Build an IT

Succession Plan
Future-proof your IT team.

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Table of
Contents
4 Executive Summary 51 Step 2.3: Select Successors

7 Info-Tech’s Tools and 53 Phase 3: Knowledge Transfer

Templates
56 Step 3.1: Identify Critical Knowledge
10 Info-Tech’s Approach to Transfer

14 Phase 1: Talent Review 58 Step 3.2: Select Knowledge Transfer

Methods
18 Step 1.1: Identify Critical Roles
65 Step 3.3: Document Key Role
28 Step 1.2: Assess Talent Transition Plans

37 Phase 2: Succession Planning 70 Bibliography

40 Step 2.1: Identify Successors

48 Step 2.2: Develop Successors

Info-Tech Research Group | 2

Build an IT Succession
Plan
Future-proof your IT team.

EXECUTIVE BRIEF
Executive Summary
Your Challenge
Most organizations are unprepared for the loss of
employees who hold key roles.
• The departure of employees in key roles results
in the loss of valuable knowledge, core business
relationships, and profits.
• Pending retirements in key roles create
workforce risks and potentially impact business
continuity.
Planning and executing on key role transition can
take years. CIOs should prepare now to mitigate
the risk of loss later.
Info-Tech Insight
Losing employees in key roles without adequate preparation hinders productivity, knowledge retention, relationships, and opportunities. Implement
scalable succession planning to mitigate the risks.
Common Obstacles Info-Tech’s Approach
• The number of organizations which have not • Plan for the transfer of critical knowledge held
engaged in succession planning is 56%; they by key role incumbents.
haven’t identified at-risk key roles, or
• Explore alternative work arrangements to
successors for those roles.
ensure sufficient time to prepare successors.
• Analyzing key roles at the incumbent and
• Define formal transition plans for all employees
successor level introduces real-life, individual-
in at-risk key roles and their successors.
focused factors that have a major impact on
role-related risk.
Info-Tech Research Group | 4
Most organizations are unprepared for the loss of
employees who hold key roles
Due to the atmosphere of uncertainty.
Not only do they not have the right processes in place, but they are also ill-equipped to deal with the sheer volume of retirees in the
future.
This means that three out of five organizations don’t know what skills they need for the
Over 58% of organizations are unprepared for Baby Boomer retirement. Only future, or what their key roles truly are. They also haven’t identified at-risk key roles or
8% said they were very prepared. successors for those roles.
Source: McLean & Company, 2013, N=120

Very prepared,
8% To make matters worse, 74% of organizations have no formal process for facilitating
knowledge transfer between individuals, so knowledge will be lost.

6%
Somewhat
No Formal Process
prepared,
Unprepared, 58%
34%
20%
Some Processes in
Place

Source: McLean & Company, 2013; N=120 Formalized Process

74% in Place
A survey done by SHRM and AARP found similar results: 41% of HR
professionals said their organizations have done nothing and don’t plan to do
Source: McLean & Company, 2013; N=120
anything to prepare for a possible worker shortage as Boomers retire.
(Source: Poll: Organizations Can Do More to Prepare for Talent Shortage as Boomers Retire)
Info-Tech Research Group | 5
Most organizations underestimate the costs associated
with ignoring succession planning
Objections to succession
planning now:
“The recession bought us time to
“In many cases, plan for Baby Boomer retirement.”
executives have
no idea what “The skills possessed by my
organization’s Baby Boomers are
knowledge they easy to develop in others
internally.”
are losing.” “We don’t have the time to invest
(TLNT: Lost Knowledge – What Are
in succession planning.”
You and Your Organization Doing About
It?”)
“We don’t know when our boomers
plan to retire, so we can’t really
plan for it. “
“My organization puts a premium
on fresh ideas over experience.”
The risks of this mindset…
Forty-two percent of organizations believe this to be true and may feel a false sense of security.
Assume it takes three years to identify an internal successor for a key role, develop them, and
execute the transition. Add the idea that, like most organizations, you don’t have a repeatable
process for doing this. Do you still have enough time?
Forty percent of organizations agree with this statement, but given the low rate of workforce
planning taking place, most may not actually know the skills and knowledge they need to meet
future business goals. These organizations may realize their loss too late.
Thirty-nine percent of organizations cite this as an obstacle, which is a very real concern. Adopting
a simple, scalable process that focuses on the most mission critical key roles will be easier to
digest, as well as eliminate time wasted trying to recoup losses in the long run. The costs of not
planning are much higher than the costs of planning.
The fact that 42% of organizations don’t know employees’ retirement plans is proof positive that
they’re operating blind. You can’t plan for something if you don’t have any information about what
to plan for or the time frame you’re working against.
While nearly 45% of organizations prioritize fresh ideas, 50% value experience more. Succession
planning and knowledge transfer are important strategies for ensuring experience is retained long
enough for it to be passed along in the organization.
Info-Tech Research Group | 6
Use Info-Tech’s tools and templates

Talent Review Succession Planning Knowledge Transfer

Key tools and templates to help you complete your project deliverables

Key Roles Succession Planning Tool Key Roles Succession Planning Tool Role Transition Plan Template
Critical Role Identifier Role Profile Template Key Roles Succession Planning Tool
Role Profile Template Individual Talent Profile Template Role Profile Template
Individual Talent Profile Template Individual Talent Profile Template

Your completed project deliverables

Critical Role Identifier

Key Roles Succession Plan

Key Role Profiles

Individual Talent Profiles

Key Role Transition Plans

Info-Tech Research Group | 7

Ignoring succession planning could
cause significant costs
Losing knowledge will undermine your strategy in four ways:
Inefficiency
Inefficiency due to “reinvention of the
wheel.” When workers leave and don’t
effectively transfer their knowledge,
duplication of effort to solve problems
and find solutions occurs.
Innovation
Reduced capacity to innovate. Older
workers know what works and what
doesn’t, what’s new and what’s not. They
can identify the status quo faster to make
way for novel thinking.
Competitive Vulnerability
Advantage
Loss of competitive advantage. Losing Increased vulnerability. Losing
knowledge and/or established client knowledge can impede your
relationships hurts your asset base and organizational ability to identify,
stifles growth. understand, and mitigate risks. You’ll
have to learn through experience all over
again.
Info-Tech Research Group | 8
Succession planning improves performance by
reducing the impact of sudden departures
Business
Continuity
Succession planning limits disruption to
daily operations and minimizes
recruitment costs:
• The average time to fill a vacant role
externally in the US is approximately
43 days (Workable). Succession
planning can reduce this via a talent
pool of ready-now successors.
Engagement &
Retention
Effective succession planning is a tool for
engaging, developing, and retaining employees:
• Of departing employees, 45% cite lack of
opportunities for career advancement as the
moderate, major, or primary reason they left
(McLean & Company Exit Survey, 2018,
N=7,530).
Innovation &
Growth
Knowledge is a strategic asset, and succession
planning can help retain, grow, and capitalize
on it:
• Retaining the experience
and expertise of individuals
departing from critical roles supports and
enhances the quality of innovation
(Harvard Business Review, 2008).
Info-Tech Research Group | 9
Info-Tech’s approach
Talent Review Succession Planning Knowledge Transfer
Conduct a talent review Succession planning helps you Utilize methods that make it easy to
to identify key roles assess which key roles are most at apply the knowledge in day-to-day
risk practice.

