring in the Canadian labour market?How is our community changing or expected to change in the near future?To read more about the changing labour force and why it matters to non-profit employers, go to the Diversity at Work section of the HR Toolkit:Why diversity at work mattersGap analysisThe next step is to determine the gap between where your organization wants to be in the future and where you are now. The gap analysis includes identifying the number of staff and the skills and abilities required in the future in comparison to the current situation. You should also look at all your organization's HR management practices to identify practices that could be improved or new practices needed to support the organization's capacity to move forward. Questions to be answered include:What new jobs will we need?What new skills will be required?Do our present employees have the required skills?Are employees currently in positions that use their strengths?Do we have enough managers/supervisors?Are current HR management practices adequate for future needs?Developing HR strategies to support organizational strategiesThere are five HR strategies for meeting your organization's needs in the future:Restructuring strategiesTraining and development strategiesRecruitment strategiesOutsourcing strategiesCollaboration strategies1. Restructuring strategies

This strategy includes:Reducing staff either by termination or attritionRegrouping tasks to create well designed jobsReorganizing work units to be more efficientIf your assessment indicates that there is an oversupply of skills, there are a variety of options open

to assist in the adjustment. Termination of workers gives immediate results. Generally, there will be costs associated with this approach depending on your employment agreements. Notice periods are guaranteed in all provinces. Be sure to review the employment and labour standards in your province or territory to ensure that you are compliant with the legislation. 

Termination packages are governed by case law as well as by employment standards legislation (which only states the bare minimum to be paid).  Consult with a lawyer to determine the best approach to termination packages. Attrition - not replacing employees when they leave - is another way to reduce staff. The viability of this option depends on how urgently you need to reduce staff. It will mean that jobs performed in the organization will have to be reorganized so that essential work of the departing employee is covered. Careful assessment of the reorganized workloads of remaining employees should include an analysis of whether or not their new workloads will result in improved outcomes.It is important to consider current labour market trends (e.g. the looming skills shortage as baby boomers begin to retire) because there may be longer-term consequences if you let staff go.Sometimes existing workers may be willing to voluntarily reduce their hours, especially if the situation is temporary. Job sharing may be another option. The key to success is to ensure that employees are satisfied with the arrangement, that they confirm agreement to the new arrangement in writing, and that it meets the needs of the employer. Excellent communication is a prerequisite for success. 

Caution must be taken when considering the voluntary reduction of hours by existing staff. A change in working conditions (e.g. hours worked per week) can be considered "constructive dismissal" - especially in the case of permanent staff. Ensure that you obtain legal advice and there is full written documentation.

Your analysis may tell you that your organization may have more resources in some areas of the organization than others. This calls for a redeployment of workers to the area of shortage. The training needs of the transferred workers needs to be taken into account.2. Training and development strategiesThis strategy includes:Providing staff with training to take on new rolesProviding current staff with development opportunities to prepare them for future jobs in your organizationTraining and development needs can be met in a variety of ways. One approach is for the employer to pay for employees to upgrade their skills. This may involve sending the employee to take courses or certificates or it may be accomplished through on-the-job training. Many training and development needs can be met through cost effective techniques. See the HR Toolkit section on Learning, Training and Development for more information.3. Recruitment strategiesThis strategy includes:

Recruiting new staff with the skill and abilities that your organization will need in the futureConsidering all the available options for strategically promoting job openings and encouraging suitable candidates to applyFor strategic HR planning, each time you recruit you should be looking at the requirements from a strategic perspective. Perhaps your organization has a need for a new fundraiser right now to plan special events as part of your fundraising plan. However, if your organization is considering moving from fundraising through special events to planned giving, your recruitment strategy should be to find someone who can do both to align with the change that you plan for the future.4. Outsourcing strategiesThis strategy includes:Using external individuals or organizations to complete some tasksMany organizations look outside their own staff pool and contract for certain skills. This is particularly helpful for accomplishing specific, specialized tasks that don't require ongoing full-time work.Some organizations outsource HR activities, project work or bookkeeping. For example, payroll may be done by an external organization rather than a staff person, a short term project may be done using a

consultant, or specific expertise such as legal advice may be purchase from an outside source.When deciding to outsource to an individual, ensure you are not mistakenly calling an employee a consultant. This is illegal and can have serious financial implications for your organization. To understand the differences between employees and self-employed people, visit the Canada Revenue Agency's website.Each outsourcing decision has implications for meeting the organization's goals and should therefore be carefully assessed.5. Collaboration strategiesFinally, the strategic HR planning process may lead to indirect strategies that go beyond your organization. By collaborating with other organizations you may have better success at dealing with a shortage of certain skills.Types of collaboration could include:Working together to influence the types of courses offered by educational institutionsWorking with other organizations to prepare future leaders by sharing in the development of promising individualsSharing the costs of training for groups of employeesAllowing employees to visit other organizations to gain skills and insight 

ABC Social Services provides support services to families in need. It has reviewed and updated its strategic plan. As part of the strategic planning process the Board Planning Committee learned that 15% of their social workers are planning to retire over the next two years and recruitment of social workers has become increasingly competitive.Outcome of the strategic planning process: One strategy developed by the Board Planning Committee is to make ABC Social Services a preferred employer among organizations in the area.

Possible HR planning strategies to meet this organizational strategy are:Develop a recruitment and retention strategy based on discussions with the social workers. Items to consider are:

flexible work arrangements; contracting with a counselor for the social workers on an as-needed basis (give them someone to talk to about the stresses of the job); provide professional development opportunities that give them increased skills for dealing with the issues their clients face.Tie the pay scale of the social workers to the pay scales of social workers working for the municipality (the appropriate percentage to be determined. For example, the pay of social workers in the organization may be tied at 90% of the pay at the municipal level).Provide placements for social work students and show them that ABC Social Service would be an excellent employer after graduation.Decide the unique strategies that you will use to position yourself as an employer of choice, based on needs of your employees and potential candidates.

Documenting the strategic HR planOnce the strategies for HR in your organization have been developed they should be documented in an HR plan. This is a brief document that states the key assumptions and the resulting strategies along with who has responsibility for the strategies and the timelines for implementation. Back to top

Implementing the strategic HR planOnce the HR strategic plan is complete the next step is to implement it:Agreement with the planEnsure that the board chair, executive director and senior managers agree with the strategic HR plan. It may seem like a redundant step if everyone has been involved all the way along, but it's always good to get final confirmation.Communication

The strategic HR plan needs to be communicated throughout the organization. Your communication should include:How the plan ties to the organization's overall strategic planWhat changes in HR management policies, practices and activities will be made to support the strategic plan How any changes in HR management will impact on staff including a timeframe if appropriateHow each individual member of staff can contribute to the planHow staff will be supported through any changesHow the organization will be different in the futureIt is impossible to communicate too much (but all too easy to communicate too little), especially when changes involve people. However, the amount of detail should vary depending upon the audience.Legislation and mandateEnsure that the actions you are considering are compliant with existing laws, regulations and the constitution and bylaws of your organization.

To review laws relating to employment, visit the HR Toolkit section on Employment Legislation and StandardsOrganizational needsWhether you are increasing or reducing the number of employees, there are implications for space and equipment, and on existing resources such as payroll and benefit plans.

EvaluationHR plans need to be updated on a regular basis. You will need to establish the information necessary to evaluate the success of the new plan. Benchmarks need to be selected and measured over time to determine if the plan is successful in achieving the desired objectives.

 Next Section: Operational HR PlanningHR PlanningOperational HR PlanningAll organizations engage in HR planning at an operational level - even those that do not have a strategic plan. At the operational level, good HR

planning is in part based on thinking ahead about the organization.At an operational level, organizations put HR management practices in place to support management and staff in achieving their day-to-day goals. Whether it's determining how many staff are needed to deliver services over the next year or how

performance will be monitored, HR management practices and activities need to be planned to answer the question: "Where is our organization going and how will it get there?"The HR Toolkit has detailed information that you can use to develop an operational plan for your human resources practices and activities. Topics include:Employment Legislation and StandardsGuideline to Developing HR PolicyGetting the Right PeopleLearning, Training and DevelopmentCompensation and BenefitsKeeping the Right People

If your organization already has good HR management practices in place they should be reviewed on an ongoing basis, every two to three years, to ensure that they still meet organizational needs and comply with legislation.At an operational level, organizations also need to be aware of the interdependencies between operational decisions and HR management practices. Decisions made on one aspect of human resources often have an impact on another

aspect of HR management.

 

What is this?

