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SUCCESSION PLANNING:

EXPLORING IMPACTS OF ORGANIZATIONAL CULTURE, POWER

STRUCTURES, AND WORKPLACE LEARNING ON ONGOING LEADERSHIP

DEVELOPMENT AND RENEWAL

By

LAURIE RANCOURT

Integrated Studies Project

submitted to Ursule Critoph

in partial fulfillment of the requirements for the degree of

Master of Arts � Integrated Studies

Athabasca, Alberta

FEBRUARY 2008

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TABLE OF CONTENTS CHAPTER ONE � PROJECT BACKGROUD 3

Introduction 3 Significance of the topic 4 Research Methodology 5

Methods 5 Limitations 8

Providing the context 12 CHAPTER TWO � SUCCESSION PLANNING 14

Definition and Practice 14 Impact of Organizational Culture 15 Impact of Power Structures 17 Role of Workplace Learning 20

CHAPTER THREE � ESSENTIAL ELEMENTS OF SYSTEMATIC SUCCESSION PLANNING 25 Inclusion 25 Retention 34 Action versus Talking 48

CHAPTER FOUR � COLLÈGE BORÉAL: FRAMEWORK FOR SUCCESS 54 Conclusions 54 Planning Framework for Collège Boréal 57

REFERENCES 65 APPENDICES 69

Appendix A � Letter of Consent Collège Boréal 69 Appendix B � Letter of Consent OCASA 71 Appendix C � Update on OCASA permission 73 Appendix D � Introductory script for online surveys 74 Appendix E � Online Survey Questionnaire � Boréal Administrative Staff 76 Appendix F � Online Survey Questionnaire � Boréal Support Staff 83 Appendix G � Online Survey Questionnaire � Boréal Faculty 89 Appendix H � Online Survey Questionnaire � OCASA College Representative 95 Appendix I � Introductory Script for Face to Face Interviews � Collège Boréal 101 Appendix J � Collège Boréal Senior Administrative Staff Interview Questions 103 Appendix K � OPSEU Executive Member Interview Questions 105 Appendix L � Introductory Script for Telephone Interview - OCASA 106 Appendix M � OCASA Executive Member Interview Questions 108

List of Tables and Diagrams Table 1.1 � Rate of response to online surveys 9 Table 1.2 � Respondent demographics 10 Table 1.3 � Rate of participation in interview process 11 Table 3.1 � At Collège Boréal is internal advancement encouraged? 31 Table 3.2 � Comfort level in soliciting learning and advancement opportunities 32 Table 3.3 � Pattern of requesting assistance in career planning or advancement 33 Table 3.4 � Pattern of requesting support (monetary or other) for learning 33 Table 3.5 � Number of years in current position 40 Table 3.6 � Number of years in college system VS number of years at Collège Boréal 40 Table 3.7 � Administrative staff � number of years at Collège Boréal 41 Table 3.8 � Level of interest in internal career mobility 44 Table 3.9 � Most important motivator for movement along a career path 45 Table 3.10 � Second most important motivator for movement along a career path 45 Table 3.11 � Most common potential barriers to participation in learning activities 46 Table 3.12 � Most important supports required to promote career development 47 Table 3.13 � Types of training and learning activities preferred by respondents 47 Table 3.14 (a) and (b) � Prior experience with systematic succession planning strategies 48 Diagram 4.1 � Systematic Succession Planning Framework 57

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CHAPTER ONE � PROJECT BACKGROUND

Introduction �Organizations, like all human groups, operate through conversation. The ideas in this [paper] gain most of their value not as �answers� to take in by yourself, but as starting points for conversation with others. Through talking, testing, and choosing your next actions together, you can create your own answers.�1

Focusing specifically on the reality of Collège Boréal, a francophone College of Applied

Arts and Technology in the province of Ontario Canada, this research project explores

the aspects of workplace learning, organizational culture and union involvement that

lead to effective and equitable succession planning.

The outcome of this project is a potential framework for succession planning that aims to

meet the specific needs of Collège Boréal. One of the main objectives identified in

Collège Boréal�s 2007-2008 strategic plan, is that of the elaboration and implementation

of a systematic succession planning strategy.2 This project represents one of many

initiatives that form an overall strategy for the ongoing success of Collège Boréal. Other

strategic initiatives include a research project that is currently being undertaken by the

college�s Vice-President � Corporate Services and is geared toward the development of

a stronger performance management system for Collège Boréal; as well as a project

involving the implementation of a systematic succession plan which will be undertaken

by the colleges Executive Director of Organizational Development.

The purpose of this project is therefore to provide the preliminary insights that will serve

to kick-start internal workplace discussions; as well as to provide a framework that will

help to guide and inform the college�s overall strategic initiatives. As such, it combines

the presentation of relevant information with the asking of critical questions designed to

challenge the status quo and provoke dialogue.

1 Senge (1990), p. 35. 2 Collège Boréal (2007), p. 10.

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In developing this systematic succession planning framework the following issues, all of

which play a defining role in what constitutes an effective succession plan, have been

addressed:

• The impact of power as conceptualised by Foucault (1972);

• The role of workplace learning as discussed by Garrick (1998, 1999) and others;

• The role of organizational culture as defined by Morgan (1997) and Jarvis (2003);

and

• The implications of union involvement in the development, and implementation,

of succession plans.

Significance of the topic

According to a study completed by Human Resources and Social Development Canada

(HRSDC) in December of 2005, �the share of job openings due to replacement demand

is expected to rise substantially in the future given the ageing of the Canadian population

and the resulting increase in retirements.�3 Of significant importance is the fact that

although replacement demand is due in large part to retirement exits from the workplace

it is also affected by other types of voluntary exits such as employee relocation to other

positions or other companies. According to author David DeLong, �there is little question

that many experienced workers will be leaving their jobs in the next decade. And that

giant sucking sound you will hear is all the knowledge being drained out of organizations

by retirements and other forms of turnover.�4

At Collège Boréal, as is the case within similar organizations across the province of

Ontario, the average age of the workforce is on the rise. A large number of the

employees within the college system in Ontario are expected to retire over the next 5 to

10 years creating vacancies that will require competent, specialised and experienced

people to fill them. For Collège Boréal, the challenges that result from this fact are

compounded by two factors. First of all, the college has recently undergone a significant

internal reorganization, and is currently faced with important changes in its internal and

external environments. Secondly, as one of two Francophone community colleges, in a

3 Dunn (2005). 4 DeLong (2004), p. 13.

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province that boasts twenty-two Anglophone community colleges, it faces unique

challenges with respect to the recruitment of qualified French speaking individuals to fill

vacancies that become available. Since the majority of Collège Boréal employees are

fluently bilingual (and therefore able to work in English as well as in French), there is a

risk that as the replacement demand in other colleges and organizations increases,

Collège Boréal employees may be attracted to vacancies that are created elsewhere,

even if they are nowhere near retirement age themselves.

In order to ensure the continued success of our organization, it is therefore imperative

that we recognise the importance of the individuals within; and that we develop and

implement the best possible succession planning framework. We must develop an

understanding of the concepts of workplace learning and organizational culture. We

must recognise the fact that we cannot effectively address issues of succession without

simultaneously addressing issues of retention. And finally we must remain aware of the

ways in which �the milieu of asymmetrical power relationships which exists in the

workplace, and the social structures in which people are embedded,�5 tend to reinforce

and reproduce the status quo, and develop a succession planning framework that is

aimed at overcoming this tendency. The information provided in this project is intended

to offer the insight required for us to do just that.