Identify Critical Assess Talent Identify Develop Select Identify Critical Select Transfer Document Role
Roles Successors Successors Successors Knowledge Methods Transition
Plans

Future-Proofed IT Team
• Business continuity • IT success
• The right people, in the • Decreased impact of
right positions, at the right sudden departures
time • Improved performance
• Retention due to employee
development & growth
Info-Tech’s methodology for building an IT succession
plan

1. Talent Review 2. Succession Planning 3. Knowledge Transfer

1. Identify successor pool 1. Identify critical knowledge
1. Identify critical roles 2. Develop successors 2. Select knowledge transfer methods
Phase Steps
2. Assess talent 3. Select successors 3. Document role transition plans

• Key at-risk roles identified. • Critical knowledge risks identified.

• Documented business priorities
• Potential successors for key roles • Appropriate knowledge transfer
• Identified critical roles including
identified. methods selected.
Phase Outcomes required skills and knowledge
• Gap assessment between key role • Documented knowledge transfer
that support achievement of
incumbents and potential initiatives for key role transition
business strategy
successors. plans.

Info-Tech Research Group | 11

Info-Tech offers various levels of
support to best suit your needs

Guided Implementation
DIY Toolkit
“Our team has already made this “Our team knows that we need to
critical project a priority, and we fix a process, but we need
have the time and capability, but assistance to determine where to
some guidance along the way focus. Some check-ins along the
would be helpful.” way would help keep us on
track.”
Workshop
“We need to hit the ground
running and get this project
kicked off immediately. Our
team has the ability to take this
over once we get a framework
and strategy in place.”
Consulting
“Our team does not have the time
or the knowledge to take this
project on. We need assistance
through the entirety of this
project.”

Diagnostics and consistent frameworks are used throughout all four options.

Info-Tech Research Group | 12

Guided Implementation A Guided
What does a typical GI on this topic look like? Implementation (GI) is a
series
of calls with an Info-
Tech analyst to help
Phase 1 Phase 2 Phase 3
implement our best
practices in your
organization.
Call #1: Call #2: Call #4: Call #6: Call #8:
Scope Review Review risk and Feedback and Analyze role
requirements, business readiness recommendations transition A typical GI is six to ten
objectives, and priorities and
your specific clarify
assessments. on critical plans for flags. calls over the course of
knowledge risks.
challenges. criteria four to eight months.
weighting.
Call #3: Call #5: Call #7:
Review key Analyze gaps Review
role criteria. between key selected
Explain roles and transfer
information successors for methods.
collection key
process. consideration
s.
Info-Tech
Info-Tech Research
Research Group| 13
Group | 13
Phase 1
This phase will walk you
Talent Review through:
• Identifying your business
priorities
• Identifying your critical roles
including required skills and
knowledge that support
achievement of business
Phase 1 Phase 2 Phase 3 strategy
1.1 Identify Critical Roles 2.1 Identify Successors 3.1 Identify Critical
1.2 Assess Talent 2.2 Develop Successors Knowledge Tools and resources used:
2.3 Select Successors 3.2 Select Transfer Methods
3.3 Document Role • Key Roles Succession Planning
Transition Plan Tool
• Key Role Profile

• Individual Talent Profile

• Critical Role Identifier

This phase involves the following

Build an IT Succession Plan participants:
• IT leadership/management team
Info-Tech Research Group | 14
• HR
Conduct a talent review to identify
key roles
Sixty percent of organizations have not engaged in formal workforce planning, so
they don’t know what skills they need or what their key roles truly are. (Source: McLean
& Company, 2013; N=139)

1. A talent review ensures that each work unit has the right people, in the
right place, at the right time to successfully execute the business
strategy.
2. Only 40% of organizations have engaged in some form of workforce
planning.
3. The first step is to identify your business focus; with this information
you can start to note the key roles that drive your business strategy.

Info-Tech Research Group | 15

Key roles
Where an organization’s most valued skills and
CEO
knowledge reside
VP Marketing VP Sales VP IT
Organizations should prepare now to mitigate the risk of loss later.
Territory IT
Public Product Manager Manager
Key roles are: Relations Marketing
Manager Apps Lead
Manager Product
• Held by the most senior people in the organization, who carry the bulk of Manager
Manager Systems
leadership and decision-making responsibility. Manager Lead
Manager
Data
• Highly technical or specialized, and therefore difficult to replace. Architect

• Tied closely to unique or proprietary processes or possess knowledge that

cannot be procured externally.
• Critical to the continuation of business and cannot be left vacant without Identifying key roles is the first step in a range of
risking business operations.
workforce management activities because it helps
establish organizational needs and priorities, as well as
Info-Tech Insight
Losing employees in key roles without adequate preparation for focusing planning effort.
their departure has a direct impact on the bottom line in terms of
disrupted productivity, lost knowledge, severed relationships, and
missed opportunities. Info-Tech Research Group | 16
A talent review allows you to identify the knowledge
and skills you need today and for the long term.
A talent review gets you to think in
terms of:
Knowing what you need is the first step in determining what you • Where your organization wants
have and what you need to keep. to be in five years.

• A talent review is an analytic planning process used to ensure a work unit has the right • What skills the organization
people, in the right place, at the right time, and for the right cost in order to successfully needs to meet business goals
execute its business strategy. It allows organizations to: between now and then.
• Evaluate workforce demographics, review skills, and conduct position inventories. • How it can be best positioned for
the longer-term future.
• Evaluate business continuity risk from a talent perspective by identifying potential
workforce shortages.
• Identify critical positions, critical skills for each position, and percentage of critical Note: Planning against a time frame
workers retiring to assess the potential impact of losing them. longer than five years is difficult because
uncertainty in the external business
• Look at the effect of loss on new product development, revenues, costs, and business
environment will have unforeseen effects.
strategic objectives.
Revisit your plan annually and update it,
considering changes.
A talent review is a high-level planning process which does not take
Caution:
individual employees into consideration. Succession planning looks
at individuals and will be discussed in Phase 2.
Info-Tech Research Group | 17
Step 1.1 The primary goal of this step is to ensure
we have effectively identified key roles
based on business priorities, goals, and
Identify critical roles challenges, and to capture the key
elements of critical roles.

Activities

1.1.1 Document Business Priorities, Goals, and Challenges

1.1.2 Clarify Key Role Criteria and Weighting
1.1.3 Evaluate Role Importance
1.1.4 Key Role Selection and Comparison
1.1.5 Capture Key Elements of Critical Roles

Outcomes of this step

Talent Review Documented business priorities, goals,
and challenges.

Key elements of critical roles captured.

Step 1.1 Step 1.2 Key role criteria and weighting.

Info-Tech Research Group | 18

Business priorities will determine
the knowledge and skills you value “I’ve been in the position where the
business assumes everyone knows

most what is required. It’s not until you

get people into a room that it
becomes clear there is
misalignment. It all seems very
intuitive but in a lot of cases they
haven’t made the critical
distinctions regarding what exactly
Customer Operational the competencies are. They haven’t
Focus Focus spent the time figuring out what
they know.”
-Anne Roberts, Principal, Leadership Within
Inc.
Product
Focus

Note: Most
organizations will
be a blend of all
three, with one
predominating

Info-Tech Research Group | 19

 Input Output

1.1.1 Document • Business strategic plan • Completed workforce

business priorities planning worksheet (Tab 2)

of the Key Roles Succession
Planning Tool

Start by identifying your business priorities based on your strategic plan. The goal of
this exercise is to blast away assumptions and make sure leadership has a common
understanding of your target.

With the questions on the previous slide in mind document your business priorities,
business goals, and business challenges in Tab 2 of the Key Roles Succession Planning
Tool worksheet.
Get clear answers to these questions: Materials Participants
 Are we customer focused, product focused, or operationally focused? In other
words, is your organization known for:
• Great customer service or a great customer experience?
• Key Roles Succession • IT leadership
• The lowest price? Planning Tool
• Having the latest technology, or the best quality product?
 What are our organizational/departmental business goals? To improve
operational effectiveness, are we really talking about reducing operational costs?
 What are the key business challenges to address within the context of our focus?