Related HR Management Standards:Standard 3.3All employees have a work plan and performance objectives that identify the tasks/activities and expected results for future performance.Standard 6.1The organization has a process for regularly reviewing staffing needs.

 

Operational objective: Expand the services offered over the next two yearsHuman resources requirement: Five new staff membersOperational decision: Hire recent graduates or others with little direct work experience to reduce hiring costsImplications for HR management practices: The operational decision to hire new graduates will impact on practices such as:Supervision - there will be a need for more supervisionOn-the-job training - there will be a need for increased training

Operational objective: Reduce staffing costsHuman resources requirement: Reduce staff by two fulltime equivalentsOperational decision: The reduction in staff will be made by not renewing the contract for two term employeesImplications for HR management practices: The operational decision to not renew two contract positions will impact on issues and practice such as:Staff morale - the work of contract employees will have to be assessed to determine which positions to terminate so that the impact on the clients and organization is minimized; support may be needed for the employees who remainJob design - other positions will need to be reviewed to determine which staff, if any, have the knowledge and skills to take over the essential work of the positions that are being eliminated; changes to the duties for existing staff will need to be negotiatedTraining - training will need to be provided to staff taking on new duties, if appropriateTermination process and cost – the termination process will need to be planned to ensure that it complies with policies and legislation and there will likely be a cost for notice and severance pay 

In the absence of a strategic plan your organization can still take a proactive approach to HR management. By developing good HR management practices and thinking ahead, you can create a good work environment where staff can be productive and focus on providing the best possible service. HR PlanningSuccession PlanningWhat would you do in your organization if a key employee resigned, fell ill or had to be fired tomorrow? Would you be prepared? In this Section:IntroductionWhat is succession planning?Why is succession planning important?Who is responsible for succession planning?What are some challenges to effective succession planning?Succession planning in small and mid-sized organizationsSuccession planning in larger organizationsTips for successful succession planning

IntroductionSuccession planning is not an issue that many organizations address in any systematic way. Because many nonprofits are small (with fewer than 10 employees) and because they may be facing other organizational challenges, thinking about who the next executive director might be or what would happen if the director of finance suddenly left is not high on their priority list.There are many reasons why organizations need to be thinking about succession planning. The most important reason, of course, is that we rely on staff to carry out our missions, provide services and meet our organization's goals. We need to think about what would happen to those services or our ability to fulfill our mission if a key staff member left.Another reason to focus on succession planning is the changing realities of workplaces. The impending retirement of the baby boomers is expected to have a major impact on workforce capacity. Teresa Howe in "Succession Planning and Management" identified other emerging realities about the workforce in Canada:Vacancies in senior or key positions are occurring in numerous organizations simultaneously and demographics indicate there are statistically fewer people available to fill themBaby boomer retirements are on the rise just at the time when the economy is growing and increasing the demand for senior management expertiseThere is no emerging group of potential employees on the horizon as in past generations (i.e. baby boomers, women entering the workforce, large waves of immigration)Many organizations eliminated middle manager positions during restructuring in the 1980s and 90s and no longer have this group as a source to fill senior level vacanciesYounger managers interested in moving up do not have the skills and experience required because they have not been adequately mentored. This is because middle managers, who would normally perform this type of coaching role, were eliminatedWith careful planning and preparation, organizations can manage the changes that result from a generational transfer of leadership as well as the ongoing changes that occur regularly when key employees leave an organization.Although the type and extent of planning will be different, organizations both large and small need to have some sort of succession plan. Effective succession planning supports organizational stability and sustainability by ensuring there is an established process to meet staffing requirements. Boards and executive directors can demonstrate leadership by having the strategies and processes in place to ensure that these transitions occur smoothly, with little disruption to the organization.

What is this?

Related HR Management Standards:Standard 3.3All employees have a work plan and performance objectives that identify the tasks/activities and expected results for futureperformance.Standard 6.2Backup plans are documented to address any key employee leaves of absence.Standard 6.3Critical positions in the organization are identified and succession plans are established.

 

La Relève: Succession in Quebec’s Community SectorCommissioned by Quebec’s Comité sectoriel de main-d'œuvre, Économie sociale et Action communautaire, and translated with the generous support of the Institute for Nonprofit Studies at Mount Royal College, La Relève is a combination discussion paper and workbook, aimed at raising awareness about succession and workforce demographics in the province’s community sector. While the majority of the statistics found in the document are specific to Quebec, the issues and concepts about succession have broad and universal applications for the sector in provinces and territories in the rest of Canada.

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What is succession planning?

While the term executive director is used throughout this discussion it is understood it is only one of many terms (such as president & CEO, senior manager and general manager) used by organizations in the sector to refer to their most senior staff person. The same is true of terms used for other positions so that an accountant in one organization may be a financial officer or CFO in another. The important consideration is not the title but the work-related responsibilities and their value within the organization. A succession plan, simply put, is a component of good HR planning and management. Succession planning acknowledges that staff will not be with an organization indefinitely and it provides a plan and process for addressing the changes that will occur when they leave. Most succession planning focuses on the most senior manager - the executive director, however, all key positions should be included in the plan. Key positions can be defined as those positions that are crucial for the operations of your organization and, because of skill, seniority and/or experience, will be hard to replace.Whenever size and resources permit, a succession plan should involve nurturing and developing employees from within an organization. Employees who are perceived to have the skills, knowledge, qualities, experience and the desire can be groomed to move up to fill specific, key positions. Organizations should:Assess their current and future needs based on either their strategic plan, goals and objectives, or priority programs and projectsMatch these to the capabilities of the existing workforceDevelop a plan to manage the gaps that will arise when individuals in key positions leave or are promotedThe plan will generally include a combination of training and developing existing staff, and external recruitment. 

To avoid a potential constructive dismissal or other claim, include a statement to specify that a succession plan is not a guarantee of a position; rather it represents a developmental plan to prepare an

individual should opportunities arise within the organization. 

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Why is succession planning important?The benefits of good succession planning include:A means of ensuring the organization is prepared with a plan to support service continuity when the executive director, senior managers or key people leaveA continuing supply of qualified, motivated people (or a process to identify them), who are prepared to take over when current senior staff and other key employees leave the organizationAn alignment between your organization's vision and your human resources that demonstrates an understanding of the need to have appropriate staffing to achieve strategic plansA commitment to developing career paths for employees which will facilitate your organization's ability to recruit and retain top-performing employees and volunteersAn external reputation as an employer that invests in its people and provides opportunities and support for advancementA message to your employees that they are valuableThe absence of a succession plan can undermine an organization's effectiveness and its sustainability. Without a succession planning process, an organization may not have a means of ensuring that the programs and services that are crucial to its operation are sustained beyond the tenure of the individual currently responsible for them. 

A mid-sized arts organization lost an employee who had been hosting, organizing and managing a major fundraising event for a number of years. When he left, staff knew very little about how it was put together and there was no operations manual documenting the event. This very important event ended up being abandoned by the organization because they simply did not know how to run it. A succession plan ensures that there are qualified and motivated employees (or a means of recruiting them)

who are able to take over when the executive director or other key people leave an organization. It also demonstrates to stakeholders such as clients, funders, employees and volunteers that the organization is committed to and able to provide excellent programs and services at all times, including during times of transition. 

A mid-sized organization relied heavily on the corporate memory, skills and experience of a longtime employee. In her final position, she was responsible for office administration including payroll, budget monitoring and the organization's major annual fundraising event. Over the course of her employment she held a variety of positions and had a very good understanding of the organization's operations and history.Her unexpected death was both an emotional blow and a wake up call to her colleagues. Everything she had known about the organization was "in her head." While discussions had occurred regularly concerning the need to document this information and to pass this knowledge on to others - this had never happened. The organization was able to regroup and survive the transition but the employees experienced high levels of stress as they struggled to determine what needed to happen when. A great deal of time and effort was spent recreating systems and processes and even then, some things fell through the cracks resulting in the need to rebuild relationships with supporters. 

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Who is responsible for succession planning?Both the board and the executive director have pivotal roles to play in succession planning.The board is responsible for succession planning for the executive director position. The board hires the executive director to ensure it has a skilled manager at the helm to implement the organization's mission and vision. It is therefore very important for boards to spend some time reflecting on what they would do if, or when, the executive director leaves. All too often, boards find that they are unprepared for such an occurrence and are left scrambling to quickly replace that person. There are many examples of an executive director leaving only to have the organization fall into disarray: funders withdraw resources, and other key staff members leave due to lack of effective leadership. Even when provided with adequate notice, boards sometimes find themselves in the position of having to scramble to find an interim solution.The executive director is responsible for ensuring a succession plan is in place for other key positions in the organization. These will likely be developed with help from the management team with input from implicated employees. 

