HR Planning

Strategic HR Planning
Strategic 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 planning
The strategic HR management planning process
Documenting the strategic HR plan
Implementing the strategic HR plan

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

Introduction to strategic HR planning
The 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 time
Keep up with social, economic, legislative and technological trends that impact on human resources in your area and
in the sector
Remain flexible so that your organization can manage change if the future is different than anticipated
Strategic 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 6.1
The organization has a process for regularly reviewing
staffing needs.


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The strategic HR planning process
The strategic HR planning process has four steps:
Assessing the current HR capacity
Forecasting HR requirements
Gap analysis
Developing HR strategies to support organizational strategies

Assessing current HR capacity
Based 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 requirements
The 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 matters
Gap analysis
The 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 strategies
There are five HR strategies for meeting your
organization's needs in the future:
Restructuring strategies
Training and development strategies
Recruitment strategies
Outsourcing strategies
Collaboration strategies
1. Restructuring strategies


This strategy includes:
Reducing staff either by termination or attrition
Regrouping tasks to create well designed jobs
Reorganizing work units to be more efficient
If 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 strategies
This strategy includes:
Providing staff with training to take on new roles
Providing current staff with development opportunities
to prepare them for future jobs in your organization
Training 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 strategies
This strategy includes:
Recruiting new staff with the skill and abilities that
your organization will need in the future
Considering all the available options for strategically
promoting job openings and encouraging suitable
candidates to apply
For 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 strategies
This strategy includes:
Using external individuals or organizations to complete
some tasks
Many 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 strategies
Finally, 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 institutions
Working with other organizations to prepare future
leaders by sharing in the development of promising
individuals
Sharing the costs of training for groups of employees
Allowing 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 plan
Once 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.

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Implementing the strategic HR plan
Once the HR strategic plan is complete the next step is
to implement it:
Agreement with the plan
Ensure 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
plan
What 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 appropriate
How each individual member of staff can contribute to
the plan
How staff will be supported through any changes
How the organization will be different in the future
It 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 mandate
Ensure 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
Standards
Organizational needs
Whether 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.
Evaluation
HR 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 Planning
HR Planning
Operational HR Planning
All 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 Standards
Guideline to Developing HR Policy
Getting the Right People
Learning, Training and Development
Compensation and Benefits
Keeping 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 3.3
All employees have a work plan and performance
objectives that identify the tasks/activities and expected
results for future performance.
Standard 6.1
The organization has a process for regularly reviewing
staffing needs.


Operational objective: Expand the services offered over the next two years
Human resources requirement: Five new staff members
Operational decision: Hire recent graduates or others with little direct work experience to reduce hiring costs
Implications 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 supervision
On-the-job training - there will be a need for increased training


Operational objective: Reduce staffing costs
Human resources requirement: Reduce staff by two fulltime equivalents
Operational decision: The reduction in staff will be made by not renewing the contract for two term employees
Implications 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 remain
Job 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 negotiated
Training - training will need to be provided to staff taking on new duties, if appropriate
Termination 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 Planning
Succession Planning
What 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:
Introduction
What 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
organizations
Succession planning in larger organizations
Tips for successful succession planning



Introduction
Succession 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 them
Baby boomer retirements are on the rise just at the time when the economy is growing and increasing the demand for
senior management expertise
There 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 vacancies
Younger 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 eliminated
With 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 3.3
All employees have a work plan and performance objectives that
identify the tasks/activities and expected results for future
performance.
Standard 6.2
Backup plans are documented to address any key employee leaves
of absence.
Standard 6.3
Critical positions in the organization are identified and succession
plans are established.




La Relve: Succession in Quebecs Community Sector
Commissioned by Quebecs Comit sectoriel de main-
d'uvre, conomie sociale et Action communautaire, and
translated with the generous support of the Institute for
Nonprofit Studies at Mount Royal College, La Relve is a
combination discussion paper and workbook, aimed at
raising awareness about succession and workforce
demographics in the provinces 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 projects
Match these to the capabilities of the existing
workforce
Develop a plan to manage the gaps that will arise
when individuals in key positions leave or are
promoted
The 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 leave
A 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 organization
An alignment between your organization's vision and
your human resources that demonstrates an
understanding of the need to have appropriate staffing
to achieve strategic plans
A commitment to developing career paths for
employees which will facilitate your organization's
ability to recruit and retain top-performing employees
and volunteers
An external reputation as an employer that invests in
its people and provides opportunities and support for
advancement
A message to your employees that they are valuable
The 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 result
Lack of financial resources: employees may leave for
better salaries and benefits offered in other workplaces
The 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 organizations
Project staff come and go and may not be seen to be
part of the talent pool available to organizations
In 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
organization
Indiscriminate inclusion of employees in the succession
plan including those who are disinterested,
unmotivated or lack capacity to advance
Inadequate training and development resulting in an
employee who is not prepared for a promotion
A plan that does not promote people in a timely
fashion, leading potential successors to leave the
organization to seek new opportunities
Poor communication resulting in confusion and turmoil
within the organization as staff speculate about what
the succession plan really is
Potential candidates for promotion cannot be
guaranteed that they will be promoted; a lot depends
on timing and need of the organization