Key Roles Succession Pla

nning Tool
Info-Tech Research Group | 20
Clarify what defines a
key role
A key role is crucial to achieving organizational objectives, drives
Info-tech insight
business performance, and includes specialized and rare competencies.
Key roles are high in strategic value and rarity – for example, the Traditionally, succession planning has only
developer role for a tech company. addressed top management roles. However,
until you look at the evidence, you won’t
know if these are indeed high-value roles,
and you may be missing other critical roles
Look at two dimensions further down the hierarchy.
when examining roles:
Critical Roles • Strategic value refers to
the importance of the role
in keeping the organization
functioning and executing
Rarity

Core Roles
on the strategic objectives.
• Rarity refers to how
difficult it is to find and
develop the competencies
Supporting Roles Use the Critical Role Identifier to facilitate the
in the role.
identification of critical roles with your leaders.

Strategic Value
Info-Tech Research Group | 21
 Input Output

1.1.2 Clarify key role • Business strategic plan • Weighted criteria to help

criteria & weighting identify critical roles

1. Using Tab 2 of the Critical Role Identifier tool, along with the information on the
previous slide, determine the relative importance of four criteria as contributing to
the importance of a role within the organization.

2. Rate each of the four criteria: strategic value, rarity, revenue generation,
business/operation continuity, and any custom criteria numerically. You might
choose only one or two criteria – they all do not need to be included.

3. Document your decisions in Tab 2 of the Critical Role Identifier.

Materials Participants

• Critical Role Identifier • IT leadership

Critical Role Identifier

Info-Tech Research Group | 22

 Input Output

1.1.3 Evaluate role • List of IT roles • Full list of roles and a

importance populated Critical Role

Selection sheet (Tab 4)

1. Using Tab 3 of the Critical Role Identifier, collect information about IT roles.

2. Start by listing each role under consideration, and its department or subcategory.

3. For each criteria statement listed across the top of the sheet, select an option from
the drop-down menu to reflect the appropriate answer scale rating. Replace the text
in grey with information customized to your team. If a criteria has a weighting of
zero in Tab 2, the questions associated with that criteria will be greyed out and do
not have to be answered.
Materials Participants

• Critical Role Identifier • IT leadership

Critical Role Identifier

Info-Tech Research Group | 23

Identify the key roles that support and drive your
business priorities
Focus on key IT roles instead of all roles to save time
and concentrate effort on your highest risk areas.
Key Roles include:
Strategic Roles: Roles that give the greatest competitive advantage.
Often these are roles that involve decision-making responsibility.
Core Roles: Roles that must provide consistent results to achieve
business goals.
Proprietary Roles: Roles that are tied closely to unique or proprietary
internal processes or knowledge that cannot be procured externally.
These are often highly technical or specialized.
Required Roles: Roles that support the department and are required to
keep it moving forward day-to-day.
Influential Roles: Positions filled by employees who are the backbone
of the organization, the go-to people who are the corporate culture.
Ask these questions to identify key
roles:
1. What are the roles that have a significant
impact on delivering the business strategy?
2. What are the key differentiating roles for our
organization?
3. Which roles, if vacant, would leave the
organization open to non-compliance with
regulatory or legal requirements?
4. Which roles have a direct impact on the
customer?
5. Which roles, if vacant, would create system,
function, or process failure for the
organization?

Info-Tech Research Group | 24

 Input Output

1.1.4 Key role selection and • Tab 3 of the Critical Role • List of roles from highest to

comparison Identifier lowest criticality score.

• List of key roles entered in

Tab 2 of the Key Roles
1. Using tab 4 of the Critical Role Identifier, which displays the results of the role Succession Planning Tool
importance evaluation, review the weighted criticality score. To add or remove roles
or departments make changes on Tab 3.

2. Use this table to see the scores and roles from highest to lowest based on your
weightings and scoring.

3. In column J, classify the roles as critical, core, or supporting based on the weighted
overall score and the individual criteria scores.
Materials Participants
a) Critical – is crucial to achieving organizational objectives, drives business
performance, and includes specialized and rare skills.
b) Core – is related to operational excellence. Highly strategically valuable but • Critical Role Identifier • IT leadership
easy to find or develop.
• Key Roles Succession
c) Supporting – is important in keeping business functioning; however, the Planning Tool
strategic value is low. Competencies are easy to develop.

4. Once you’ve selected the key roles, transfer them into Tab 2 of the Key Roles
Succession Planning Tool worksheet where you have documented your business
priorities.
Critical Role Identifier Key Roles Succession Planning Tool
Info-Tech Research Group | 25
 Input Output

1.1.5 Capture key elements of • Job descriptions • List of required skills and

critical roles • Success profiles

• Competency profiles
knowledge for key roles

• Role profiles documented

for key roles
1. Document the minimum requirements for critical roles in column E and F of Tab 2
of the Key Roles Succession Planning Tool. Include elements that drive talent
decisions, are measurable, and are oriented to future organizational needs.

2. Consider how leadership competencies and technical skills tie to business

expansion plans, new service offerings, etc.

3. Use the Role Profile Template to help in this process and to maintain up-to-date
information.
Materials Participants
4. Role profiles may be informed by existing job descriptions, success profiles, or
competency profiles.

5. Conduct regular maintenance on your role profiles. Outdated and inaccurate role- • Key Roles Succession • IT leadership
Planning Tool
related information can make succession planning efforts ineffective.
• Role Profile Template

Key Roles Succession Planning Tool Role Profile Template

Info-Tech Research Group | 26

Case Study
Conduct a “sanity check” by walking through a checklist of all roles to
ensure you haven’t missed anything.
Challenge
• Key roles may not be what you think
they are.
• The Payroll Manager of a large
Provincial hospital, with 20-year
tenure, announced her retirement.
• Throughout her tenure, this employee
took on many tasks outside the scope
of her role, including pension
calculations/filings and other finance-
related tasks that required a high level
of specialized knowledge of internal
systems.
INDUSTRY
Large Provincial
Hospital
Solution
• Little time or effort was placed on
fully understanding what she did day-
to-day.
• Furthermore, the search for a
replacement was left far too late,
which meant that she vacated the role
without training a replacement.
• Low level roles can become critical to
business continuation if they’re
occupied by only one person, creating
a “single point of failure” if they
become vacant.
SOURCE
Payroll Manager
Results
• It wasn’t until after she left that it
became obvious how much extra work
she was doing, which made it nearly
impossible to find a replacement.
• Her manager found a replacement to
take the payroll duties but had to
distribute the other duties to colleagues
(who were very unhappy about the extra
tasks).
• This role may not seem like a “key
role,” but the incumbent turned it into
one. Keep tabs on what people are
working on to avoid overly nuanced
role requirements.
Info-Tech Research Group | 27
Step 1.2 The primary goal of this step is to assess
departmental talent and identify gaps
between potential successors and key
Assess talent roles. This analysis is intended to support
departmental access to suitable talent
ensuring future business success.

Activities

1.2.1 Identify Current Incumbents’ Information

1.2.2 Identify Potential Successors and Collect Information

Outcomes of this step

Talent Review Collection of current incumbents’
information.

Collection of potential successor

information.
Step 1.1 Step 1.2
Gap assessment.