To ensure the process is fair and the succession plan considers different perspectives, ask for input from all key stakeholders. 

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What are some challenges to effective succession planning?Some challenges to succession planning are:Size of the organization: some nonprofits have so few positions that they may not have the ability to offer opportunities for advancement; employees with the potential and the desire to advance their careers may move to larger organizations as a resultLack of financial resources: employees may leave for better salaries and benefits offered in other workplacesThe nature of funding: as more and more organizations depend on project funding as opposed to core funding, there are fewer core staff members available to take up positions in the organizationsProject staff come and go and may not be seen to be part of the talent pool available to organizationsIn some cases, senior leaders are staying on in their positions, despite the fact that the skills needed for the job may have changed or they are no longer making a meaningful and productive contribution to the organizationIndiscriminate inclusion of employees in the succession plan including those who are disinterested, unmotivated or lack capacity to advanceInadequate training and development resulting in an employee who is not prepared for a promotionA plan that does not promote people in a timely fashion, leading potential successors to leave the organization to seek new opportunitiesPoor communication resulting in confusion and turmoil within the organization as staff speculate about what the succession plan really isPotential candidates for promotion cannot be guaranteed that they will be promoted; a lot depends on timing and need of the organization Back to top

Succession planning in small and mid-sized organizationsIn many smaller organizations, succession planning may be viewed as a luxury, but it isn't. At the very least, boards of directors have a responsibility to consider and plan for the departure of the executive director, who is often critical to the existence and sustainability of the organization.When faced with the loss or impending loss of an executive director, these kinds of questions quickly surface:Should we hire from within or look for an external candidate?Do we have anyone internally who is qualified?Whether we hire internally or externally; does anyone really know the specifics of what that person was doing?What kind of impact will this change have on our capacity to deliver on our mandate and on our relationships with our clients, donors and volunteers?What do we tell our stakeholders? Developing a succession plan for the executive directorIn some instances, the board may decide that there needs to be a "second in command" who has the capacity to replace the executive director in the future. This means:

Identifying that person in collaboration with the executive directorEnsuring that the person is motivated to take on the top jobDeveloping a plan to ensure that the eventual successor gains the requisite skills and knowledge to take the job onEnsuring that the second in command is exposed to a broad range of experiences so that he or she has a wider understanding of the operations of the organizationThe plan could include a formalized process of mentoring or coaching and training in more specific aspects of the job. When the size of the organization permits, it would be preferable to have more than one person identified as a potential successor to the executive director.In a small nonprofit, it may not be possible to groom a successor from within the ranks of existing staff. To ensure continuity and stability when an executive director leaves, employees may be paired to cross-train each other to ensure there are two people on staff who know each job.The board chair should have a conversation with the executive director on an annual basis regarding his or her career aspirations. While the executive director is not required to share any career goals, the conversation can allow for a frank discussion about future plans. Steps to put in placeFirst and foremost, the board is responsible for drawing up a plan of action and effectively communicating it to the rest of the staff as soon as possible. This is necessary to demonstrate that the board is taking decisive action, to deal with any misinformation that may be generated by a quick departure and to ensure that all of the employees' questions are answered.The board must also communicate its plan of action for replacing the executive director in a timely manner with its funders. Funders will need to be assured that plans and programs are on target and deliverables will not change.With no succession plan or second in command identified, the board may want to name an interim executive director until a replacement is selected. This choice should be made wisely because someone with the right skills and knowledge needs to be chosen. If a person is asked to take on the executive director responsibilities in addition to his or her job, there should be an adjustment in that employee's compensation to reflect the additional responsibilities and work load.Another option is to ask a qualified group of two or three employees to co-manage the organization by sharing the executive director responsibilities. In order for this approach to be effective, it requires a clear understanding of the various aspects of the executive director 's position so that tasks may be given to those with ability to take them on. It also requires ongoing communication and coordination between the employees that are part of the co-management team.If there are no employees able or willing to take on the task on an interim basis, a board member may be asked to temporarily assume these functions. Of course, the board member will have to resign from the board if he or she takes on a paid position with the organization.

 

HR Toolkit: Transitioning to a new executive directorLearn more about things board members should consider when hiring a new executive director.

 Ideas for recruiting for other key positionsThe following ideas can be incorporated into your succession plan for key positions in the organization other than the executive director.Look to other organizations for exceptional employeesNew employees are often found in other nonprofits. While some may view this as poaching, the reality is that employees who aren't being challenged or aren't happy will leave the organization for a better opportunity. In some cases, employees have been known to leave for a position in another organization but return years later with new experiences and skills. Helping to keep exceptional employees in the sector by allowing them to move around to develop their careers should be seen not as a loss for individual organizations, but as a gain for the capacity of the sector.An innovative approach would be to develop a pool of candidates with other organizations and develop a rotational program to allow key employees to move from one organization to the next. This approach would ensure key individuals remain challenged and motivated while a group of nonprofits all benefit from the expertise.Look to your organization's volunteersThere may be board members or volunteers in other positions within the organization with the talent, knowledge and experience who can effectively make the transition to a paid position.Look to project staff (either current or those who did project work for your organization in the past)As a result of a shift from core funding to project-based funding, there are more and more project staff who move from organization to organization with short contracts. These people will often have gained information about your organization's operations and could move seamlessly into a core staff position.Look to consultants (either those that have worked with your organization or other similar organizations)While most consultants may prefer to stay in their line of business, there are those who would like to become staff members, if asked. In some cases, consultants worked for a nonprofit before becoming a consultant and are interested in moving back into the sector to work. 

Knowledge transfer is a key component of the succession plan. Ensure that core organizational processes are well documented. Whenever possible, ensure an overlap of time so the exiting employee can help orient and train the new employee. 

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Succession planning in larger organizationsThe steps outlined below provide a roadmap for larger organizations interested in developing succession plans. Different organizations will implement these activities differently. While there is no right or wrong way to develop a succession plan, the following provides important components that need to be considered. Capacity and needs assessmentStep 1Identify key positions for your organization. These include the executive director, senior management and other staff members who would, for their specialized skills or level of experience, be hard to replace. Ask yourself which positions would need to be filled almost immediately to ensure your organization continues to function effectively.Step 2Review and list your current and emerging needs. This will involve examining your strategic and operational plans to clearly articulate priorities.Step 3Prepare a chart that identifies the key positions and individuals in the organization. The positions might include those listed in step 1 and/or others that are pertinent to your organization, such as volunteers.Step 4Identify and list the gaps by asking questions such as:Which individuals are slated to or likely to leave (through retirement, project completion, etc.) and when?Which new positions will be required to support the strategic plan?Which positions have become or will become obsolete (for example, those related to a program that has been terminated)?What skills and knowledge will need to be developed (for example, to support a new program)?Step 5Evaluate/assess all staff members with the goal of identifying those who have the skills and knowledge or the potential along with the desire to be promoted to existing and new positions.The evaluation can be formal or informal and can include, but is not limited to, performance reviews, 360 degree assessments and informal conversations with the individuals under consideration.The executive director may be aware that an employee has aspirations to and the capacity to move up. This may be an opportunity to recognize this goal and support it.Take this opportunity to give younger workers a chance. Many young people enthusiastically enter the sector and then, finding few opportunities for advancement, leave. Younger workers can remain engaged if you help to match their interests to opportunities provided through effective succession planning. Develop and implement the planBased on the evaluation and on the requirements of your strategic plan, identify the key person or people you will want to develop and nurture for the future, the position you would like to groom them for, and the timeframe required to prepare them. Consider different ways of developing your employees like: self-

development, books/journals, mentor programs, special project work.Identify the career paths that the selected individuals should be following. Customize the path to fit the individual's abilities and talents by developing an action plan. The plan must be dynamic - able to be changed as the individual's and the organization's needs change. It must also consider the specific needs, learning styles and personalities of the individuals involved in order to be effective.Formalize education, training, coaching, mentoring and assessment activities. The mix of activities included within the action plan should be linked to timelines and specific outcomes.If possible, move people into different areas for experience and training before they are needed in critical positions. Have individuals job-shadow for an agreed upon period of time to give the successor a real sense of the responsibilities and to allow the organization the chance to determine whether the individual really is suited for the new position. Monitor and manage the planAs people leave and new people assume their responsibilities, the plan will have to be updated to identify the next person to be groomed for promotion and the requirements of his or her individual action plan. For organizations that engage in an annual (or regular) strategic planning process, the succession plan should be included in that discussion.Be prepared to address issues such as concerns of staff who have not been selected for career advancement. Ensure alternative paths are identified to allow all employees who are interested in career enhancement to be given some type of professional development opportunity. Professional development can include such wide ranging activities as formal education and training, workshops and seminars as well as less formal learning opportunities such as the chance to represent the organization at a consultation.Recognize that no matter how well you plan, something can still happen which the succession plan doesn't address. For example, you may have dutifully trained a "second" only to have that person leave. Even though there may be no one able to fill the breach immediately, the succession plan will ensure that there is a process for you to follow in filling the position. Back to top

Tips for successful succession planningSecure senior management and board support for a succession planning process. This gives employees and staff an understanding of how important succession planning is to the organization.Review and update your succession plan regularly. This ensures you reassess your hiring needs and determine where the employees identified in the succession plan are in their development.Develop procedure manuals for essential tasks carried out by key positions. Include step-by-step guidelines.Adequate time should be provided to prepare successors. The earlier they are identified, the easier it is on the individual to be advanced and on other employees within your organization who will know whether certain options are available to them.