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Succession planning in small and mid-sized
organizations
In 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
director
In 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 director
Ensuring that the person is motivated to take on the
top job
Developing a plan to ensure that the eventual
successor gains the requisite skills and knowledge to
take the job on
Ensuring 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
organization
The 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 place
First 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
director
Learn more about things board members should
consider when hiring a new executive director.



Ideas for recruiting for other key positions
The 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
employees
New 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 volunteers
There 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 organizations
The 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 assessment
Step 1
Identify 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 2
Review and list your current and emerging needs. This
will involve examining your strategic and operational
plans to clearly articulate priorities.
Step 3
Prepare 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 4
Identify 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 5
Evaluate/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 plan
Based 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 plan
As 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.

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Tips for successful succession planning
Secure 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 People
Learning, Training and Development

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

Transition Guides
Website 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.org
Howe, Theresa. January 19, 2004. Succession planning
and management. Charity Village Library. Available
online
at: www.charityvillage.com/cv/research/rhr12.html
Nonprofit 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 HR
The 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 HR
The risk management process
Who is involved in the risk management process?


What is this?
Related HR Management Standards:
Standard 3.3
All employees have a work plan and performance
objectives that identify the tasks/activities and expected
results for future performance.
Standard 6.1
The organization has a process for regularly reviewing
staffing needs.
Applying risk management to HR
When 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 considerations
Compensation and
benefits
Financial abuse Who has signing authority?
How many signatures are required?
Are there checks and balances?
Hiring Discriminatory practices
Hiring 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
Environmental
Personal 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 Abuse
Reputation in the
community
Release of personal
information
Do we provide sufficient orientation and training?
Do we provide adequate supervision (especially for activities that
occur off-site or after hours)?
Do we have a performance management system in place?
Are personal information protection guidelines followed?
Employee conduct Abuse
Reputation 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 Property
Reputation in the
community
Compensation
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 process
Risk 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 risks
The 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 injury
Medical
Environmental
Property
Financial
Reputation/goodwill
Other

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 risks
If 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 risks
Consider 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).

Implement
When 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.

Monitor
Consider 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 ANALYSIS
HR Guide to the Internet:
Job Analysis: Methods Of: Interview
The Job Analysis Interview: method to collect a variety
of information from an incumbent by asking the
incumbent to describe the tasks and duties performed.
Advantages
Allows the incumbent to
describe tasks and duties
Disadvantages
The incumbent may
exaggerate or omit tasks
that are not observable. and duties.

Interview Methods
Unstructured 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 and
the 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 to
establish a relationship
ask well-structured questions to generate a
conversational flow in which the interviewee offers
information - factual, opinion, subjective and objective
about aspects of the job
to ensure information recieved is heard and
understood - listening, clarifying and reflective
summarising
Effective 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
performance
an inventory or questionnaire may be used
Care 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 Outcomes
Interviewing 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 be
hard to bring together
there is potential for interviewer bias
certain areas of the work may fail to be picked up
an interview may stress one area and neglect others.
there are problems in interpretation and analysis with
the possibility of distorted impressions
the subjectivity of the data captured needs to be
considered
Interviewing 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: Observation
Direct 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/Adjuster
Construction Worker
Police Officer/Patrol Officer
Flight Attendant
Bus Driver
Housekeeper/Janitor
Skilled Crafts Worker
Advantages
With 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.
Disadvantages
One 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: Questionnaire
Classification 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 Survey
Another job analysis methodologythe Fleishman Job
Analysis Survey (F-JAS), formerly the Manual for
Ability Requirements Scalescontains 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 Scales
Beginning 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.
MOSAIC
The 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, and
Job 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 Descriptions
Job 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 employees 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 Functions
COMPARING - 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 Others
SUPERVISION (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 Used
office 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)
Hazards
Proximity 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.as
p)
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/solutio
ns/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 youre
done. From blank page to final description, youre
finished in just minutes. Its that fast, and that easy.
Web Portal Sites
[&Modifier]Free Managment
Library (http://www.managementhelp.org/staffing/spe
cify/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: Ranking
Ranking 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.
Advantages
Simple.
Very effective when there are relatively few jobs to be
evaluated (less than 30).
Disadvantages
Difficult 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 Methods
Ordering Simply place job titles on 3x5 inch index cards then order the titles by relative importance to the
organization.
Weighting
Paired Comparison
Grouping
After ranking, the jobs should be grouped to determine the appropriate slary levels.
Software
Interactive Ranking Program. Try the Interactive Ranking Program.
Job Evaluation: Methods: Classification
Classification 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.
Advantages
Simple.
The grade/category structure exists independent of the
jobs. Therefore, new jobs can be classified more easily
than the Ranking Method.
Disadvantages
Classification 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.