Info-Tech Research Group | 28

Find out key role incumbents’
career plans
Have career discussions with key role incumbents
• Do not ask employees directly about their retirement plans as this can
be misconstrued as age discrimination – let them take the initiative.
• To take the spotlight away from older workers and potential feelings of
discrimination, supervisors should be having these discussions with
their employees at least annually.
• Having this discussion creates an opportunity for employees to share
their retirement plans, if they have any.
• Warning: This is not the time to make promises about the future. For
example, alternative work arrangements cannot be guaranteed without
further analysis and planning.
Do the following:
1. Book a meeting with employees and ask them to prepare for a career
development discussion.
2. Ask direct questions about motivation, lifestyle preferences, and
passions.
3. Spend the time to understand your employees’ goals and their
development needs.
If an employee discloses that they plan to leave within
the next few years:
1. Gather information about approximate exit dates (non-binding).
2. Find out their opinions about how they would like to transition out
of their role, including any alternative work arrangements they
would like to pursue.
Info-Tech Research Group | 29
Potential questions to
ask during career
discussions with key
role incumbents

• Where do you see yourself in five years?

• What role would you see yourself in after this one?
• What gets you excited about coming to work?
• Describe your greatest strengths. How would you
like to use those strengths in the future?
• What is standing in the way of your career goals?
** Do not ask employees directly about their retirement plans as this can be
misconstrued as age discrimination – let them take the initiative.**
Info-Tech Research Group | 30
 Input Output
1.2.1 Identify current
incumbents' information
• Key roles list • List of key roles with
individual incumbent
• Employee information
information
Identify current incumbents for all key roles and collect
information about them.
Using Tab 3 of the Key Roles Succession Planning Tool identify the incumbent (the
person currently in the role) for all key roles.

Distribute the worksheet to department managers and team leaders to complete the
information below for each key role.

For that incumbent, also document:

1. Their time in that role. Materials Participants
2. Their overall performance in current role (does not meet, meets, or exceeds
expectations).
3. Next step in career (target role or retirement). • Key Roles Succession • IT leadership/management
4. Time until exit from the current role (known or estimated). Planning Tool – Succession team
5. Development needs for next step in career. Plan Worksheet (Tab 3)
• HR
6. Any additional knowledge and skills they possess beyond the role description that
is of value to the organization. • Current incumbents if
necessary
Upon completion, managers and team leaders should review the results with the
department leader.
Key Roles Succession Planning Tool
Info-Tech Research Group | 31
Identify potential successors for all key
roles
It’s imperative that multiple sources of information are used to ensure no potential successor is missed
and to gain a complete candidate picture.
Work collaboratively with the management team and HR business
partners for names of potential successors.
The management team includes:
• The incumbent’s direct supervisor.
• Managers from the department in which the key role exists.
• Leaders of teams with which potential successors have worked.
• The key role incumbent (assuming it’s appropriate to do so).
Use management roundtable discussions to identify and analyze each
potential successor.
• Participants should come equipped with names of potential successors
and be prepared to provide a rationale for their recommendation.
• Provide all participants with the key role job description in advance of
the meeting, including responsibilities and required knowledge and skills.
Don’t confuse successors with high potentials!
• Identifying high potential employees involves recognizing
those employees who consistently outperform their peers,
progress more quickly than their peers, and live the
company culture. They are usually striving for leadership
roles.
• While you also want your successors to exemplify these
qualities of excellence, succession planning is specifically
about identifying the employees who currently possess (or
soon will possess) the skills and knowledge required to take
over a key role.
• Remember: Key roles are not limited to leadership roles, so
cast a wider net when identifying succession candidates.
See the following slide for sources of information participants should
consult to back up their recommendations and vet succession
candidates.
Info-Tech Research Group | 32
Determine how employees will be identified
for talent assessment
Description Advice

• Managers or skip-level leaders nominate

• Limit bias by requiring management nominations to be based on
Management-nominated employees potential successors within or outside their
specific evidence of performance and potential.
team.

• Determine whether the HiPo program sufficiently assesses for

• Consider employees who are in an existing critical role requirements. Successors must possess the skills and
High-potential employees (HiPos)
high-potential program. knowledge required for specific critical roles. Expand assessment
beyond just HiPo.

• Employees are informed about succession • Train managers to support the program and to handle difficult
Self-nominated employees planning and asked to indicate their interest conversations (e.g. employee submitted self-nomination and was
in critical roles. unsuccessful).

• While less common, this approach is appropriate for highly-

• All employees across a division, geography,
inclusive cultures. Be prepared to invest significantly more time and
All employees function, or leadership level are invited for
resources.
assessment.

When identifying employees, keep the following advice in mind:

Widen the net Match transparency

Don’t limit yourself to the next level down or the same functional group. With less transparency, there are fewer options, and you risk missing out on
potential successors.
Info-Tech Research Group | 33
Select the appropriate talent
assessment methods 360-Degree
Feedback
(breadth and accuracy
Recent
HR-led
Performance
Interviews
Evaluations
(objectivity and
Identify all talent assessment types used in your organization and (predictor of future
confirmation)
performance)
examine their ability to inform decision-making for critical role
assignments. Select multiple sources to ensure a robust talent Good Successor
assessment approach:
A sound talent assessment methodology will involve both
Information
quantitative and qualitative components. Multiple data Sources Talent Review
Job Simulations
inputs and perspectives will help ensure relevant information Meetings
is prioritized and suitable candidates aren’t overlooked. (real-life testing)
(leadership input)
However, beware that too many inputs may slow down the
process and frustrate managers.
Stretch
Competency- Assignments
Beware of biases in talent assessments. A common tendency is for
Based Aptitude
people to recommend successors who are exactly like them or who they Tests
(challenge comfort
zones)
like personally, not necessarily the best person for the job. HR must
(objective data)
(diplomatically) challenge leaders to use evidence-based assessments.
 Prepare to customize the Individual Talent
Profile Template
Ensure the role profile and individual talent
profile are synchronized to enable
comparing employee qualifications and
readiness to critical role requirements.

Use both in conjunction

during:
Role Profile
A role profile contains information
on the skills, competencies, and
other minimum requirements for
the critical role. It details the type
of incumbent that would fit a
critical role.
• Talent assessment
• Successor identification Individual Talent Profile
• Successor development A talent profile provides information
• Successor selection about a person. In addition to
responding to role profile criteria, it
provides information on an
employee’s past experiences and
performance,
career aspirations, and future
potential.
Info-Tech Research Group | 35
 Input Output
1.2.2 Identify Potential
Successors’ Information
• Key roles list • List of potential successors
for key roles that are
• Employee information
selected for talent
Identify potential successors for key roles and collect critical • Completed role profiles assessment
and/or Tab 2 role
information.
information.
Have managers and team leads complete column I on Tab 3 of the Key Roles
Succession Planning Tool and review with the department leader.

There may be more than one potential successor for key roles; this is okay.

Once the list is compiled, complete an individual talent profile for each potential
successor. Record an employee’s:
1. Employee information Materials Participants
2. Career goals
3. Experience and education
4. Achievements • Key Roles Succession • IT leadership
5. Competencies Planning Tool – Succession
• IT team leads
6. Performance Plan Worksheet (Tab 3)
• Employees
7. Any assessment results

Once the profiles are completed, they can be compared to the role profile to identify
development needs.

Key Roles Succession Planning Individual Talent Profile Tem

Tool plate Info-Tech Research Group | 36
Phase 2 This phase will walk you
through how to:

Succession Planning • Conduct an assessment to

Phase 1 Phase 2
1.1 Identify Critical Roles 2.1 Identify Successors
1.2 Assess Talent 2.2 Develop Successors
2.3 Select Successors 3.2 Select Transfer Methods
identify “at risk” key role
incumbents.
• Identify potential successors for
key roles and collect critical
information.
• Assess gaps between key role
Phase 3 incumbents and potential
successors.
3.1 Identify Critical
Knowledge Tools and resources used:
3.3 Document Role • Key Roles Succession Planning
Transition Plans Tool
• Key Role Profile

• Individual Talent Profile

This phase involves the following

participants:
Build an IT Succession Plan • IT leadership/management team

• HR
Info-Tech Research Group | 37
Succession planning helps you
assess which key roles are most at
risk “I ask the questions, What
Drilling down to the incumbent and successor level introduces “real life,” individual-
focused factors that have a major impact on role-related risk. are the risks we have with
Succession planning is an organizational process for identifying and developing talent internally to these particular roles? Is
fill key business roles. It allows organizations to: there a way to disperse this
• Understand the career plans of employees to allow organizations to plan more accurately. knowledge to other members
• Identify suitable successors for key roles and assess their readiness. of the group? If yes, then
• Mitigate risks to long-term business continuity and growth. how do we do that?”
• Avoid external replacement costs including headhunting and recruitment, HR administration, – Director of HR, Service Industry
and productivity loss.
• Retain internal tacit knowledge.