Understand that your succession plan will be a unique reflection of your organization. Succession plans are as different from each other as the organizations for which they are developed. 

Leadership Transitions - Checklist of Key Interventions (PDF 249KB)

Guide to Setting up a Leadership Transition Committee (PDF 65KB)

Transition Committee - Duties and Responsibilities Checklist   (PDF 85KB) Next Section: Risk Assessment in HR 

Related sections in the HR Toolkit:Getting the Right PeopleLearning, Training and Development

External links on succession planning:Coaching, mentoring and succession planning (PDF 362KB)Guide prepared by the Cultural Human Resources Council

Transition GuidesWebsite providing tools, ideas and services to strengthen organizations during leadership change. Their provides a sample succession planning policy

which deals with the issue of executive leadership transition.

Books and articles referenced in this section:Axelrod, Nancy. Chief Executive Succession Planning. BoardSource. This book may be purchased through the BoardSource web site: www.boardsource.orgHowe, Theresa. January 19, 2004. Succession planning and management. Charity Village Library. Available online at: www.charityvillage.com/cv/research/rhr12.htmlNonprofit Quarterly. Leadership Transitions: Critical Thresholds. Winter 2002.Luhn Wolfe, Rebecca. 1996. Systematic Succession Planning: Building Leadership from Within (Crisp Fifty-Minute Series).Robinson, Maureen. 2004. Nothing Succeeds like Succession. Contributions Magazine, Chronicle of Philanthropy. Risk Management in HRThe only sure way to avoid risk in nonprofits would be to lock the doors and put up a closed sign in the window. Risks are inevitable and organizations have a moral and legal obligation to attend to the safety and well-being of those they serve, those who work for them and others who come into contact with their operations. This is known as "Duty of Care."Organizations need to look at all the risks throughout their entire operation and incorporate risk management into all planning and decision-making. However, the specific focus of this section is risk management as it applies to HR activities.

In this Section:Applying risk management to HRThe risk management processWho is involved in the risk management process? 

What is this?

Related HR Management Standards:Standard 3.3All employees have a work plan and performance objectives that identify the tasks/activities and expected results for future performance.Standard 6.1The organization has a process for regularly reviewing staffing needs.

Applying risk management to HRWhen developing a risk management plan for your HR activities, there are a number of areas to focus on. This general list will get you started but it is very important that all organizations identify and evaluate the risks unique to their own organization.HR Activity Potential Risk Potential considerationsCompensation and benefits

Financial abuse Who has signing authority?How many signatures are required?Are there checks and balances?

Hiring Discriminatory practicesHiring unsuitable or unsafe candidates"Wrongful" hiring

Was a complete screening completed on potential applicants?Were provincial human rights laws observed?Is there a set probationary period?Were promises made to the candidate that cannot be honored?Did the employee sign off on the policies and contract of employment before being hired?

Occupational Health and Safety

EnvironmentalPersonal injury or death

Do we provide safe working conditions and do we conduct safety checks regularly?Do we provide adequate training for staff?Do we ensure the use of appropriate clothing and safety equipment?Do we have adequate policies, procedures, and committee in place?

Employee supervision AbuseReputation in the

Do we provide sufficient orientation and training?Do we provide adequate supervision (especially for activities that

communityRelease of personal information

occur off-site or after hours)?Do we have a performance management system in place?Are personal information protection guidelines followed?

Employee conduct AbuseReputation in the community

Do we have clearly written position descriptions for all positions?Do we follow up when the parameters of the job description are not respected?Do we provide thorough orientation and training?Do we provide an employee handbook?Do we have comprehensive policies and procedures?Do we provide ongoing training about our policies and procedures?Do we retain written records of performance issues?Do we ensure that organizational valuables are secure?Do we have cash management procedures?Do we have adequate harassment policies and procedures?

Exiting employee PropertyReputation in the communityCompensation

Do we retrieve organizational information and equipment that a dismissed employee used (especially from home)?Do we ensure that all access codes, passwords, etc are de-activated?Do we conduct an exit interview?Do we record lieu time and vacation balances?

There is a connection between risk management and liability. Therefore, it is very important to obtain legal advice about your risk management plan.

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The risk management processRisk management is a cycle. That means that it is not something that gets checked off a "to do" list but it is a continuous activity. Having a risk management process means that your organization knows and understands the risks to which you are exposed. It also means that your organization has deliberately evaluated the risks and has strategies in place to remove the risk altogether, reduce the likelihood of the risk happening or minimize harm in the event that something happens.At a very basic level, risk management focuses you on two fundamental questions:What can go wrong?What will we do to prevent the harm from occurring in the first place and in response to the harm or loss if it actually happens? Identify the risksThe very first step is to identify the risks. Ask yourself what can go wrong. Every activity of an organization poses a risk so brainstorm and document the risks.Consider both the general risks (that could happen to any organization) and the risks specific to your organization.Risks can be:Abuse that is either one-time or ongoing (physical, emotional, psychosocial, sexual, financial)Personal injuryMedicalEnvironmentalPropertyFinancialReputation/goodwillOther

Involving staff, volunteers and board members in the risk identification process will give you a comprehensive

picture of the risks based on different people's involvement in different areas of the organization. You may also wish to engage the services and opinions of an accountant or a lawyer.

Assess the risksIf you have done a thorough job of identifying risks, you may end up with a long (and overwhelming) list.The next step is to assess each of the risks based on the (1) likelihood or frequency of the risk occurring and (2) the severity of the consequences.Using a risk map to plot the likelihood of occurrence and the severity of the consequences will help you prioritize your next steps. 

Blank Risk Map (PDF 25KB)

Completed Sample Risk Map (PDF 21KB) Develop strategies for managing risksConsider the most appropriate risk management strategies for each identified risk:Avoidance - Stop providing the service or doing the activity because it is too risky.Acceptance - Some risky activities are central to the mission of an organization and an organization will choose to accept the risks.Modification - Change the activity to reduce the likelihood of the risk occurring or reduce the severity of the consequences. Policies and procedures are an important part of this risk management strategy because they communicate expectations and define boundaries. Learn more about writing policies and procedures.Transfer or sharing - Purchase insurance or transfer the risk to another organization through signing a contractual agreement with other organizations to share the risk (for example, having a contractual agreement with a bus company to transport clients rather than staff driving clients). ImplementWhen you have decided which risk management strategies will be the most effective and affordable for

your organization practically outline the steps and who is responsible for each step in the risk management plan.Communicate the plan and ensure that there is buy-in from all who are involved in the organization (staff, volunteers, clients, other relevant stakeholders).Provide training for all organizational staff and volunteers so they understand the rationale of the risk management plan as well as the expectations, procedures, forms, etc. MonitorConsider the following questions and document any changes to the plan:Is your plan working?Have your risks changed?Have you expanded or reduced your programs and services?Are changes or updates required?Are staff and volunteers following the risk management plan?Do they need re-training on the details?Do we need to better communicate the plan? 

Risk management is an evolving field. Therefore, it is a good practice to keep current and re-evaluate your organization's risk management system on an annual basis.