Research Methodology Methods The following research methods were used for this project. First, an extensive literature

review was undertaken. Then, based on the results of the literature review, four online

surveys and a series of interview questionnaires were developed and administered.

Literature review

An extensive search of current relevant literature was completed using the key search

words: succession planning, succession management, leadership development,

organizational culture, organizational development, organizational change, capital wage

labour relationship, power, workplace learning, learning organization, adult education,

labour relations, labour education, human capital theory, competence-based learning,

5 Bratton, Helms Mills, Pyrch and Sawchuk (2004), p. 2.

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informal learning and modern organization. Sources searched included the Athabasca

University Library data base (including the �Ebrary� site) and the Internet. The detailed

literature review results are found in Chapter Two and are interspersed throughout this

document.

Surveys and interviews

According to Sobol, Harkens and Conley, �The key to succession, which too many overlook, is the concept of sustainability. The successful strategy must not only allow for assessment and recruitment, but also development, progression, discussion, evaluation, and often-times the adoption of an entirely new corporate culture (emphasis added).�

Successful succession planning occurs in organizations that ensure continued dialogue

sessions with their members in order to determine what these individuals need and

want, as well as what the organization needs from them. There is no single systematic

succession planning process that is right for all organizations. It is important for

organizations to study their culture, to look at how succession is currently being done,

and then to realistically adapt initiatives to the current organizational climate.6

In order to propose an effective succession planning framework for Collège Boréal, it

was necessary to first gather information related to the views and expectations of the

current members of the organization with respect to succession planning. The

development and administration of four online surveys, as well as interviews involving

members of three key groups, was therefore undertaken.

For the online surveys an e-mail request was sent out to all members of four distinct

groups requesting participation. The targeted participants for the online surveys were: Collège Boréal administrative staff employees: (potential of 58)

Collège Boréal support staff employees: (potential of 170)

Collège Boréal faculty: (potential of 114)

OCASA (Ontario College Administrative Staff Association) college representatives:

(potential of 23).

6 Sobol, Harkens and Conley, 2007.

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The goals of the online surveys were to:

• gather information related to the views of Collège Boréal employees, and of OCASA

college representatives, with respect to workplace learning and succession planning;

• determine Collège Boréal�s profile with respect to employee demographics and

retirement potential over the next five to ten years;

• determine the level of interest of Collège Boréal employees in participating in succession

planning initiatives and of advancement into different levels of management, technical or

professional positions within the organization;

• determine the level of preparedness of Ontario Colleges with respect to the succession

requirements that are foreseen over the next 5 to 10 years; and

• kick-start dialogue aimed at informing Collège Boréal�s workplace learning and

succession planning processes.

As well as receiving the invitation to participate in the online survey, members of Collège

Boréal�s senior administrative team, members of Collège Boréal�s support staff and

faculty union executives, and members of OCASA�s executive committee were each

invited to participate in an interview process. The goal of the interview process was to:

• determine Collège Boréal�s level of preparedness with respect to systematic succession

planning;

• gather information related to the views that members of these three key groups hold with

respect to workplace learning and succession planning;

• gather information related to the role that unions can or should play in succession

planning processes;

• gather information related to the role that OCASA can or should play in succession

planning processes across the Ontario College system; and

• kick-start dialogue aimed at informing Collège Boréal�s workplace learning and

succession planning processes.

For the interviews, the targeted participants were members of three key groups: Collège Boréal senior administrative team: face to face interviews - potential of 5 individuals.

Collège Boréal Ontario Public Service Employees Union (OPSEU) executive committees, (support staff and faculty): face to face interviews - potential of 10 individuals.

OCASA executive: telephone interviews - potential of 6 individuals.

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Limitations As is sometimes the case with inquiry-based research, the research methods used in

this research project were subject to certain limitations. While steps were undertaken to

overcome these limitations to the greatest extent possible, their potential impact on what

can be said from the data collected must be kept in mind by the reader throughout.

Ethical considerations

As I am currently employed as Vice-President Academic at Collège Boréal, I am

personally involved in high level management decisions within our organization. The

results of this research project will serve to directly influence my work as a senior

manager within the organization.

Despite this fact, and in order to ensure the practical application of the results, I chose to

undertake inquiry-based research that involved individuals with whom I have an

employer-employee relationship. As previously stated, successful succession planning

occurs in organizations that enter into dialogue with their members in order to be sure

they know what these individuals need and what they want, as well as what the

organization needs from them. In order to propose an effective succession planning

framework for Collège Boréal, it was important to gather information related to the

organizational culture and the views and expectations of members of Collège Boréal

with respect to succession planning.

Because of my personal involvement with the organization, there was a danger of

developing personal bias towards the subject, thus potentially affecting the objectivity of

the process and the results. Given the inherent power relationship that I have with a

number of the participants, it was also possible that these individuals would feel

uncomfortable with the process. This could have prevented them from participating, or

impacted on the nature of their participation. As ethical considerations are of paramount

importance for inquiry-based research, the following steps were taken to minimize the

potential risks involved.

• An online survey was used as the main inquiry tool in order to ensure anonymity of

participants.

• Participants were advised that I would not be directly involved in the development of the

systematic succession planning program for the college.

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• The project description and objectives were shared with the college�s union/management

relations committees. The Executive Director of Organizational Development, who will be

responsible for the development and implementation of the eventual succession planning

program, spearheaded this process.

• Face to face and telephone interviews were limited to a small number of key individuals

and conducted by an independent research assistant. It was this research assistant who

obtained consent and adopted the role of interviewer. Potential participants were advised

that interview data would be provided to me in a coded, anonymous, format.

The senior administrative team at Collège Boréal was informed of my research plans,

aims, methods of data collection and objectives prior to the beginning of the process.

They were also ensured that all research interventions would be designed in such a way

as to respect people�s dignity; ensure integrity; and guarantee anonymity, privacy, and

the right to withdraw from the process at any time during the data collection process.

Participants� values and opinions were respected at all times throughout the process.

Response rate and participation

For each of the tables provided, the following legend has been used: AS = Administrative Staff SS = Support Staff F = Faculty

Table 1.1 � Rate of response to online surveys

Employee group Potential pool of participants # of responses Response rate

Administrative staff 58 23 40%

Support staff 170 36 21%

Faculty 114 18 16%

TOTAL RESPONSE � COLLÈGE BORÉAL

342 77 23%

OCASA college representatives 23 5 22%

The overall response rate for the online surveys was 23% for the Collège Boréal

employee groups, with the greatest rate of response occurring within the administrative

and support staff groups. The rate of response for the faculty group was the lowest at

16%. As for the OCASA college representative online survey, only five responses were

received, providing a response rate of 22%.

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A number of efforts were made to increase participant response to the online surveys.

E-mail reminders were sent out at two intervals prior to the original deadline for

response. A final appeal was made the day before the original response deadline, and a

deadline extension of one week was provided. An appeal was also made to members of

Collège Boréal�s support staff and faculty union executive committees, asking them to

encourage participation on the part of their members in the online survey process.