• Increase engagement and retention; keeping talented people reinforces career path opportunities
and builds team culture.

Where the talent review was about high-level strategic planning for
Caution: talent requirements, succession planning looks at individual employees
and plans for which employees will fulfill which key roles next. Info-Tech Research Group | 38
 Succession Planning

Succession planning ultimately must

drill down to individual people – Critical Roles
namely, the incumbent and potential
successors.
This is because individual human
Critical Knowledge and Skills
beings possess a unique knowledge and
skill set, along with their own personal
aspirations and life circumstances.
Individuals
The risks associated with a key role are
theoretical. When people are introduced
into the equation, the “real life” risk of
loss for that key role can change
dramatically.
Incumbent’s
Potential Successors

Info-Tech Research Group | 39

Step 2.1 This step highlights the relative
positioning of all employees assessed for
departure risk compared to the potential
Identify Successors successors’ readiness, identifying gaps
that create risk for the organization, and
need mitigation strategies.

Activities

2.1.1 Conduct Individual Risk Assessment

2.1.2 Successor Readiness Assessment

Outcomes of this step

Succession Planning Individual risk assessment results –
mitigate, manage, accept matrix.

Potential successor readiness ranking.

Step 2.1 Step 2.2 Step 2.3
Determination on transparency level with
successors.

Info-Tech Research Group | 40

Decide how to obtain information on
employee interest in critical roles
Obtaining employee interest ensures
Not all employees may want to be considered as part of the succession planning program. It might not process efficiency because:
fit their short- or long-term plans. Avoid misalignment and outline steps to ascertain employee interest. • Time isn’t wasted focusing on
Transparency candidates who aren’t interested.
• The assessment group is narrowed
• Use your target transparency level to:
down through self-selection.
o Determine the degree of employees’ participation in self-assessment.
o Guide organization-wide and targeted messaging about succession planning (see Step Level-set expectations with
3). employees:
Timing • Communicate that they will be
• Ensure program-level communication has occurred before asking employees about their considered for assessment and talent
interests in critical roles, in order to garner more trust and engagement. review discussions.
• Ensure they understand that everyone
• Decide at what point along the succession planning process (if at all) that employee’s career assessed will not necessarily be
interests will be collected and incorporated. identified or selected as a successor.
Manager accountability and resources
• Identify resources needed for managers to conduct targeted career conversations with
employees (e.g. training, communication guides, key messaging).
Info-Tech Research Group | 41
• If program communication is to be implemented organization-wide, approach accordingly.
Conduct a risk assessment
Identify key role incumbents who may leave before you’re ready. Pull some hard demographic data.

Compile a report that breaks down employees

into age-based demographic groups.
Pay particular attention to those employees nearing retirement and flag them as high
Flag those over the age of 50 – they’re in the
risk. “retirement zone” and could decide to leave at
Understand the impact that employee age has on key role risk. Keep the any time.
following in mind when filling out the Individual Risk Assessment of the
Check to see which key role incumbents fall into
Key Roles Succession Planning Tool. See the next slide for more details on
the “over 50” age demographic. You’ll want to
this. shortlist these people for an individual risk
High Anyone 60 years of age or older, or anyone who has indicated they will be assessment.
Risk retiring within five years.
Update this report twice a year to keep it current.
Employees in their early 50s are still many years away from retirement but
have enough years remaining in their career to make a significant move to a For those people on your shortlist, gather the
new role outside of your organization. Furthermore, they have specialized information that supervisors gained from the
Moderat skills making them more attractive to external organizations. career discussions that took place. Specifically,
draw out information that indicates their
e Risk Employees in their late 50s are likely more than five years away from retirement plans.
retirement but are also less likely than younger employees to leave your
organization for another role elsewhere. This is because of increasing
personal risk in making such a move, and persistent employer unwillingness
to hire older employees.
Technically, when it comes to succession planning for key roles held by
Low employees over the age of 50, no one should be considered “low risk for
Risk departure.”
Info-Tech Research Group | 42
 Input Output
2.1.1 Conduct Individual Risk
Assessment
• Completed Succession Plan • Risk assessment of key role
worksheet incumbents

• Understanding of which key

Assign values for probability of departure and impact of departure role departures to manage,
mitigate, and accept
using the Key Roles Succession Planning Tool.
For those in key roles and those over 50, complete the Individual Risk Assessment (Tab 4)
of the Key Roles Succession Planning Tool:

1. Assess each key role incumbent’s probability of departure based on your knowledge.
If the person is going to another job, is a known flight risk, or faces dismissal, the
probability is high.
• 0-40: Unlikely to Leave. If the employee is new to the role, highly engaged, or Materials Participants
a high potential.
• 41-60: Unknown. If the employee is sending mixed messages about happiness
at work, or sending no messages, it may be difficult to guess.
• 61-100: Likely to Leave. If the employee is nearing retirement, actively job • Key Roles Succession • IT leadership/management
searching, disengaged, or faces dismissal, then the probability of departure is Planning Tool – Individual team
high. Risk Assessment (Tab 4)

• Key Roles Succession

2. Assess the role and the individual’s impact of departure on a scale of 1 (no impact) to
Planning Tool – Risk
100 (devasting impact). Assessment Results (Tab 5)
3. Review the risk assessment results on tab 5 of the planning tool. The employees that
appear in the mitigate quadrant are your succession planning priorities.
Key Roles Succession Planning Tool Info-Tech Research Group | 43
Define readiness criteria for successor
identification Create definitions for each readiness level:
1 2
Select the types of readiness and the
number of levels: Example: Performance Potential
Readiness by time horizon:
• Successors are identified as ready Definition: Ability to Definition: Ability to take on
Ready Now deliver in current role
based on how long it is estimated greater responsibility
they will take to acquire the Requirement: Meets or Requirement: Demonstrates
minimum requirements of the critical exceeds expectations learning agility
role.
• Levels example: Ready Now, Ready
in 1-2 Years, Ready in 3-5 Years.
Readiness by moves:
• Successors are identified as ready The 9-box is an effective way to map
based on how many position moves performance and potential requirements
they have made or how many and can guide management decision
developmental experiences they have making in talent review and calibration
had. sessions. See McLean & Company’s
• Levels example: Ready Now, Ready 9-Box Job Aid for more information.
after 1 Move, Ready after 2 Moves.

“Time means nothing. If you say someone will be ready in a year, and you’ve done nothing in that year to develop them, they won’t be
Assess Talent Develop
ready. We look at it as moves or experiences: ready now, ready in one move, ready in two moves.”
Successors
Info-Tech Research Group | 44
– Amanda Mathieson, Senior Manager, Talent Management, Tangerine
 Input Output
2.1.2 Successor Readiness
Assessment
• Individual talent profiles • Readiness ranking for each
potential successor
• List of potential successors
(Tab 3)
Assign values for probability of departure and impact of departure
using the Key Roles Succession Planning Tool.