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Who is involved in the risk management process?Risk management is a large and important undertaking. There must be commitment from the board to commit the financial and human resources. In larger organizations, a risk management committee, team or department may be formed to handle the risk management process. In smaller and medium sized organization, the responsibility for developing and implementing a risk management process will likely fall on the executive director. However, paid staff, volunteers - and potentially clients and other stakeholders - will be very helpful partners in identifying risks and developing effective strategies to deal with the risks. Once the risk management process is in place, everyone in the organization has a role to play from identifying risks to following policies and procedures to completing forms and reports.JOB ANALYSISHR Guide to the Internet:Job Analysis: Methods Of: InterviewThe Job Analysis Interview: method to collect a variety of information from an incumbent by asking the incumbent to describe the tasks and duties performed.

AdvantagesAllows the incumbent to describe tasks and duties that are not observable.

DisadvantagesThe incumbent may exaggerate or omit tasks and duties.

Interview MethodsUnstructured Interviews Here the interview is a conversation with no prepared questions or predetermined line of investigation. However, the interviewer should explain:the purpose of the study is andthe particular focus of this interview

The roles and the purposes give structure. The interviewer generally uses a questionning strategy to explore the work the job holder performs. Listening and taking notes are very important. These enable follow up questions to be posed. The questions and responses - with summaries enable the interview to be controlled. The conversation takes on a structure with areas being considered, explored, related to each other and revisited to secure the depth of information required in job analysis.An unstructured interview involves question and response and may be free flowing but it becomes structured in the sense that the interviewer has a purpose and needs skill toestablish a relationshipask well-structured questions to generate a conversational flow in which the interviewee offers information - factual, opinion, subjective and objective about aspects of the jobto ensure information recieved is heard and understood - listening, clarifying and reflective summarisingEffective listening requires concentration and this can be disturbed by interruptions, the interviewer's own thought processes and dificulty in remaining neutral about what is being said. Notes need to be taken without loss of good eye contact. Cues need to be picked up so that further questions can be asked to probe issues and areas of interest.Structured Interviews A structured interview may assume a definite format involving:charting a job-holder's sequence of activities in performancean inventory or questionnaire may be usedCare is needed to set up such interactions. A specialist analyst is not involved and participants need to know what they are doing, why and what is expected as a result. They may be intrained as interviewers and not structure the interview as recommended. Notes and records may be needed for subsequent analysis.A structured interview may be akin to a staff appraisal or job evaluation interview carried out by a manager with a subordinate. The manager is the analyst.

Interview OutcomesInterviewing is a flexible method for all levels and types of job. An interview may focus on what a hypothetical job might involve.Interviews generate descriptive data and enable job-holders to interpret their activities. A good interviewer can probe sensitive areas in more depth. Structured questionnaires cannot easily do this. Jobholders can give overviews of their work and offer their perceptions and feelings about their job and the environment. Rigid questionnaires tend to be less effective where the more affective aspects of work are concerned.However information from different interviews can behard to bring togetherthere is potential for interviewer biascertain areas of the work may fail to be picked upan interview may stress one area and neglect others.there are problems in interpretation and analysis with the possibility of distorted impressionsthe subjectivity of the data captured needs to be consideredInterviewing as the sole method of job analysis in any particular project has disadvantages. Interviews are time consuming and training is needed. Co-counselling

may remove the analyst and enable jobholders to discuss work between themselves. Through inexperience however they may miss items and there is the natural problem of people not establishing and maintaining rapport with each other during an interview. HR Guide to the Internet:Job Analysis: Methods Of: ObservationDirect Observation of incumbents performing their jobs enables the trained job analyst to obtain first-hand knowledge and information about the job being analyzed.The Observation method of Job Analysis is suited for jobs in which the work behaviors are 1) observable involving some degree of movement on the part of the incumbent, or 2) job tasks are short in duration allowing for many observations to be made in a short period of time or a significant part of the job can be observed in a short period of time, or 3) jobs in which the job analyst can learn information about the job through observation.Jobs in which the Observation method is successful include:Machine Operator/AdjusterConstruction WorkerPolice Officer/Patrol OfficerFlight AttendantBus DriverHousekeeper/JanitorSkilled Crafts WorkerAdvantagesWith direct Observation, the trained job analyst can obtain first-hand knowledge and information about the job being analyzed. Other Job Analysis methods (such as the interview or questionnaire) only allow the job analyst to indirectly obtain this information. Thus, with other methods of Job Analysis, sources of error (ommissions or exaggerations) are introduced either by the incumbent being interviewed or by items on the questionnaire. With direct observation of the incumbent, these sources of error are eliminated.Direct Observation allows the job analyst to see (and in some cases experience) the work environment, tools and equipment used, interrelationships with other workers, and complexity of the job.Direct Observation of incumbents may be necessary to support testimony if the incumbent or applicant for the job has sued the employer. A Job Analysis is necessary to support personnel actions that were taken. However, the job analysis may be of limited value if the job analyst has not seen the incumbent perform the job. In other words, relying solely on the incumbent's description of their job may not withstand scrutiny in a court of law.Testimony about jobs personally done is direct testimony and not subject to hearsay rules.DisadvantagesOne problem with the direct Observation method of Job Analysis is that the presence of an observer may affect the incumbent causing the incumbent to alter their normal work behavior. It is important for the analyst to be unobtrusive in their observations. Incumbents may alter their work behavior if they know they are being observed.This method is not appropriate for jobs that involve significant amounts of time spent in concentration or mental effort.

Job Analysis: Methods Of: QuestionnaireClassification Systems used as basis for or resulting from job analyses:Common Metric Questionaire (CMQ)The Common Metric Questionnaire (CMQ) is targeted toward both exempt and nonexempt jobs. It has five sections: (1) Background, (2) Contacts with People, (3) Decision Making, (4) Physical and Mechanical Activities, and (5) Work Setting. The Background section asks 41 general questions about work requirements such as travel, seasonality, and licensure requirements. The Contacts with People section asks 62 questions targeting level of supervision, degree of internal and external contacts, and meeting requirements. The 80 Decision Making items in the CMQ focus on relevant occupational knowledge and skill, language and sensory requirements, and managerial and business decision making. The Physical and Mechanical Activities section contains 53 items about physical activities and equipment, machinery, and tools. Work Setting contains 47 items that focus on environmental conditions and other job characteristics. The CMQ is a relatively new instrument. It has been field tested on 4,552 positions representing over 900 occupations in the Dictionary of Occupational Titles (DOT), and yielded reasonably high reliabilities. (Harvey, 1993)Fleishman Job Analysis SurveyAnother job analysis methodology—the Fleishman Job Analysis Survey (F-JAS), formerly the Manual for Ability Requirements Scales—contains a taxonomy of abilities that is buttressed by decades of research (Fleishman & Mumford, 1991). The taxonomy includes 52 cognitive, physical, psychomotor, and sensory abilities that have strong research support, and the FJAS uses level of ability rating scales that specify level of functioning requirements for jobs. FJAS is a job analysis method; it has not been applied to a large number of jobs in the U.S. economy to produce an occupational database.Functional Job Analysis ScalesBeginning in the 1940s, Functional Job Analysis (FJA) was used by U.S. Employment Service job analysts to classify jobs for the DOT (Fine & Wiley, 1971). The most recent version of FJA uses seven scales to describe what workers do in jobs: (1) Things, (2) Data, (3) People, (4) Worker Instructions, (5) Reasoning, (6) Math, and (7) Language. Each scale has several levels that are anchored with specific behavioral statements and illustrative tasks. Like other job analysis instruments, FJA is a methodology for collecting job information. While it was used for many years as a part of the DOT, the Department of Labor is replacing the DOT with O*NET and will not be using FJA in O*NET. There is no current database of jobs (other than the DOT) containing FJA data for jobs in the national economy.MOSAICThe Office of Personnel Management (OPM) is in the process of developing a database of information on federal jobs using Multipurpose Occupational Systems Analysis Inventory-Closed Ended (MOSAIC). Toward that end, OPM has been conducting a series of occupational analysis projects, each project handling a different set of occupations (e.g., clerical, managerial, etc.). Each job analysis inventory used to collect data for OPM's system includes a variety of descriptors. The two primary types of descriptors in each questionnaire are tasks and competencies. Tasks are rated on importance and competencies are rated on several

scales including importance and requirement for entry. The MOSAIC database is intended to include all government occupations. Clerical, technical, and managerial job sections are complete. Information on the reliability of MOSAIC questionnaires has not been reported.Occupational Analysis Inventory (OAI)The Occupational Analysis Inventory (OAI) contains 617 "work elements." It was designed to yield more specific job information than other multi-job questionnaires such as the PAQ while still capturing work requirements for virtually all occupations. The major categories of items are five-fold: (1) Information Received, (2) Mental Activities, (3) Work Behavior, (4) Work Goals, and (5) Work Context. OAI respondents rate each job element on one of four rating scales: part-of-job, extent, applicability, or a special scale designed for the element. The OAI has been used to gather information on 1,400 jobs selected to represent five major occupational categories. Reliabilities obtained with the OAI have been moderate, somewhat lower than those achieved with the PAQ.Position Analysis Questionaire (PAQ)The Position Analysis Questionnaire (PAQ) developed by McCormick, Jeanneret, and Mecham (1972) is a structured job analysis instrument to measure job characteristics and relate them to human characteristics. It consists of 195 job elements that represent in a comprehensive manner the domain of human behavior involved in work activities. The items that fall into five categories:Information input (where and how the worker gets information),Mental processes (reasoning and other processes that workers use),Work output (physical activities and tools used on the job),Relationships with other persons, andJob context (the physical and social contexts of work).Over the course of many studies, PAQ researchers have aggregated PAQ data for hundreds of jobs; that database is maintained by Purdue University. A wealth of research exists on the PAQ; it has yielded reasonably good reliability estimates and has been linked to several assessment tools.Work Profiling System (WPS)