Tips
Use 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 Classification
Position Classification
Defense Civilian Intelligence Personnel System
HR Guide to the Internet:
Job Evaluation: Methods: Factor Comparison
Factor 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:
Skill
Responsibilities
Effort
Working Conditions
Next, 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 0.50
Admin Assistant $11.00

5.50 2.50 2.50 0.50
Supervisor $15.00

6.00 3.50 4.00 1.50
Manager $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.
Advantages
The 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.
Disadvantages
The 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).

Tips
Few 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 Method
Point Method A set of compensable factors are identified as determining the worth of jobs. Typically the
compensable factors include the major categories of:
Skill
Responsibilities
Effort
Working Conditions
These factors can then be further
defined.
Skill
Experience
Education
Ability
Responsibilities
Fiscal
Supervisory
Effort
Mental
Physical
Working Conditions
Location
Hazards

Extremes in Environment
The 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.
Advantages
The 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.
Disadvantages
The 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).

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

Software
HR-Software.net offers free Point Method Job Evaluation Software at: http://www.hr-
software.net/cgi/JobEvaluation.cgi
Chapter 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 institution
Ensures that policies and programs facilitate the continuing development of staff
You
Work 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 responsibilities
The employee
Takes initiative to assess skills and interests and seek development activities that match needs; works with you to
identify training and development objectives
Most employee development and training programs fall under the following categories:
Management Development; Career Development; Basic Skills; Professional Skills; Technical Training; Supervisory
Skills
Your 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 objectives
Career Development
Management Development
Other Resources

Career Development
Career 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 Principles
Your support for career development is important
because:
Current information about the organization and future
trends helps employees create more realistic career
development goals
Focus on skill development contributes to learning
opportunities
Opportunities for promotion and/or lateral moves
contribute to the employee's career satisfaction
A greater sense of responsibility for managing one's
own career contributes to self-confidence
Career planning and development clarifies the match
between organizational and individual employee goals
It's cost-effective to use your own staff talent to
provide career development opportunities within your
department
Career development increases employee motivation
and productivity
Attention to career development helps you attract top
staff and retain valued employees
Supporting career development and growth of
employees is mandated by the Philosophy of Human
Resources Management
How to Support Career Development
Refer 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 Play
COACH: 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 dialogue
Showing employees how to identify their skills,
interests, and values
Scheduling uninterrupted career development
discussions
ADVISOR: 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 plans
Helping employees understand the current
opportunities and limitations on the campus
Advising employees on the feasibility of various career
options
APPRAISER: 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
development
Conducting performance appraisals that define
strengths, weaknesses, and career development needs
Relating current performance to future potential in
realistic ways
Using an individual development plan as a tool for
continual feedback and development
REFERRAL 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 strategies
Providing opportunities for experience, exposure, and
visibility, such as committees and task forces)
Using personal resources who you know and what you
know to create opportunities
Assisting in seeking employees' placement lateral or
vertical

Management Development
The 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 Principles
Management development activities can:
Encourage growth and career development of
employees as stated in the Philosophy of Human
Resources Management
Improve skills and knowledge that can be immediately
applied at work
Increase motivation and job satisfaction
Create a network of colleagues for problem-solving and
support
Promote communication and planning throughout
campus and department networks
How to Support Management Development
Model 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