Using Tab 6 of the Key Roles Succession Planning Tool, evaluate the readiness of each
potential successor that you previously identified.

1. Enter the name, current role, and target role of each potential successor into the
spreadsheet.
Materials Participants
2. For each employee, fill in a response from “strongly agree” to “strongly disagree”
for the assessment criteria statements listed in column B of Tab 6. This will give you
a readiness ranking in row 68. • Key Roles Succession • IT leadership/management
Planning Tool team

Key Roles Succession Planning Tool

Info-Tech Research Group | 45

Decide if and how successors will be told
about their status in the succession plan
1. Decide if employees will be told. Be as
transparent as possible. This will
provide several benefits to your
organization (e.g. higher engagement,
retention) while managing potential
risks (e.g. perception that the process is
unfair, reducing motivation to
perform).
2. Decide who will tell them. Decide
based on the culture of your
organization; are official
communications usually conveyed
through the direct manager, HR, senior
leaders, or steering committee?
3. Determine how you will tell them.
Suggested messaging to non-successors:
• Not being identified as a successor does not mean that an employee is not valued by the
organization, nor does it indicate the employee will be let go. It simply means that the
organization needs a backup plan to manage risk.
• Employees can still develop toward a critical role they are interested in, and the
organization will continue to evaluate whether they can be a potential successor.
• It is the employee’s responsibility to own their development and communicate to their
manager any interest they have in critical roles.
Suggested messaging to successors:
• Being identified as a successor is an investment in employee development – not a
guaranteed promotion.
• Successor status may change based on changes to the critical role itself, or if performance
is not on par with expectations.
• The organization strives to be as fair and objective as possible through evidence-based
assessments of performance and potential.
Info-Tech Research Group | 46
Case Study INDUSTRY SOURCE

Professional Services Confidential

Failing to have a career aspiration discussion with a potential
successor leaves a sales director in a bind.

Challenge Solution Results

• A senior sales director in a medium-
sized private company knew there
would be a key management
opportunity opening up in six months.
He had one candidate in mind: a key
contributor from the sales floor.
• The sales manager assumed that the
sales representative would want the
management position and began
planning the candidate’s required
training in order to get him ready.
• Three months before the position
opened up, the manager finally
approached the representative about
the opportunity, telling the
representative that he was an
excellent candidate for the role.
• However, the sales representative was
not interested in managing people. He
wanted to come in, do a really great
day’s worth of work, and then go
home and be done. He already loved
what he did.
• The sales representative turned down
the offer point blank, leaving the
manager with less than three months
to find and groom a new internal
successor.
• The manager failed on several fronts.
First, he did not ask the employee
about his career aspirations. Second,
he did not groom a pool of potential
successors for the role, affording no
protection in the event that the
primary candidate couldn’t or
wouldn’t assume the role.

Info-Tech Research Group | 47

Step 2.2 The primary goal of this step is to
identify the steps that need to be taken to
develop potential successors. Focus on
Develop Successors training employees for their future role,
not just their current one.

Activities

2.2.1 Outline Successor Development Process

Outcomes of this step

Succession Planning Identified gaps between key role exits
and successor readiness.

Step 2.1 Step 2.2 Step 2.3

Info-Tech Research Group | 48

 Input Output

2.2.1 Outline Successor • Role profiles • Identified gaps between key

Development Process • Talent profiles

role exits and successor
readiness
• Talent assessments
Prepare successors for their next role, not just their current one.

Use role and talent profiles and any talent assessment results to identify gaps for
development.

1. Outline the steps involved in the individual development planning process for
successors. Key steps include identifying development timeline, learning needs,
Materials Participants
learning resources and strategies, and accomplishment metrics/evidence.
2. Identify learning elements successor development will involve based on critical role
type. For example, coaching and/or mentoring, leadership training, functional skills
• Key Roles Succession • IT leadership/management
training, or targeted experiences/projects. Planning Tool – Successor team
3. Select metrics with associated timelines to measure the progress of successor Identification (Tab 7)
development plans. Establish guidelines for employee and manager accountability in
developing prioritized competencies.
4. Determine monitoring cadence of successor development plans (i.e. how often
successor development plans will be tracked to ensure timely progress). Identify
who will be involved in monitoring the process (e.g. steering committee).

Info-Tech insight
Succession planning without integrated efforts for successor development is simply replacement
planning. Get successors ready for promotion by ensuring a continuously monitored and customized
development plan is in place. Info-Tech Research Group | 49
Integrate knowledge transfer in the successor
development process
Brainstorm ideas to encourage knowledge-sharing and Integrate knowledge-transfer methods into the successor
1 transfer from incumbent to successor. 2 development process.

Identify key knowledge areas to include: Use multiple methods for effective knowledge transfer.
• Specialized technical knowledge Explicit knowledge is easily explained and codified, such as
• Specialized research and development processes facts and procedures. Knowledge transfer methods tend to be
more formal and one-way. For example:
• Unique design capabilities/methods/models
• Formal documentation of processes and best practices
• Special formulas/algorithms/techniques
• Self-published knowledgebase
• Proprietary production processes
c • Formal training sessions c
• Decision-making criteria Tacit knowledge accumulates over years of experience and is
• Innovative sales methods hard to articulate. Knowledge transfer methods are often informal
and interactive. For example:
• Knowledge about key customers
• Mentoring and job shadowing
• Relationships with key stakeholders
• Multigenerational work teams
• Company history and values • Networks and communities

Knowledge transfer can occur via a wide range of methods that need to be selected and integrated into daily work to suit the needs of the knowledge to be
transferred and of the people involved. See Phase 3 for more details on knowledge transfer.
Info-Tech Research Group | 50
Step 2.3 The goal of this step is to determine how
critical roles will be filled when
vacancies arise.
Select Successors

Outcomes of this step

Succession Planning Agreement with HR on the process to fill
vacancies when key roles exit.

Step 2.1 Step 2.2 Step 2.3

Info-Tech Research Group | 51

Determine how critical roles will
be filled when vacancies arise Work together with Talent
Acquisition (TA) to outline
special treatment of critical
role vacancies. Ensure TA is
Choose one of two approaches to successor selection:
aware of succession plan(s).
• Talent review meeting:
o Conduct a talent review meeting with functional leaders to discuss key open Explicitly determine the level
positions and select the right successors. Ascertain successor interest prior to the
meeting, if not obtained already.
of preference for internal
o If multiple successors are ready now, use both role and talent profiles to successors versus external
arrive at a final decision. hires to your TA team to
o If only one successor is ready now, outline steps for their promotion process. ensure alignment. This will
Which leaders should be involved for final approval? What is TA’s role?
create an environment where
• Talent acquisition (TA) process:
promotion from within is
o Align with TA to implement a formal recruitment process to select the right
successor (open application and interview process to talent pool). customary.
o Decide if a talent review meeting is required afterwards to agree on the final
successor or if the interview panel will make the final decision.

Info-Tech Research Group | 52

Phase 3 This phase will show you to:
• Identify critical knowledge
Knowledge Transfer risks.
• Select appropriate transfer
methods.
• Document knowledge transfer
initiatives for key role transition
plans.