Saville & Holdsworth's Work Profiling System (WPS) is designed to help employers accomplish human resource functions. The job analysis is designed to yield reports targeted toward various human resource functions such as individual development planning, employee selection, and job description. There are three versions of the WPS tied to types of occupations: managerial, service, and technical occupations. The WPS is computer-administered on-site at a company. It contains a structured questionaire which measures ability and personality attributes in areas such as Hearing Skills, Sight, Taste, Smell, Touch, Body Coordination, Verbal Skills, Number Skills, Complex Management Skills, Personality, and Team Role. Saville & Holdsworth aggregates information provided by users into a database when users make those data available. Saville & Holdsworth does not require WPS users to submit their data.HR Guide to the Internet:Job Analysis: Job DescriptionsJob descriptions, as a management tool, can greatly simplify an organization's human resource management.A job description clarifies work functions and reporting relationships, helping employees understand their jobs. Job descriptions aid in maintaining a consistent salary structure. Performance evaluations may be based on job descriptions.Well written duty statements contain action words which accurately describe what is being done.Duty statements should focus on primary, current, normal, daily duties and responsibilities of the position (not incidental duties, an employee’s qualifications or performance, or temporary assignments). Related or similar duties should be combined and written as one statement.Each duty statement should be a discreet, identifiable aspect of the work assignment, described in one to three sentences, and should be outcome-based, allowing for alternate means of performing the duty, changes in technology, preferences of employees and supervisors, and accommodations of workers with disabilities, without altering the nature of, and/or the duty itself.Examples of duty statements are:Compiles reports on a quarterly basis to ...

Adjusts height of lathe tool ...Drives tractor to worksite ...Opens valve to flush pipe.Listens to customer at counter.Compares department expenses with budget...Duty statements typically contain three parts: 1) the Verb, the Object, and a Purpose. Examples of these parts of duty statements are shown below:

Verb Object Purpose

Collects financial data to evaluate budget requests.

Conducts analytical studies to support financial planning.

Compiles enrollment data for distribution to administrators.

Cleans computer equipment in conformance with established schedules.

Drives pickup truck carrying motor fuels to job sites.

Overhauls and repairs equipment daily, or as needed.A form, such as the one below may help in identifying the necessary information to create duty statements.

Worksheet for task statements

Who? Performs what action? To whom or what? Using what tools, equipment, methods? To achieve what result?

Subject Action Verbs Object of verb Phrase In order to...

the worker 

Task statement 

Job Analysis answers the following important questions:What tools, materials, and equipment are used to perform the tasks in the job?  What methods or processes are used to perform the tasks in the job?  What are the specific duties for the position?   This puts the position in context and  spells out broad responsibilities.What are the critical tasks and key result areas of the position?   The question helps to isolate the most critical activities that the position holder is expected to perform.What are the discrete outcomes of the job for which the person appointed will be held accountable and evaluated on?What behaviors, skills, knowledge and experience are the most important to the program in achieving the key results and outcomes? This question focuses on the specific personal qualities that are necessary to best meet the job requirements. The content of job descriptions should identify and describe:Mental FunctionsCOMPARING - Judging the readily observable functional, structural, or compositional characteristics (whether similar to or divergent from obvious standards) of data, people, or things.COPYING - Transcribing, entering, or posting data.COMPUTING - Performing arithmetic operations and reporting on and/or carrying out a prescribed action in relation to them.COMPILING - Gathering, collating, or classifying information about data, people, or things. Reporting and/or carrying out a prescribed action in relation to the evaluation is frequently involved.ANALYZING - Examining and evaluating data. Presenting alternative actions in relation to the evaluation is frequently involved.COORDINATING - Determining time, place, and sequence of operations or action to be taken on the basis of analysis of data. May include prioritizing multiple responsibilities and/or accomplishing them simultaneous-ly.SYNTHESIZING - To combine or integrate data to discover facts and/or develop knowledge or creative concepts and/or interpretations.Relations with OthersSUPERVISION (given) - Coordinating and directing the activities of one or more subordinates.SUPERVISION (received) - Independence of actions; authority to determine methods of operation.NEGOTIATING - Exchanging ideas, information, and opinions with others to formulate policies and programs and/or jointly arrive at decisions, conclusions, solutions, or solve disputes.COMMUNICATING - Talking with and/or listening to and/or signaling people to convey or exchange infor-mation; includes giving/receiving assignments and/or directions.INSTRUCTING - Teaching subject matter to others, or training others through explanation, demonstration, and supervised practice; or making recommendations on the basis of technical disciplines.INTERPERSONAL SKILLS/BEHAVIORS - Dealing with individuals with a range of moods and behaviors in a

tactful, congenial, personal manner so as not to alienate or antagonize them.CONTROL OF OTHERS - seizing, holding, controlling, and/or otherwise subduing violent, assaultive, or physically threatening persons to defend oneself or prevent injury. Body strength and agility of all four limbs is necessary.Physical Demands (strength)SEDENTARY - Exerts up to 10 lbs. of force occa-sionally and/or a negligible amount of force frequently or constantly to lift, carry, push, pull, or otherwise move objects, including the human body. involves sitting most of the time, but may involve walking or standing for brief periods of time.LIGHT - Exert up to 20 lbs. of force occasionally, and/or up to 10 lbs. of force frequently, and/or a negligi-ble amount of force constantly to move objects. Physical demands are in excess of those of Sedentary work. Light work usually requires walking or standing to a significant degree.MEDIUM - Exert up to 50 lbs. of force occasional-ly, and/or up to 20 lbs. of force frequently, and/or up to 10 lbs. of force constantly to move objects.HEAVY - Exert up to 100 lbs. of force occasionally, and/or up to 50 lbs. of force frequently, and/or up to 20 lbs. of force constantly to move objects.VERY HEAVY - Exert in excess of 100 lbs. of force occasionally, and/or in excess of 50 lbs. of force frequently, and/or in excess of 20 lbs. of force constantly to move objects.Physical Demands (movement)CLIMBING - Ascending or descending using feet and legs and/or hands and arms. Body agility is emphasized.BALANCING - Maintaining body equilibrium to prevent falling on narrow, slippery, or erratically moving surfaces; or maintaining body equilibrium when perform-ing feats of agility.STOOPING - Bending body downward and forward. This factor is important if it occurs to a considerable degree and requires full use of the lower extremities and back muscles.KNEELING - Bending legs at knees to come to rest on knee or knees.CROUCHING - Bending body downward and for-ward by bending legs and spine.CRAWLING - Moving about on hands and knees or hands and feet.