Despite the relatively low response rate, it should be noted that a good cross-section of

Collège Boréal employee groups are represented with respect to job classification.

Administrative staff from all levels of management (junior, middle and senior); support

staff from 8 different job classifications ranging from receptionist to specialised support

technologist; and faculty from both specialised program areas, as well as from a

counselling, research of other non-teaching faculty position responded to the survey.

Table 1.2 below demonstrates that the predominant age group of respondents overall

was in the �29 to 39 yrs old� range. Specific results from the faculty and support staff

groups were in line with this trend, while for the administrative staff group the

predominant age of respondents was in the �40 to 49 yrs old� range. The predominant

gender of respondents overall was female. Specific results from the support staff and

administrative staff groups were in line with this trend, while faculty respondents were

predominantly of the male gender.

Table 1.2 � Respondent demographics

Age range AS AS SS SS F F Total Total

# % # % # % # %

20 to 39 yrs old 8 35% 18 50% 10 56% 36 47%

40 to 49 yrs old 10 43% 12 33% 4 22% 26 34%

50 to 54 yrs old 4 17% 5 14% 3 17% 12 15%

55 to yrs old 1 5% 1 3% 1 5% 3 4%

TOTAL RESPONDENTS 23 100% 36 100% 18 100% 77 100%

Male 8 35% 10 28% 11 61% 29 38%

Female 15 65% 26 72% 7 39% 48 62%TOTAL RESPONDENTS 23 100% 36 100% 18 100% 77 100%

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Analysis of the total full-time workforce at Collège Boréal demonstrates that the

organization is composed primarily of women (68%) averaging 45 yrs of age. There are

currently 342 full-time employees at Collège Boréal, 234 of whom are women, and 108

of whom are men.7 Although slightly younger than the average of the total workforce,

the survey sample is reasonably representative of most groups on the basis of gender.

The slight difference in age between survey respondents and the college�s full-time

workforce will need to be kept in mind by the reader. Due to this age difference the

views of survey respondents, particularly with respect to retirement issues, may be

slightly different than those of the older workforce. It is also important to note that the

faculty survey sample is not representative of the faculty employee group as it is

primarily composed of male respondents.

Table 1.3 � Rate of participation in interview process

Employee group Potential pool of participants

# of responses Response rate

Collège Boréal senior administrative team 5 4 80%

OPSEU executive committee members 10 6 60%

OCASA executive members 6 6 100%

TOTAL RESPONSE � COLLÈGE BORÉAL 21 16 76%

The rate of participation in the interview process was very good. This suggests that the

responses provided by way of this process are fairly representative of each of the groups

involved. However, it must be noted that the pool of potential applicants for each group

is relatively small. Although we are dealing with groups of individuals who possess a

good understanding of the college system because of the leadership positions that they

hold, they also represent only a small portion of the total individuals within Collège

Boréal, and within the college system in general. The data provided by the interview

process must be considered within this context.

Although every effort possible was made to ensure the validity of the findings of this

research project, its inherent limitations must be kept in mind. The information gathered

and presented should be considered valuable as a general indication of the current lived

organizational culture at Collège Boréal, as well as the level of preparedness of that

7 Statistics provided by the Collège Boréal Human Resources department.

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organization to undertake systematic succession planning initiatives. However, due to

the overall low response rate it does not provide conclusive evidence with respect to

these points.

As for the level of preparedness of Ontario Colleges with respect to the succession

requirements over the next 5 to 10 years, or the role that OCASA can or should play in

system-wide succession planning initiatives, the information gathered provides some

insight. However once again, due to the low response rate of OCASA College

Representatives to the online survey, and due to the small number of individuals

involved in the interview process, more in depth research would be required to provide

concrete evidence in this regard. This research project should therefore be considered

as a pilot initiative with a more sustained effort to follow. The information and insights

that it brings to light should serve as a starting point that will guide and inform Collège

Boréal�s ongoing strategic initiatives.

Providing the context

In order to provide the context required for kick-starting workplace discussion with

respect to succession planning at Collège Boréal, we must first analyse the research

findings as they relate to the concepts of organizational culture, power structures, and

workplace learning, as well as the current trends and theories that define succession

planning within organizations. The following are a number of questions that must be

answered before a framework for effective succession planning at Collège Boréal can be

proposed:

• What is succession planning and what are the current trends and theories

informing its practice?

• What role does organizational culture play in succession planning initiatives?

• What role do power dynamics in the workplace play in determining the approach

to succession planning? How might the impact of these power dynamics be

mediated?

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• What is the relationship between workplace learning and effective succession

planning processes?

• What are the essential elements of an effective systematic succession plan?

• What does an effective succession planning framework for Collège Boréal look

like? How do the concepts explored in this research project inform our

succession planning framework?

These are the questions that are addressed in the following pages.

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CHAPTER TWO � SUCCESSION PLANNING

Definition and Practice �As employee empowerment has broadened the ranks of decision-makers, leadership influence can be exerted at all levels rather than limited to those few granted authority by virtue of their lofty titles and management positions. For these reasons, organizations must take proactive steps to plan for future talent needs at all levels and implement programs designed to ensure that the right people are available for the right jobs in the right places and at the right times to meet organizational requirements.�8

What is succession planning and what are the current trends and theories informing its practice?

Succession planning is an organizational concept that has been around for a number of

decades. Traditionally, the focus has been on the need to replace specific individuals in

specific senior management positions when the incumbents of those positions eventually

left the organization. This exercise was essentially limited to an �identification� process

that did not involve any consideration of the need for the �development� of replacement

talent. There was no sense of urgency associated with this process, nor did it consider

the need to focus on retention strategies for existing employees within the organization.

�The assumption was that top managers were in place for the duration, until some

accident or health problem might remove them�9 and that, when the time did come to

replace them, individuals on the �list� would be ready, willing and able to step in. Secure

in the belief that those identified as successors would be grateful for any advancement

opportunity made available to them, organizations focused little attention, if any, on

systematic planning processes. As such, a defining characteristic of traditional

succession planning was its element of secrecy. Generally, the �list� of potential

replacement workers was developed and controlled by senior managers; and knowledge

about whom, when and how career moves would occur was limited to a select few high

level executives.

Over the last few decades, both the external and internal environments of most

organizations have undergone major changes. Business, non-profit and public sector

leaders are facing new and daunting challenges � rapid-paced developments in

8 Rothwell (2005), p. xxii. 9 Fulmer (2004), p. 4.

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technology, sudden shifts in the marketplace, and crisis and contention in the public

arena are but some of the changes that have come about in the last decades.10 In order

to keep up with these changes and ensure their continued success, organizations have

had to change their view and practice of succession planning. Contemporary

succession planning initiatives no longer focus narrowly on issues of replacement.

Instead, they take a much broader view and are more focused on the need for

leadership talent development. Modern day succession planning thus involves a

proactive and comprehensive process.