Tools and resources used:

Phase 1 Phase 2 Phase 3
1.1 Identify Critical Roles 2.1 Identify Successors 3.1 Identify Critical • Role Transition Plan Template
1.2 Assess Talent 2.2 Develop Successors Knowledge
2.3 Select Successors 3.2 Select Transfer Methods This phase involves the following
3.3 Document Role participants:
Transition Plans
• IT leadership/management team

• HR

• Incumbent & successor

managers

Build an IT Succession Plan

Info-Tech Research Group | 53

Mitigate risk – formalize
knowledge transfer
Use Info-Tech’s Mitigate Key IT Employee Knowledge Loss
blueprint to build and implement your knowledge transfer plan.
Effective knowledge transfer allows
organizations to:
• Maintain or improve speed and productivity
by ensuring the right people have the right skills
to do their jobs well.
• Increase agility because knowledge is more
evenly distributed amongst employees. Multiple
people can perform a given task and no one
person becomes a bottleneck.
• Capture and sustain knowledge; creating a
knowledge database provides all employees
access to the information, now and in the future.
Knowledge transfer between those in key
roles and potential successors yields the
highest dividends for:
• Senior level successions.
• External hires.
• Senior expatriate transfers.
• Developmental stretch assignments.
• Internal cross-divisional transfers and
promotions.
• High organizational dependency on unique
expert knowledge.
• Critical function/project/team transitions.
• Large scale reorganizations and mergers &
acquisitions. Mitigate Key IT Employee K
(Source: Piktialis and Greenes, 2008) nowledge Loss
Info-Tech Research Group | 54
Knowledge transfer is complex and must be both multi-
faceted and well supported
Knowledge transfer is the capture, organization, and distribution of knowledge held by individuals to ensure that it is accessible and usable by others.

Knowledge transfer is not stopping, learning, Knowledge transfer is a wide range of methods that must be carefully selected and integrated into daily
and returning to work. Nor is it simply work in order to meet the needs of the knowledge to be transferred and the people involved.
implementing a document management system.

Knowledge transfer works best when the following techniques are applied:
• Use multiple methods and media to transfer the knowledge.
Personalization is the key.
• Ensure a two-way interaction between the knowledge source and recipient.
Dwyer & Dwyer say that providing “insights to a
• Support knowledge transfer with active mentoring. particular person (or people) needing knowledge at
• Transfer knowledge at the point of need; that is, when it’s immediately useful. the time of the requirement” is the difference between
knowledge transfer that sticks and knowledge that is
• Offer experience-oriented training to reinforce knowledge absorption.
forgotten.
• Use a knowledge management system to permanently capture knowledge shared.

“Designing a system in which the employee must interrupt his or her work to learn or obtain new knowledge is not
productive. Focus on ‘teachable moments.”
– Karl Kapp, “Tools and Techniques for Transferring Know-How from Boomers to Gamers”

Info-Tech Research Group | 55

Step 3.1 The goal of this step is to understand
what knowledge and skills much be
transferred, keeping in mind the various
Identify Critical Knowledge to types of knowledge.
Transfer

Outcomes of this step

Knowledge Transfer Critical knowledge and skills for key
roles documented in the Key Role
Transition plans.

Step 3.1 Step 3.2 Step 3.3

Info-Tech Research Group | 56

Understand what knowledge and skills
must be transferred
1. Identify key knowledge areas. These include:
There are two basic types of knowledge: • Specialized technical knowledge and research and development
process.
• Unique design capabilities/methods/models.
• Special formulas/algorithms/techniques.
Explicit Tacit knowledge:
Accumulates over • Proprietary production processes.
knowledge: Easily
explained and years of experience • Decision-making criteria.
codified, e.g. facts and is hard to • Innovative sales methods.
and procedures. verbalize. • Knowledge about key customers.
• Relationships with key stakeholders.
• Company history and values.
2. Ask questions of both sources and receivers of knowledge to
• You should already have a good idea of what knowledge and skills are valued help determine the best knowledge transfer methods to use.
from the worksheets completed earlier. • What is the nature of the knowledge? Explicit or tacit?
• Focus on identifying the knowledge, skills, and relationships essential to the • Why is it important to transfer?
specific incumbent in a key role and what it is he or she does to perform that • How will the knowledge be used?
key role well. • What knowledge is critical for success?
• How will the users find and access it?
• How will it be maintained and remain relevant and usable?
• What are the existing knowledge pathways or networks
Document critical knowledge and skills for key roles in connecting sources to recipients?
the:
Role Transition Plan Template
Info-Tech Research Group | 57
Step 3.2 This step helps you identify the
knowledge transfer methods that will be
the most effective, considering the
Select Knowledge Transfer Methods knowledge or skill that needs to be
transferred and the individuals involved.

Activities

3.2.1 Select Knowledge Transfer Methods

Outcomes of this step

Knowledge Transfer Knowledge transfer methods chosen
documented in the Key Role Transition
Plans.

Step 3.1 Step 3.2 Step 3.3

Info-Tech Research Group | 58

Knowledge transfer
methods available
Be prepared to use various methods to transfer knowledge and use them
all liberally.
A basic willingness for a role
The most common knowledge transfer method is simply to have a collaborative culture
incumbent to share with a
53% successor is the most powerful
A collaboration culture item in your tacit knowledge
Mentoring 45% transfer toolkit.

Multi-generational work teams 40%

Formal documentation is critical
Formal documentation of processes and best practices 40% for explicit knowledge sharing,
yet only 40% of organizations use
Job rotation or job shadowing 27% it.
Self-published knowledge bases 22%
Rewarding and recognizing
Formal training sessions led by Baby Boomer experts 17%
employees for doing knowledge
Professional social network or practice-based communities 17% transfer well is underutilized yet
has emerged as an important
Knowledge capture through formal interviews 8% reinforcing component of any
effective knowledge transfer
Rewards and recognition for effective knowledge transferSeries1 7% program.
Don’t forget it!
0% 10% 20% 30% 40% 50% 60%
Percent of organizations with knowledge
transfer processes in place Info-Tech Research Group | 59
Source: McLean & Company, 2013; N=121
 Input Output

3.2.1 Select Knowledge • Role profiles • Methods for integrating

Transfer Methods • Talent profiles

knowledge transfer into day-
to-day practice
Utilize methods that make it easy to apply the knowledge in day-to-day
practice.
Select your method according to the following criteria:
1. The type of knowledge. A soft skill, like professionalism, is best taught via mentoring, while a
technical process is best documented and applied on-the-job.
2. What the knowledge recipient is comfortable with. The recipient may get bored during formal
training sessions and retain more during job shadowing. Materials Participants
3. What the knowledge source is comfortable with. The source may be uncomfortable with blogs and
wikis, but comfortable with SharePoint.
4. The cost. Some methods require an investment in time (e.g. mentoring), while others require an • Role Transition Plan • IT leadership/management
investment in technology (e.g. knowledge bases). Template team
o The good news is that many supporting technologies may already exist in your organization or • HR
can be acquired for free.
• Knowledge source
o Methods that cost time may be difficult to get underway since employees may feel they don’t
have the time or must change the way they work. • Knowledge recipient

The more integrated knowledge transfer is in day-to-day activities, the more likely it is to be successful
and the lower the time cost. This is because real learning is happening at the same time real work is being
accomplished.
Document the knowledge transfer methods in the Role Transition Plan Template.