REACHING - Extending hand(s) and arm(s) in any direction.HANDLING - Seizing, holding, grasp-ing, turning, or otherwise working with hand or hands. Fingers are involved only to the extent that they are an extension of the hand.FINGERING - Picking, pinching, or otherwise working primarily with fingers rather than with the whole hand or arm as in handling.FEELING - Perceiving attributes of objects, such as size, shape, temperature, or texture, by touching with skin, particularly that of fingertips.Physical Demands (auditory)TALKING - Expressing or exchanging ideas by means of the spoken word. Talking is important for those activities in which workers must impart oral information to clients or to the public, and in those activities in which they must convey detailed or important spoken instructions to other workers accurately, loudly, or quickly.HEARING - perceiving the nature of sounds. Used for those activities which require ability to receive detailed information through oral communication, and to make fine discriminations in sounds, such as when making fine adjustments on running engines.Physical Demands (taste/smell)TASTING/SMELLING - Distinguishing, with a degree of accuracy, differences or similarities in intensity or quality of flavors and/or odors, or recognizing particular flavors and/or odors, using tongue and/or nose.Physical Demands (vision)NEAR ACUITY - Clarity of vision at 20 inches or less. Use this factor when special and minute accuracy is demanded.FAR ACUITY - Clarity of vision at 20 feet or more. Use this factor when visual efficiency in terms of far acuity is required in day and night/dark conditions.DEPTH PERCEPTION - Three-dimensional vision. Ability to judge distances and spatial relationships so as to see objects where and as they actually are.ACCOMMODATION - Adjustment of lens of eye to bring an object into sharp focus. Use this factor when requiring near point work at varying distances.COLOR VISION - Ability to identify and distinguish colors.FIELD OF VISION - Observing an area that can be seen up and down or to right or left while eyes are fixed on a given point. Use this factor when job performance re-quires seeing a large area while keeping the eyes fixed.Environmental Conditions and Physical Surroundings - exposure results in marked bodily discomfort.EXPOSURE TO WEATHER - Exposure to hot, cold, wet, humid, or windy conditions caused by the weather.EXTREME COLD - Exposure to nonweather-related cold temperatures.EXTREME HEAT - Exposure to nonweather-related hot temperatures.WET AND/OR HUMID - Contact with water or other liquids; or exposure to nonweather-related humid conditions.NOISE - Exposure to constant or intermittent sounds or a pitch or level sufficient to cause mark ed distraction or possible hearing loss.VIBRATION - Exposure to a shaking object or surface. This factor is rated important when vibration causes a strain on the body or extremities.

ATMOSPHERIC CONDITIONS - Exposure to conditions such as fumes, noxious odors, dusts, mists, gases, and poor ventilation, that affect the respiratory system, eyes or, the skin.CONFINED/RESTRICTED WORKING ENVI-RONMENT - Work is performed in a closed or locked facility providing safety and security for clients, inmates, or fellow workers.Equipment Usedoffice equipment such as computer, typewriter, projector, casette player/recorder.hand tools (e.g., hammer, shovel, screwdriver)power tools (e.g., radial saw, reciprocating saw, drill, pheunomatic hammer)vehicles (e.g., automobile, truck, tractor, lift)HazardsProximity to moving, mechanical parts.Exposure to electrical shock.Working in high, exposed places.Exposure to radiant energy.Working with explosives.Exposure to toxic or caustic chemicals. HR-Guide[&Modifier]HR-Guide: Job Analysis (http://www.job-analysis.net)Website containing numerous web based resources for job analysis.Other Sites[&Modifier]American Payroll Association Job Descriptions (http://www.americanpayroll.org/career-center/staff-development/jobdescriptions)APA has developed the position descriptors for the various positions found in Payroll Departments.

[&Modifier]Best Job Descriptions (http://www.bestjobdescriptions.com)Offers free job descriptions, company profiles, company reviews, salary information and career advice.

[&Modifier]Business Works (http://www.bizdrsolution.com)Bizdrsolution.com sells a hundreds of business documents, many tailored to specific industries, all offered by an expert business consultant with more than 30 years experience. Many of these documents are also offered in French and Spanish. In addition, there are useful business articles authored by Dr. Jim McCain and consulting services are offered.

[&Modifier]Horizon Management Group (http://www.horizonmg.com)Download a free sample job description or the Key Steps to Writing job Descriptions.

[&Modifier]HRN Management (http://www.hrnonline.com/job_about.asp)Job descriptions offer the basis for clear employer/employee communication and sound HR practices. Job Descriptions Plus, a collection of over 330 complete job descriptions-written by legal and HR experts-will pay for itself with the first description you implement. Use the documents "as is" or easily modify them to meet your needs. Each description includes Americans with Disabilities Act (ADA) and Fair Labor Standards Act (FLSA) information, a complete job summary, essential functions, performance

measurements, job qualifications, and more.

[&Modifier]Insperity (http://www.insperity.com/solutions/performance-management/what-is-employee-performance-appraisal-software/descriptions-now)Descriptions Now is the fastest and easiest way to define jobs and hire more effectively. Simply choose from our library of thousands of jobs, then answer relevant questions about qualifications, physical demands, supervisory responsibilities, performance competencies and work environment, edit and you’re done. From blank page to final description, you’re finished in just minutes. It’s that fast, and that easy.Web Portal Sites

[&Modifier]Free Managment Library (http://www.managementhelp.org/staffing/specify/job_desc/job_desc.htm)The Library provides easy-to-access, clutter-free, comprehensive resources regarding the leadership and management of yourself, other individuals, groups and organizations.HR Guide to the Internet:Job Evaluation: Methods: RankingRanking This method is one of the simplest to administer. Jobs are compared to each other based on the overall worth of the job to the organization. The 'worth' of a job is usually based on judgements of skill, effort (physical and mental), responsibility (supervisory and fiscal), and working conditions.

AdvantagesSimple.Very effective when there are relatively few jobs to be evaluated (less than 30).

DisadvantagesDifficult to administer as the number of jobs increases.Rank judgements are subjective.Since there is no standard used for comparison, new jobs would have to be compared with the existing jobs to determine its appropriate rank. In essence, the ranking process would have to be repeated each time a new job is added to the organization.

Ranking MethodsOrdering Simply place job titles on 3x5 inch index cards then order the titles by relative importance to the organization.WeightingPaired ComparisonGroupingAfter ranking, the jobs should be grouped to determine the appropriate slary levels.SoftwareInteractive Ranking Program. Try the Interactive Ranking Program.  Job Evaluation: Methods: ClassificationClassification Jobs are classified into an existing grade/category structure or hierarchy. Each level in the grade/category structure has a description and associated job titles. Each job is assigned to the grade/category providing the closest match to the job. The classification of a position is decided by comparing the whole job with the appropriate job grading standard. To ensure equity in job grading and wage rates, a common set of job grading standards and instructions are used. Because of differences in duties, skills and knowledge, and other aspects of trades and labor jobs, job grading standards are developed mainly along occupational lines.The standards do not attempt to describe every work assignment of each position in the occupation covered. The standards identify and describe those key characteristics of occupations which are significant for distinguishing different levels of work. They define these key characteristics in such a way as to provide a basis for assigning the appropriate grade level to all positions in the occupation to which the standards apply.

AdvantagesSimple.The grade/category structure exists independent of the jobs. Therefore, new jobs can be classified more easily than the Ranking Method.

DisadvantagesClassification judgments are subjective.The standard used for comparison (the grade/category structure) may have built in biases that would affect certain groups of employees (females or minorities).Some jobs may appear to fit within more than one grade/category.

TipsUse Well Defined Grades/Categories Attempt to define the grades/categories so that they do not overlap one another. Overlaps in the descriptions and factors used to identify the grade would lead to problems when assigning jobs to the grades where there is overlap between them.Biases Examine the Grades/Categories for inherent biases against females and minorities.Government ClassificationPosition ClassificationDefense Civilian Intelligence Personnel SystemHR Guide to the Internet:Job Evaluation: Methods: Factor ComparisonFactor Comparison A set of compensable factors are identified as determining the worth of jobs. Typically the number of compensable factors is small (4 or 5). Examples of compensable factors are:SkillResponsibilitiesEffort

Working ConditionsNext, benchmark jobs are identified. Benchmark jobs should be selected as having certain characteristics.equitable pay (not overpaid or underpaid)range of the factors (for each factor, some jobs would be at the low end of the factor while others would be at the high end of the factor).The jobs are then priced and the total pay for each job is divided into pay for each factor. See example matrix below:

Job Evaluation: Factor Comparison

The hourly rate is divided into pay for each of the following factors:Job Hourly Rate . Pay for Skill Pay for Effort Pay for Responsibility Pay for Working Conditions

Secretary $9.00 4.50 2.00 2.00 0.50Admin Assistant $11.00 5.50 2.50 2.50 0.50Supervisor $15.00 6.00 3.50 4.00 1.50Manager $21.00 9.00 3.50 7.00 1.50

This process establishes the rate of pay for each factor for each benchmark job. Slight adjustments may need o be made to the matrix to ensure equitable dollar weighting of the factors.The other jobs in the organization are then compared with the benchmark jobs and rates of pay for each factor are summed to determine the rates of pay for each of the other jobs.