In his book Effective Succession Planning: Ensuring Leadership Continuity and Building

Talent from Within, William J. Rothwell defines succession planning as �any effort

designed to ensure the continued effective performance of an organization, division,

department, or work group by making provision for the development, replacement, and

strategic application of key people over time�11 Rothwell describes effective succession

planning as a process that is transparent, simple to use, and broad based. According to

Rothwell (2005) and other authors, such as Fulmer (2004) and Field (2001), the relative

success of succession planning initiatives is largely dependent on an organization�s

culture, on the power structures that exist within organizations, and on workplace

learning processes. These concepts are discussed in the following paragraphs.

Impact of Organizational Culture �Leadership is the activity of influencing people to cooperate towards some goal which they come to find desirable and which motivates them over the long haul. (Orway Tead)�12

What role does organizational culture play in succession planning initiatives or in organizational change?

Before we can develop an understanding of the role that organizational culture plays in

succession planning, we must first consider what culture is.

10 Fullan (2001). 11 Rothwell (2005), p. 10. 12 Lipkin (2003), p. 138.

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From a broad perspective, authors O.P. Dwivedi and James Iain Gow tell us that that the

concept of culture has been included in anthropological study since the 19th century; and

that �the anthropological concept of culture covers all facets of humans in society:

knowledge, behaviour, beliefs, art, morals, law, custom, etc.�13 Quoting a variety of

authors, Dwivedi and Gow specify that

�culture is not a material phenomenon; it does not consist of things, people, behaviour or emotions. It is rather an organization of these things that people have in mind, their models for perceiving, relating and otherwise interpreting them. [�] There is a pattern that contributes to [a culture�s] distinctive nature. This pattern reveals the fundamental values of a society, but also the meanings it attributes to actions, events and things.�14

From the more narrow perspective of culture as it relates to organizations, there is

literature that suggests it is possible for managers to create or to change the culture of

an organization by implementing a variety of top-down initiatives. Dwivedi and Gow

touch on this point when they state that �many view organizational culture as �corporate

culture� that is created and manipulated by management.�15

However, while it is true that managers do play an important role in influencing the

culture of the organization they are a part of, to assume that a handful of individuals

have the ultimate and exclusive power to control the values, beliefs and shared meaning

of an entire organization, is to demonstrate a lack of understanding with respect to the

origin and to the power of culture. As Gareth Morgan tells us,

�culture can no longer be just viewed as a simple variable that societies or organizations possess or something that a leader brings to his or her organization. Rather, it must be understood as an active, living phenomenon through which people jointly create and recreate the worlds in which they live.�16

What this means for organizations is that culture and values are not simply elements of a

strategic plan that can be developed or modified at will. It is not enough for a senior

team to put in place a systematic succession plan and decree that the organization must

13 Dwivedi and Gow (1999), p. 18. 14 Dwivedi and Gow (1999), p. 18-19. 15 Dwivedi and Gow (1999), p. 20. 16 Morgan (1997), p. 141.

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develop a learning culture. In order for organizations to be able to harness the power of

culture with the goal of effecting positive change, they need to develop an understanding

of their current organizational culture as it is lived on a daily basis, and realise that

everyone in the organization has a role to play in bringing about that change.

�After a quarter century of discourse and study, suffice it to say, that changing culture is not as simple as oftentimes suggested. This does not mean that culture change is impossible: To achieve it, however, requires addressing the concept of organizational culture at its roots.�17

If the current lived culture of the organization is not one where learning and career

development are valued goals, or where individuals feel there is a potential for

advancement, any succession planning initiatives that are put in place are very likely to

fail, or at best have limited success.

Impact of Power Structures

What role do power dynamics in the workplace play in determining the approach to

succession planning?

This question is perhaps best answered from a Foucauldian perspective. One of the things

that I find most interesting about the work of Michel Foucault is the fact that his initial studies

were not specifically focused on an analysis of power.

�When I think back now, I ask myself what else it was that I was talking about, in Madness and Civilisation or The Birth of the Clinic, but power? Yet I�m perfectly aware that I scarcely ever used the word and never had such a field of analysis at my disposal.�18

Yet, even though his initial intent was not to consciously study power relationships,

Foucault�s work provides us with an excellent view of how these very relationships come

to exist and how they permeate our everyday lives. By following Foucault�s example and

trying to �locate power at the extreme points of its exercise, where it is always less legal

17 Symons (2002), p. 2. 18 Foucault (1980), p. 116

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in character�19, we can examine the impact of the power relationship that inherently

exists between the employer and his employees.

According to Foucault, we exercise power through our very relationship structures

whether we are aware of it or not. Foucault tells us that �power is not an institution, a

structure or a certain force with which certain people are endowed; it is the name given

to a complex strategic relation in a given society.�20 Power is not simply a commodity

that actors in any relationship can choose to pass back and forth between one another.

Through the study of �genealogies�, which he describes as �a form of history which can

account for the constitution of knowledges, discourses [and] domains of objects�21,

Foucault provides us with an appropriate framework for the analysis of ways in which

power is established within workplace settings, and the degree to which it impacts on

succession planning programs and workplace learning.

Within our North-American capitalist society, the relationship between employer and

employee is ultimately shaped by the capital/wage labour relation on which is based our

economy. Generally speaking, employers have access to money; and employees need

money. Although some may argue that the employer-employee relationship is a win-win

situation that is entered into voluntarily by both the employer and the employee, in my

view this is a very superficial assessment. For those who do not have access to capital

investment or to quality work, �the cost of exit from the capital/wage labour relations is

[�] extremely high; the physical, psychological, and social consequences of extended

unemployment in a capitalist society are immense and pernicious.�22 In such a

relationship, a hierarchy exists at the outset as we are dealing with one relationship

member who controls the purse strings; and another relationship member who needs

access to the purse for long term survival. The power of the employer resides in the

cost of exit for the employee who does not meet expectations.

The balance of power between employer and employee is therefore shaped more by

market forces than by any conscious actions on the part of either one. If jobs are scarce

19 Foucault (1980), p. 97 20 Foucault (1980), p. 236 21 Foucault (1980), p. 117 22 Buchanan (2006), p. 145.

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and the supply of qualified employees is high, the balance of power tips more steeply

toward the employer; if, on the other hand, employers are hard pressed to find

individuals who can help their organization succeed, the balance of power leans slightly

toward the employee. During the 1980s and 1990s many organizations were in the

midst of major downsizing trends. This meant that jobs were scarce and the balance of

power was tipped more steeply toward the employer. The 80s and 90s were to a certain

extent the decades of the �disposable� employee. What we are seeing so far in the 21st

century is the opposite. Talented replacement workers are in ever higher demand and

we have entered the era of the �indispensable� employee.

Despite the fact that the balance of power is shifted slightly toward the employee at this

point in time, the fact remains that the employer is the one who decides which

employees qualify as �talented replacement workers��and which employees qualify as

�indispensable�. Even in the most humanistic organizations, ones with consensus

building and empowerment as a main focus, when disagreement or competing interests

come to bear the employer footing the bill is the one who ultimately has the final say. No

matter how genuine is the intent of the employer to empower his or her employees, the

very nature of their relationship provides for an imbalance of power. Within the context

of succession planning initiatives, organizational leaders must maintain a conscious

awareness of this fact. A failure to do so could result in the unintentional sabotage of

their very efforts to ensure ongoing organizational success.

How might the impact of these power dynamics be mediated?