Role Transition Plan Template

Info-Tech Research Group | 60
Explore alternative work
arrangements
Ensure sufficient time to prepare
successors Flexible work options are the most used form of
alternative work arrangement

If a key role incumbent isn’t around to complete knowledge transfer, it’s Flexible work options 54%
all for naught.
Contract-based work 50%
Alternative work arrangements are critical tools that employers can use to
achieve a mutually beneficial solution that mitigates the risk of loss associated Part-time roles 43%
with key roles.
Graduated retirement programs 38%
Alternative work arrangements not only support employees who want to keep
working, but they allow the business to retain employees that are needed in Part-year jobs or job sharing 26%
key roles. Increased paid time off for
In a survey from The Conference Board, one out of four older workers Series1
employees over a certain age 21%
indicated that they continue to work because their company provided them
0% 10% 20% 30% 40% 50% 60%
with needed flexibility.
Percent of organizations who have implemented
And, nearly half said that more flexibility would make them less likely to
Source: McLean & Company, N=44
retire.
(Source: Ivey Business Journal)

Info-Tech Research Group | 61

Choose the alternative work arrangement that works
best for you and the employee
Alternative Work
Description
Arrangement
Flexible work options Employees work the same
number of hours, but have
flexibility in when and where
they work (e.g. from home,
evenings).
Contract-based work Working for a defined period of
time on a specific project on a
non-salaried or non-wage basis.
Part-time roles Half-days or a certain number of
days per week; indefinite with
no end date in mind.
Graduated retirement Retiring employee has a set
retirement date, gradually
reducing hours worked per week
over time.
Ideal Use
Employees who work fairly
independently, with no or few
direct reports.
Project-oriented work that
requires specialized knowledge
or skills.
Employees whose roles can be
readily narrowed and upon
whom people and critical
processes are not dependent.
Roles where a successor has
been identified and is available
to work alongside the incumbent
in an overlapping capacity while
he or she learns.
Caveats
Employee may become isolated or
disconnected, impeding knowledge
transfer methods that require
interaction or one-on-one time.
Available work may be sporadic or
specific projects more intensive than
the employee wants. Knowledge
transfer must be built into the
contractual arrangement.
It may be difficult to break a
traditionally full-time job down into
a part-time role given the size and
nature of associated tasks.
The role may only require a single
FTE, and the organization may not
be able to afford the amount of
redundancy inherent in this
arrangement.
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The arrangement chosen may be a combination of
multiple options
Alternative Work
Description
Arrangement
Part-year jobs or job Working part of the year and
sharing having the rest of the year off,
unpaid.
Increased paid time off Additional vacation days upon
reaching a certain age.
Altered roles Concentration of a job
description on fewer tasks that
allows the employee to focus on
his or her specific expertise.
Ideal Use
Project-oriented work where
ongoing external relationships
do not need to be maintained.
Best used as recognition or
reward for long-term service.
This may be a particularly useful
retention incentive in
organizations that do not offer
pension plans.
Roles where a successor has
been identified and is available
to work alongside the
incumbent, with the incumbent’s
new role highly focused on
mentoring.
Caveats
The employee is unavailable for
knowledge transfer activities for a
large portion of the year. Another
risk is that the employee may opt not
to return at the end of the extended
time off, with little notice.
The company may not be able to
financially afford to pay for such
extensive time off. If the role
incumbent is the only one in the role,
this may mean crucial work is not
being done.
The role may only require a single
FTE, and the organization may not
be able to afford the amount of
redundancy inherent in this
arrangement.
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Alternative work arrangements require senior
management support
Senior management and other employees must see the value of retaining older workers, or
they will not be supportive of these solutions.
Any changes made to an employee’s work arrangement
has an impact on people, processes, and policies.
If the knowledge and skills of older employees aren’t
valued, then:
• Alternative arrangements will be seen as wasteful
accommodation of a low-value employee.
• Time won’t be allowed to manage the transition
properly and make appropriate changes.
• Other employees may resent any workload spillover.
Alternate work arrangements can’t be implemented on a whim.
Make sure alternative work arrangements can be done right and are supported – they’re often solutions
that come with additional work. Determine the effects and make appropriate adjustments.
• Review processes, particularly hand-off and approval points, to ensure tasks will still be handled
seamlessly.
• Assess organizational policies to ensure no violations are occurring or to rework policies (where
possible) to accommodate alternative work arrangements.
• Speak to affected employees to answer questions, identify obstacles, gain support, redefine their
job descriptions if required, and make appropriate compensation adjustments. Always provide
appropriate training when skills requirements are expanded.
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Step 3.3 The primary goal of this step is to build
clear checklist-based plans for each key
role to help ensure a smooth transition as
Document Role Transition Plans for all Key Roles a successor takes over.

Activities

3.3.1 Document Role Transition Plans

Knowledge Transfer

Outcomes of this step

Step 3.1 Step 3.2 Step 3.3 Completed key role transition plans

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 Input Output

3.3.1 Document Role • Role profiles • A clear checklist-based plan

Transition Plans • Talent profiles

to help ensure a smooth
transition.
Define a transition plan for all employees in at-risk key roles, and their • Talent assessments
successors. • Workforce plans
You should already have a good idea of what knowledge and skills are valued from the worksheets
completed earlier. Focus on identifying the knowledge, skills, and relationships essential to the specific
incumbent in a key role and what it is they do to perform that key role well.

Using the Role Transition Plan Template develop a plan to transfer what needs to be transferred from the
incumbent to the successor. Materials Participants
1. Record the incumbent and successor information in the template.

2. Summarize the key accountabilities and expectations of the incumbent’s role. This summary should • Role Transition Plan • IT leadership/management
highlight specific tasks and initiatives that the successor must take on, including success enablers. Template team
Attach the job description for a full description of accountabilities and expectations.
• Incumbent
3. Document the knowledge and skills requirements for the key role, as well as any additional
knowledge and skills possessed by the key role incumbent that will aid the successor. • Successor(s)
• HR
4. Document any alternative work arrangements to the incumbent’s roles.

5. Populate the Role Transition Checklist for key transition activities that must be completed by
certain dates. A list of sample checklist items has been provided. Add, delete, or modify list items to
suit your needs.

Role Transition Plan Template

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DairyNZ leverages alternative work
arrangements
Ensures successful knowledge transfer
Challenge
• DairyNZ employs many people in
specialized science research roles.
Some very senior employees are
international experts in their field.
• Several experts have reached or are
nearing retirement age. These
pending retirements have come as no
surprise.
• However, due to the industry’s lack of
development investment in the past,
there is a 20-30 year experience gap
in the organization for some key
roles.
INDUSTRY
Agricultural research
SOURCE
Rose Macfarlane, General Manager
Human Resources, DairyNZ
Solution Results
• One principal scientist gave over two • The result was ideal in that the
years’ notice. His replacement – an advance notice allowed full
external candidate – had been knowledge transfer to take place.
identified in advance and was hired
once retirement notice was given.
• The incumbent’s role was amended.
He worked alongside his successor
for 18 months in a controlled hand-
over process.
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Research Contributors and Experts
Anne Roberts
Principal, Leadership Within Inc. al, Leadership Within Inc.
• Anne T. Roberts is an experienced organization
development professional and executive business coach
who works with leaders and their organizations to help
them create, articulate and implement their change
agenda. Her extensive experience in change management,
organizational design, meeting design and facilitation,
communication and leadership alignment has helped
leaders tap into their creativity, drive and energy. Her
ability to work with and coach people at the leadership
level on a wide range of topics has them face their own
organizational stories.
Amanda Mathieson
Senior Manager, Talent Management, Tangerine
• Amanda is responsible for researching people- and
leadership-focused trends, developing thought models,
and providing resources, tools, and processes to build and
drive the success of leaders in a disruptive world.
• Her expertise in leadership development, organizational
change management, and performance and talent
management comes from her experience in various
industries spanning pharmaceutical, retail insurance, and
financial services. She takes a practical, experiential
approach to people and leadership development that is
grounded in adult learning methodologies and leadership
theory. She is passionate about identifying and
developing potential talent, as well as ensuring the
success of leaders as they transition into more senior
roles.
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Related Mitigate Key IT Employee
Knowledge Loss

Info-Tech
• Transfer IT knowledge before it’s gone.

• Effective knowledge transfer mitigates risks from employees leaving the organization

Research
and is a key asset driving innovation and customer service.

Implement an IT Employee
Development Plan
• There is a growing gap between the competencies organizations have been focused
on developing, and what is needed in the future.

• Employees have been left to drive their own development, with little direction or
support and without the alignment of development to organizational needs.

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