AdvantagesThe value of the job is expressed in monetary terms.Can be applied to a wide range of jobs.Can be applied to newly created jobs.

DisadvantagesThe pay for each factor is based on judgements that are subjective.The standard used for determining the pay for each factor may have build in biases that would affect certain groups of employees (females or minorities).

TipsFew Factors Use a few well identifiable factors.Biases Examine the Factor dollar weights for inherent biases agains females and minorities. HR Guide to the Internet:Job Evaluation: Methods: Point MethodPoint Method A set of compensable factors are identified as determining the worth of jobs. Typically the compensable factors include the major categories of:SkillResponsibilitiesEffortWorking ConditionsThese factors can then be further defined.Skill

ExperienceEducationAbilityResponsibilitiesFiscalSupervisoryEffort

MentalPhysicalWorking ConditionsLocationHazards

Extremes in EnvironmentThe point method is an extension of the factor comparison method.Each factor is then divided into levels or degrees which are then assigned points. Each job is rated using the job evaluation instrument. The points for each factor are summed to form a total point score for the job.Jobs are then grouped by total point score and assigned to wage/salary grades so that similarly rated jobs would be placed in the same wage/salary grade.

AdvantagesThe value of the job is expressed in monetary terms.Can be applied to a wide range of jobs.Can be applied to newly created jobs.

DisadvantagesThe pay for each factor is based on judgments that are subjective.The standard used for determining the pay for each factor may have built-in biases that would affect certain groups of employees (females or minorities).

TipsFactors Use well defined factors.Biases Examine the Factor points for inherent biases against females and minorities.

SoftwareHR-Software.net offers free Point Method Job Evaluation Software at: http://www.hr-software.net/cgi/JobEvaluation.cgiChapter 11: Employee Development & Training

Training and development is a function of human resource management concerned with organizational activity aimed at bettering the performance of individuals and groups inorganizational settings. It has been known by several names, including "human resource development", and "learning and development"

The challenges associated with the changing nature of work and the workplace environment are as real for the campus as elsewhere. Rapid change requires a skilled, knowledgeable workforce with employees who are adaptive, flexible, and focused on the future.As a manager, one of your key responsibilities is to develop your staff. The Philosophy of Human Resources Management (Appendix B) states that you can:"Encourage growth and career development of employees by coaching, and by helping employees achieve their personal goals at UCSF and beyond...[you can develop] human resources by providing adequate training... encouragement of staff development, and opportunities for growth."The campus recognizes that employee development requires a shared responsibility among the institution, you, and the employee. In this partnership:The institutionEnsures that policies and programs facilitate the continuing development of staffYouWork with staff to: assess and provide feedback on their skills and interests; select training and development activities that match their career development objectives and job needs; use the Development & Training catalog as a tool to tell employees about training and development opportunities on campus and to create an annual development plan; stay informed of current policies and practices that support employee development; follow up with employees after a learning activity to integrate new skills and knowledge into their responsibilitiesThe employeeTakes initiative to assess skills and interests and seek development activities that match needs; works with you to identify training and development objectivesMost employee development and training programs fall under the following categories:Management Development; Career Development; Basic Skills; Professional Skills; Technical Training; Supervisory SkillsYour support of training and development creates a "Win" for the employee and for your workplace. You will have:Employees with upgraded skills, working to their full potential and equipped to deal with the changing demands of the workplace; employees with higher morale, career satisfaction, creativity, and motivation; increased productivity and responsiveness in meeting departmental objectivesCareer DevelopmentManagement DevelopmentOther Resources

Career DevelopmentCareer development is the ongoing acquisition or refinement of skills and knowledge, including job mastery and professional development, coupled with career planning activities. Job mastery skills are those that are necessary to successfully perform one's job. Professional development skills are the skills and knowledge that go beyond the scope of the employee's job description, although they may indirectly improve job performance.Since career development is an ongoing, dynamic process, employees may need encouragement and support in reviewing and re-assessing their goals and activities. You are in a key position to provide valuable feedback and Learning activities or resources. Formal training and classes away from the job are effective in providing new information, but adult learners also need to practice new skills. Therefore, you can contribute significantly to your staff member's career development by supporting career development activities within your department.Guiding PrinciplesYour support for career development is important because:Current information about the organization and future trends helps employees create more realistic career development goalsFocus on skill development contributes to learning opportunitiesOpportunities for promotion and/or lateral moves contribute to the employee's career satisfactionA greater sense of responsibility for managing one's own career contributes to self-confidenceCareer planning and development clarifies the match between organizational and individual employee goalsIt's cost-effective to use your own staff talent to provide career development opportunities within your departmentCareer development increases employee motivation and productivity

Attention to career development helps you attract top staff and retain valued employeesSupporting career development and growth of employees is mandated by the Philosophy of Human Resources ManagementHow to Support Career DevelopmentRefer to the Employee Development & Training catalog for the career development course listings.Annually, conduct an individual development plan and career discussion with employees and require other supervisors in your department to do the same.Hold supervisors in your department accountable for supporting employee development efforts.Create programs and activities to provide skill development, such as job rotation, cross-training, mentoring, internships, coaching, and career strategy groups.Recognize that your role includes providing support and/or release time for staff members' development beyond their current jobs.  Refer to the Education and Development Leave policy and the Flextime Scheduling: Guidelines and Procedures policy.Support requests for alternate work schedules from staff members.Serve as a role model by participating in career and professional development opportunities yourself.

See staff members' applications for other positions as a healthy sign of a dynamic workplace.Support lateral moves within your organization.Refer employees to the Staff Internship Program to explore opportunities to apply for career development internships or self-initiate an internship in an area of special interest.Create job vacancy listings that allow for the most diverse applicant pool while honoring transferable skills.Roles You Can PlayCOACH: Helps employees identify strengths, weaknesses, interests, and values by maintaining open, effective communication and ongoing encouragement. You can improve your coaching by:Encouraging two-way dialogueShowing employees how to identify their skills, interests, and valuesScheduling uninterrupted career development discussionsADVISOR: Provides organizational information, realities, and resources to employees. You can improve your advising by:Helping employees develop realistic career goals based on your department's needs and their individual development plansHelping employees understand the current opportunities and limitations on the campusAdvising employees on the feasibility of various career optionsAPPRAISER: Evaluates employees' performance in an open, candid way and relates this to potential opportunities. You can improve your appraisal skills by:Providing frequent feedback in a way that fosters developmentConducting performance appraisals that define strengths, weaknesses, and career development needsRelating current performance to future potential in realistic waysUsing an individual development plan as a tool for continual feedback and developmentREFERRAL AGENT: Helps employees meet their goals through contacts with people and resources. You can improve your referral agent skills by:Helping employees formulate development plans and consulting on strategiesProviding opportunities for experience, exposure, and visibility, such as committees and task forces)Using personal resources who you know and what you know to create opportunitiesAssisting in seeking employees' placement lateral or vertical

Management DevelopmentThe management and leadership development process is flexible and continuous, linking an individual's development to the goals of the job and the organization. Management development programs on campus give you the opportunity to develop a broad base of skills and knowledge that can be applied to many jobs on campus. D&T's management development curriculum is changing. The overarching goal is a comprehensive curriculum for managers and supervisors to develop the necessary core competencies to become excellent leaders. The Employee Relations Unit also provides training for managers and supervisors, along with performance management tools. Expanding management core

competencies will enable campus managers to keep pace with the demands of a changing organization. Enroll in the Supervisory Certificate Program courses to learn more about supervisory core competencies and roles at the D&T Course Enrollment Catalog.Guiding PrinciplesManagement development activities can:Encourage growth and career development of employees as stated in the Philosophy of Human Resources ManagementImprove skills and knowledge that can be immediately applied at workIncrease motivation and job satisfactionCreate a network of colleagues for problem-solving and supportPromote communication and planning throughout campus and department networksHow to Support Management DevelopmentModel the behavior you are encouraging; don't neglect your own development.Discuss and create a development plan during the performance planning cycle.Endorse employees attending classes and activities that support development plans and goals.Discuss what the employee learned in classes and support integrating new ideas/methods.Provide timely behavioral feedback on performance and discuss ways to improve and develop further.Provide opportunities for your employees to develop through mentoring, cross-training, internships, campus staff organizations, professional associations, committee and task force assignments, skill assessment programs, and university degree and extension programs.Other Resources The Employee Development & Training Unit in Human Resources Employee Development & Training course listings Management Skills Assessment Program