The most effective ways to mediate against the impacts of inherent power structures in

the workplace is to develop a succession planning process that is both objective and

inclusive. In order to be successful, organizations must therefore develop succession

policies and practices that are as systematic, consistent, and equitable as possible.

Otherwise senior managers, who wield the largest balance of power within

organizations, will tend to identify and groom potential successors who are remarkably

like themselves in appearance, background and values.23 As a general practice,

whether it is done consciously or not, this can lead to the proliferation of racism and

23 Rothwell (2005), p. 19.

20

discrimination within organizations. On a more personal level, there is also a danger of

limiting the field of potential succession candidates to senior managers� circle of direct

contacts, and selecting people based on their personal knowledge of them. This too

can be very detrimental to the continued success of an organization.

�People�s assumptions, preconceptions, prejudgements, and stereotypes influence the impressions they form, the judgements they make, and the behaviour they engage in toward others. When people in power hold stereotypes they can influence organizational and societal structures that in turn shape the lives of many individuals.�24

At a time when organizations are facing potential recruitment and retention problems,

they cannot afford to exclude any pool of candidates, nor can they afford to blindly

reproduce the status quo. In order to ensure an equitable and effective succession

planning process, they need to be systematic in their selection of high potential

employees. By putting in place a uniform and objective set of criteria against which

candidates for accelerated development can be evaluated, organizations can promote

diversity and multiculturalism within the workplace, and at the same time ensure that

they are in fact grooming the best successors for key positions, not just those who are

clones of the present key incumbents.25

By its very nature, the power relationship that exists between employer and employee

can never be eliminated. It is therefore imperative that systematic and objective

processes be put in place to counteract its negative effects and breathe new life into

organizations.

Role of Workplace Learning

�Education, both conceptually and in practice, has to rethink the relationship between learning and organizations; it has to gain a better understanding of the dynamics of institutions and power [interests and actor strategies]; and it has to develop ways and means of overcoming vested interests and power in organizations and institutions by learning.�26

24 Crosby, Williams and Biernat (2004), p. 678. 25 Rothwell (2005), p. 19. 26 Finger and Asun (2001), p. 177.

21

What is the relationship between workplace learning and effective succession planning processes?

Based on Rothwell�s definition of succession planning as any effort that is designed to

ensure the continued effective performance of individuals and work groups by, among

other things, making provision for their ongoing development27, it follows that workplace

learning should play a key role in effective systematic succession planning initiatives.

Workplace learning discourse can take many forms. For this project, we will consider

the discourse of the �Human Capital Theory� and that of the �Learning Organization�.

The human capital theory

One of the most prominent discourses of workplace learning is that of the �human capital

theory�. Essentially, the human capital theory refers to the productive capabilities of

human beings. �Human capabilities are acquired at a cost and, in turn, command a

price in the labour market � depending on how useful they are in producing goods and

services.�28 For individuals, human capital discourse states that investing in your own

education and training will greatly increase your odds of finding and retaining a good job,

and of accessing advancement opportunities over the lifetime of your career. For

employers, human capital discourse tells us that investments in education and training

will result in increased organizational productivity and success. The idea is that a

�company that gets an early start in accumulating knowledge, and then continues to learn faster than its rivals, can build an almost insurmountable lead. [�] Learning is part of a management strategy to achieve sustainable competitive advantage.�29

Within a succession planning framework, the concept of human capital investment

moves beyond the mere accumulation of knowledge, and extends to the retention of

knowledge. As organizations continue to become more and more reliant on their

�intellectual capital�, and more and more aware of the need to retain that capital, they are

becoming more open to the provision of career planning and development opportunities

for their employees. This should be good news for employees, and for the organizations

that they work in. However, where the �human capital theory� runs into difficulties from a 27 Rothwell (2005). 28 Garrick (1999), p. 217. 29 Bratton, Helms Mills, Pyrch and Sawchuk (2004), p. 11.

22

Foucauldian perspective is in its focus on the role of education and training as a benefit

to employers. Within human capital discourse, there is often too little focus placed on

the concepts of equal access and equal voice.

�The idea of investing in human beings as a form of capital [�] involves thinking in terms of human value [and performance] as a return on investment in a cost-benefit ratio. Human capital theory is thus a way of viewing the preparation of workers to meet the labour requirements of a market economy.�30

Taken at face value, the human capital theory falsely assumes that the mere provision of

workplace learning opportunities, whether this provision is based on a systematic

planning process or not, will allow organizations to grow and remain successful. As a

general rule, proponents of the human capital theory accept the fact that employers

should decide what knowledge is valuable and which employees are worth investing in.

As such, professional development plans may remain secret, subjective and haphazard;

and be handed down from employer to employee if and when the employer deems that

learning is required. This is often a reactive process in which professional development

is based on �performance outcomes� and is narrowly used as a tool to address

performance deficiencies.31

The danger here is that valuable employees with potential, who may have been

overlooked by senior management in organizations where no systematic succession

planning process is in place, will fail to be given access to professional development

opportunities and will become stagnant or complacent. Another danger is that

organizations will fail to access the full potential of knowledge and creativity that is at

their disposal, or to retain it. As Rothwell tells us, �a key point about human capital

management is that people are valuable for more than the labour they can produce.

Human beings are enormously creative � a key thing that sets them apart from

machines, gizmos, and gadgets.�32 In order to remain successful, organizations

therefore �need to be invested in the welfare of their employees and need to build career

30 Garrick (1998), p. 217. 31 Garrick (1998), p. 57. 32 Rothwell (2005), p. 17.

23

paths that will benefit not only the future of the organization but also the future of these

individuals.�33

The learning organization

Another dominant discourse of workplace learning is that of the �learning organization�.

Learning organizations are ones in which there is a commitment at all levels of the

organization for the sharing of knowledge among individuals, groups and operating units

in an effort to improve overall performance. They are made up of individuals who

believe strongly in the concepts of lifelong learning and continuous improvement.

Learning organizations promise �empowerment of employees, transformation in the role

of managers from controlling to facilitating, and creation of a broader and more

collaborative vision for the organization.�34 They seek to provide a collaborative

framework for decision making and a flattened organizational structure which provides

increased learning opportunities.

With its focus on collaboration, facilitation and inclusion, the learning organization is a

concept that holds great promise for tapping potential at all levels of an organization.

Unlike the human capital theory, it tends to focus as much on the needs of the

individuals within, as it does on the organization as a whole. Although from the

Foucauldian point of view organizational leaders must remain cognizant of the impact of

inherent power structures within the workplace, when properly nurtured, the culture in a

learning organization can mean the difference between ongoing success and eventual

failure.

�Lifelong learners take risks. Much more than others, these men and women push themselves out of their comfort zones and try new ideas. While most of us become set in our ways, they keep on experimenting. Risk taking inevitably produces both bigger successes and bigger failures. Much more than most of us, lifelong learners humbly and honestly reflect on their experiences to educate themselves. They don�t sweep failure under the rug or examine it from a defensive position that undermines their ability to make rational conclusions. Lifelong learners actively solicit opinions and ideas from others. They don�t make the assumption that they know it all or that most other people have little to contribute. Just the

33 Sobol, Harkins and Conley (2004), p. 24. 34 Alexiou (2005), p. 17.

24

opposite, they believe that with the right approach, they can learn from anyone under almost any circumstance.�35

Learning organizations that are equipped with an effective succession planning process

develop the ability to focus the learning that goes on, to align this learning with the

strategic objectives of the organization and to ensure that those who are qualified and

interested understand, and are able to access, the succession planning process. Not

only are they able to create knowledge within the organization but, since their employees

feel valued and are able to foresee opportunities for growth and advancement within the

organization, they are much better equipped to retain that knowledge. �Whereas

succession planning helps pre-empt knowledge loss, career development processes

may be one of the most effective retention tools for key employees.�36 Since effective

succession planning focuses as much on retention as it does on development,

workplace learning therefore becomes one of the most important building blocks of an

effective systematic succession plan.

35 Kotter (1996), p. 182. 36 Delong (2004), p. 66.

25

CHAPTER THREE � ESSENTIAL ELEMENTS OF SYSTEMATIC SUCCESSION PLANNING

What are the essential elements of an effective systematic succession plan? As stated in the literature, effective systematic succession planning programs must

incorporate a number of essential elements. In the following paragraphs these essential

elements are analysed, along with the results of the survey and interview processes,

within three broad themes: inclusion, retention and action versus talking.

Inclusion

In order to succeed in the 21st century, organizations need to align succession planning

and professional development initiatives not only with the strategic planning process, but

also with the culture of the organization. In today�s knowledge economy, organizations

cannot afford to underestimate the importance of involving people at all levels in the

ongoing processes of organizational review and improvement, as well as in leadership

development and renewal efforts across the entire organization.

Communication

In order to ensure broad-based inclusion, one of the building blocks of effective

systematic succession planning is that of a sound communication strategy. Effective

communication is critical since few results can be achieved if an action plan is developed

and then kept secret. If organizations don�t ensure that succession planning processes

are clear, open and well-communicated, they risk broad-scale failure of the plan. There

is a need to communicate openly about the existence of the plan, about its goals and

objectives, and about the criteria for involvement.

There is also a need to ensure that the communication strategy is not limited to a top-

down approach. Although Rothwell tells us that, �[t]he most successful solutions are

initiated and designed by a senior executive team, with strong CEO input, accountability,

and approval�37, he also points out that every member of the organization plays an

important role in effective succession planning. While the personal involvement of the

37 Berger (2004), p. 6.

26

senior team may help to motivate participants and ensure that other members of the

[organization] devote the required time and energy to succession planning initiatives38,

members at all levels have a role to play. It is important that mechanisms be put in

place to ensure that these members are aware of the succession plan; that they are able

to provide input into it; and that they are given the opportunity to participate in it.

Interview and survey respondents appear to share the view that effective systematic

succession planning must be a well-communicated and inclusive process. Indeed,

wether they were members of the senior administrative team, the union executives, or

OCASA�s executive, interview participants were almost unanimous on this point. This is

evidenced in comments such as:

• �Open communication is the basis for any relationship. If someone is exerting

too much power or is too forceful, the succession plan falls apart (SA1)�39;

• �The organisation as a whole has to be aware of the succession plan; everyone

has to understand what their role and responsibilities are within that plan (SA3)�;

• �[The process] needs to be transparent; strategic plans need to be

communicated to the unions whose job is often to appease people (UE2)�;

• �There has to be a relationship of trust, and trust can only be accomplished

through transparent communication (UE5)�;

• �The process needs to be transparent, so that it doesn�t promote fear. It has to be

an honest approach with a lot of communication (OC5)�;

• �A good program, if well communicated, [�] shows that the employer values the

employees; they are loyal to the employees and want to keep them around. We

expect loyalty from the workforce, it�s important to demonstrate loyalty in return

(OC6).�

This having been said, it is also important to note that, although a transparent

communication strategy is essential to successful systematic succession planning,

38 Rothwell (2005), p. 56. 39 NOTE: Throughout this document, interview respondents are identified as SA1 through SA4 for the four Senior Administrative Staff respondents, UE1 through UE6 for the six union executive committee respondents, and OC1 through OC6 for the six OCASA executive respondents.

27

organizations must pay careful attention to the way in which their program is described.

They must be very careful about the expectations that are created.

�Individuals should be encouraged to develop themselves for the future, but should understand, at the same time, that nothing is being �promised�; rather, qualifying and participating in a succession plan is a first step but does not, in itself, guarantee advancement.�40

Communicating the plan does not mean making promises to particular individuals, nor

does it mean publishing the list of individuals who are participating in succession

planning initiatives or publicly announcing the details of their participation. Details of

specific employee strategies and interactions must be treated as confidential information

in accordance with good business practice and privacy laws.41

As one union executive member stated �you have to groom candidates but the grooming

has to be based on merit (UE3).� Another stated that there should be no favouritism and

that it is important to �treat everybody the same. Give the same opportunity to

everybody (UE6).� And yet another told us that �both sides need to ensure that they

have continuous reality checks and that there are no assumptions; to ensure that all

communications are backed up by facts; or if it�s based on a perspective that the

perspective be explained (UE5).� These comments speak to the need for an effective

collaboration strategy that allows union leaders and individual employees to remain up to

date on the evolution of the succession plan, and to provide input and feedback into it on

an ongoing basis.

Participation

It also important to note that inclusion requires processes that go above and beyond a

communication of the succession to members of the organization. As previously

discussed, one of the most effective ways to mediate against the impacts of inherent

power structures in the workplace is to develop a succession planning process that is

both objective and inclusive. As one interviewee stated, it is important to �recognize

individual strengths of the staff no matter what level they are and use that for the

success of the college (UE6).�

40 Rothwell (2005), p. 160. 41 Rothwell (2005).

28

The literature indicates that systematic succession planning must be championed by the

senior administrative team; but that it must also involve a two-way communication that

focuses on involvement at all levels of the organization. Boréal�s senior administrative

staff told us that �the senior team has to believe in a systematic succession plan, has to

see the need for it and has to make the proper investment to make sure that it succeeds

(SA3).� They also told us that �there should be a committee of representatives from

each employee group, to look at, to ensure, to validate the process so that it�s relevant

(SA1)�; and that �succession planning has to be formalized, equitable and approved by a

committee, not just done by one person (SA2).�

These comments by the senior administrative team confirm their view that the personal

involvement of senior managers is required to ensure buy-in and motivation, but that

there are also important roles for individuals at all levels of the organization in any

successful systematic succession planning process.

Based on interview responses provided by union executive members, they also feel that

all levels of the organization need to be involved in systematic succession planning

initiatives. They suggest that there are already elements in place within the college to

facilitate a broad-based approach to systematic succession planning and see a specific

role for union executive members in as much as they have the ability to act �as a bridge

from management to staff, to reach staff (UE2).� One union executive member pointed

out that �in the collective bargaining agreement, the �College Employment Stability

Committee (CESC)� has the mandate to look at succession planning (UE1).�

Indeed, the CESC may just provide the college with an appropriate vehicle for ensuring

union participation in the development of an effective systematic succession plan,

particularly with respect to addressing the needs related to key support staff and faculty

positions. Although the support staff and faculty groups are covered by two different

collective agreements, both documents make provisions for the creation and function of

CESC�s.

29

In the support staff collective agreement, this committee is composed of three support

staff members, and three management members, and is mandated to develop current

and multi-year strategies including, but not necessarily limited to,

�planning, retraining, identifying ways of determining employees� skills, training and experience previously achieved, early retirement, voluntary exit programs, alternative assignment, secondment, employee career counselling, job sharing, job trading, job shadowing and professional development.�42

In the faculty collective agreement, this committee is composed of two faculty members,

and two management members, and is mandated to develop current and multi-year

strategies including, but not necessarily limited to,

�analyzing, on an ongoing basis, internal and external trends which may have impact on employment stability, such as areas for growth and decline and changing resource levels and priorities; [�] developing strategies including retraining, early retirement, alternate assignments, secondments, professional leaves, employee career counselling, job sharing, professional development, pre-retirement planning and voluntary transfer.�43

Based on their mandate, these committees provide an obvious mechanism for inclusion

of all employee groups in the succession planning process. Given the issues of power

that were presented earlier on in this document, I would suggest that involvement of the

CESC�s would provide a forum for discussion of varying points of view, and help to bring

an element of balance to the process. It would also provide a useful forum for exploring

the goals of systematic succession planning and finding solutions around roadblocks

that may occur because of perceived barriers to advancement of the plan. For example,

the CESC�s could work together to find answers to questions such as the following that

was raised by one union executive member during the interview process: �Could the

classification system be a problem? Are people allowed to learn tasks from another job

classification and still remain at their current classification? (UE6).�

42 Support Staff Collective Agreement 2005-2008, p. 58. 43 Academic Employees Collective Agreement 2005-2009, p. 60.

30

During the interviews, there was also a suggestion made by one union executive

member that �focus groups can be put together to discuss succession planning and to

discuss the future (UE2).� By combining involvement of the CESC�s with the focus

group approach, I believe that the college could provide a forum that, rather than

segregating the support staff, management and faculty groups, would allow for all three

to come together in meaningful dialogue. What I envision is a �top-down/bottom-up/top-

down� process.44 That is to say that the process would be championed and driven from

the top at the request of senior management (top-down), that it would be carried out

from the bottom-up with the involvement of the CESC,s and appropriate focus groups

(bottom-up), and that changes to the plans or their approval would be communicated by

the administrative staff group responsible for the development and implementation of the

systematic succession plan (top-down).

As for the Ontario College Administrative Staff Association, based on interview

response, their role would primarily be one of providing valuable information to colleges

that are embarking in systematic succession planning initiatives. OCASA could �provide

benchmarking for others to consult and compare themselves to what others have done

to make sure it�s achievable (SA1)�; �play a key role in model development and sharing

of best practices (SA2)�; and �encourage the practice of succession planning (SA4).�

They could also �help individual colleges by [�], lobbying senior teams at colleges that

might not have a succession plan (OC2)�; �provide research, support documentation

(OC4)�; and �act as a central clearing house for information (OC6).� One of the first

concrete steps toward playing this role has already been taken by the OCASA executive

members and college representatives who agreed to participate in this research project.

The results of this research project will be shared with OCASA members and, since

many of the issues that are faced by Collège Boréal are common to all 24 Ontario

community colleges, the insights provided may serve to inform research that is currently

being undertaken elsewhere in the province, or will be in the future.

Access

As already discussed, inclusion in a systematic succession plan is not possible unless

that plan is well communicated, and unless it provides for participation and input on the

part of all members of the organization. This implies that individuals at all levels are 44 Borwick (1993).

31

aware of the succession plan, and that the organizational culture is that of a �learning

organization�. Members of the organization need to feel that they are working in a place

where advancement and professional development are encouraged. They should not

feel apprehensive about requesting assistance or access to learning and career

development opportunities.

As previously stated, culture is an active, living phenomenon that has a profound impact

on all human interactions. Within an organizational context, culture is essentially the

collection of beliefs and attitudes that are held by members of the organization and that

profoundly affect their patterns of behaviour. In order for organizational leaders to be

able to develop an effective systematic succession plan for their particular organization,

they first need to understand what the lived culture of that organization is. They need to

be able to accurately predict how individuals within the organization will react to

processes and policies that are proposed and put in place. They need to know what the

mindset of employees is, and adjust approaches in order to ensure that they are

designed to promote buy-in.

Based on the survey and interview results this is one area where Collège Boréal may

need to invest some time and energy. When asked if they feel that Collège Boréal is a

place where internal advancement is encouraged, 39% of respondents answered no. Table 3.1 � At Collège Boréal is internal advancement encouraged?

AS AS SS SS F F Total Total Do you feel Collège Boréal is a place where internal advancement is encouraged?

# % # % # % # %

Yes 15 65% 12 33% 8 44% 35 45%

No 7 30% 18 50% 5 28% 30 39%

TOTAL RESPONDENTS 22 95% 30 83% 13 72% 65 84%

Sample anecdotal comments provided to this question: • no openings are available • Credentialism - support staff, not the place - feel it should match provincial government hiring practices • "Yes" for support staff however "no" for faculty staff. • I don't know yet

This suggests that, if they are to develop and implement an effective systematic succession

planning program, Collège Boréal will need to ensure that all employees are aware of it, and

that they feel comfortable in requesting access to it. Based on survey results, this is not

32

currently the case. According to the responses in Table 3.2, current practice tends to

involve consulting administrative staff most often with respect to advancement, faculty most

often with respect to learning opportunities and professional development, and support staff

least often in both regards

Table 3.2 � Comfort in soliciting learning and advancement opportunities

AS AS SS SS F F Total Total

# % # % # % # %

Ever been asked if interested in learning opportunities?

14 61% 13 36% 14 78% 41 53%

Ever been asked if interested in advancement?

12 52% 8 22% 4 22% 24 31%

Comfortable approaching HR for assistance in paying tuition?

19 86% 24 67% 15 83% 58 75%

Comfortable approaching supervisor for assistance in paying tuition?

21 91% 28 78% 16 89% 65 84%

Comfortable approaching HR to discuss possibility of learning and advancement?

20 87% 20 57% 11 61% 51 66%

Comfortable approaching supervisor to discuss possibility of learning and advancement?

19 83% 26 72% 12 67% 57 74%

Table 3.2 also seems to indicate that some employees feel more comfortable in

approaching HR for assistance with learning and advancement, while others feel more

comfortable in approaching their supervisor, and still others didn�t indicate a preference

for one or the other. Also important to note is the fact that, according to survey

respondents, employees are often not aware of available supports for career planning or

job orientation services, or of available learning opportunities; and that significant

numbers do not take advantage of the career planning and advancement services and

programs that are available, even when they are aware of them. Yet quite a few do take

advantage of what learning supports are available (see Table 3.3 and 3.4). This

suggests that there may be a disconnection between these two elements of a successful

succession planning process and that steps need to be taken to bring these together

more effectively.

33

Table 3.3 � Pattern of requesting assistance or advice in career planning or advancement During your employment at Collège Boréal, have you ever requested assistance or advice in planning your career advancement options?

AS SS F TOTAL Yes No Yes No Yes No Yes No # % # % # % # % # % # % # % # % 7 30% 16 70% 6 17% 30 83% 3 17% 15 83% 16 21% 61 79% During your employment at Collège Boréal, have you ever taken advantage of career planning or job orientation services that have been made available to you?

AS SS F TOTAL Yes No Yes No Yes No Yes No # % # % # % # % # % # % # % # % 4 17% 10 43% 3 17% 13 36% 2 11% 6 33% 9 12% 29 38% 9 individuals (39%) indicate that none were available

20 individuals (56%) indicate that none were available

10 individuals (56%) indicate that none were available

39 individuals (51%) indicate that none were available

Table 3.4 � Pattern of requesting support (monetary or other) for learning

During your employment at Collège Boréal, have you ever requested support (monetary or other) or accessed learninopportunities that have been available to you?

AS SS F TOTAL Yes No Yes No Yes No Yes No # % # % # % # % # % # % # % # % 15 65% 8 35% 23 64% 13 36% 12 71% 5 29% 50 65% 26 34% During your employment at Collège Boréal, have you ever obtained support (monetary or other) or accessed learningopportunities that have been available to you?

AS SS F TOTAL Yes No Yes No Yes No Yes No # % # % # % # % # % # % # % # % 15 65% 6 26% 25 69% 7 19% 13 72% 5 28% 53 69% 18 23% 2 individuals (9%) indicate that none were available

4 individuals (11%) Indicate that none were available

6 individuals (8%) indicate that none were available

I would also suggest that, in order to ensure that all employees within the organization

are provided with equal access to opportunities for learning and advancement, Collège

Boréal will need to provide them with timely information regarding the available supports

and opportunities, as well as various mechanisms by which to communicate interest in

these opportunities. Since not everyone will feel comfortable within the same context, it

will be important to allow for different pathways to access. For example, if employees

can access information regarding learning opportunities and advancement, and request

access to these resources, either by approaching their supervisor, human resources, OR

members of the CESC�s, the odds of them feeling comfortable with at least one pathway

are greater than if they were limited to approaching only human resources or only their

supervisor.

34

Retention

As previously indicated, succession planning must address not only issues of talent

replacement, but also those of talent development and retention across all levels of the

organization.

On this point, one Boréal senior administrators told us that �we cannot talk about

succession planning on its own; we have to talk about retention as well (SA3).� This

administrator also told us that �the systematic succession plan has to be a component of

the college�s strategic plan and the succession plan has to cover all the sectors of the

college and has to be tied in to individual career plans (SA3).� The importance of

retention within succession planning initiatives was also mentioned by a member of the

union executive who mentioned that: �Succession planning is good, but I would like to

talk about keeping employees. Creating a workplace environment where employees are

happy, where employees feel rewarded may keep satisfied employees longer and in

turn, ease the succession planning process (UE1).�

What this means is that the systematic succession plan must be developed in such a

way that it resonates with the members of the organization, and provides them with the

drive and the incentive to remain within the organization and to continue to grow with it.

If an organization expects its members to buy into a succession planning program, then

they must ensure that those members are able to see within the plan a clear direction for

the future of the organization, and for their own future. Essentially, organisational

leaders must recognise that the knowledge workers they want to attract and retain are

also the knowledge workers who, as Peter Drucker likes to say, carry their expertise

�between their ears� and �have two legs�.45 In other words, they can walk out the door

quite easily and take their knowledge with them if they cannot identify with the culture of

the organization they work for; or if they cannot perceive, within that organization,

opportunities for growth and advancement.

Within a succession planning context this means that, even as talent becomes more

precious due to the increasing need for replacement workers, it also becomes more

45 Fulmer (2004), p. 8.

35

mobile. Organizations must therefore recognize that providing career planning and

development opportunities that meet the needs of organization members, as well as the

needs of the organization, will help to recruit and retain skilled and knowledgeable

workers. These days, many talented job candidates, especially minorities and women,

are showing a preference for employers who offer career advancement opportunities.46

Strategic plan: Future of the organization

One of the major forces that have brought about the need for improved succession

planning over the last decade has been the increasingly rapid pace of change.

�Change has always been the one constant of human endeavour. Now it just comes at us twice as fast as it used to. Shifts in the environment cause shifts in critical competences within organizations and leave companies with less and less ability to predict the types of talent they are going to need. [�] Well designed succession management systems have the power to provide advance notice of where talent gaps might be looming, what talent needs might be emerging, and even where talent gaps could appear unexpectedly.�47

Within this context of rapid change, one of the greatest potential pitfalls of any

succession planning initiative is the tendency of managers to ultimately reproduce the

status quo. �Replacement-planning systems are often out of touch with organizational

strategies because executives are essentially searching for replacements for

themselves.�48 Managers responsible for succession planning and leadership

development within organizations need to overcome the natural tendency of rewarding

or seeking to promote people who think and act like themselves. They must also be

able to predict what will be required of a replacement worker who may only be called to

action many years down the road. Any manager attempting to develop replacement

talent today, for a job that might only open three or four years from now, will be basing

his or her decision on specifications that will be woefully out of date when the transition

actually takes place.49 This means that systematic succession planning must be a

forward thinking process that is well aligned with the organization�s planned future.

46 Cummings and Worley (2005), p. 396. 47 Fulmer (2004), p. 10. 48 Byham, Smith and Paese (2002), p. 16. 49 Charan, Drotter and Noel (2001), p. 166.

36

�If an organization doesn�t have a well-defined profile of what it wants in its future [�] leaders, there�s no way it will be able to effectively develop people for [�] positions. Nor will it be able to accurately evaluate the readiness of high-potential individuals. It is extremely important, then, for an organization to carefully and accurately define the characteristics of the leaders who will carry it into the future.�50

It also means that successful systematic succession planning not only requires an

awareness of the current internal organizational culture, but also an understanding of the

external talent pool that organizations may need to pull from when promotion from within

is not an option. Seasoned managers who are involved in succession planning

initiatives must be aware that as they look to younger generations as a potential talent

pool they will be dealing with attitudes that most likely differ extensively from their own.

For example,

�[h]aving watched their parents being laid off in the late 1980s and 1990s, Generation X members have little sense of corporate loyalty. Their belief is that loyalty is no longer rewarded. [�] This belief, aided by search firms and the Internet, has accelerated company-hopping. Today, the average executive will have worked in five organizations, and that number may increase to seven by 2010.�51

�Generation X and Y [�] don�t have [�] the same level of loyalty to an organization; they are more focused on quality of life � we have to get ready for that (SA1).�

What is required for a succession plan to effectively attract and retain Generation X

members, is very different from that which was required to attract and retain talent in the

past. Essentially, �the characteristics that helped current leaders succeed may not be

appropriate for the new leaders required for the evolving challenges of tomorrow.�52

The need to tie effective systematic succession planning to the strategic plan of an

organization is a point of view that is shared by a number of interviewees. One senior

administrator told us that �we should know our vision, know where we�re going so that

we can strategically change positions to meet our goals; if a department wants to go in a

new direction; sometimes the people in place don�t have the right skill set to match that

50 Byham, Smith and Paese (2002), p. 85. 51 Fulmer (2004), p. 3. 52 Fulmer (2004), p. 146.

37

(SA1).� Another told us that we need to �look at where [we] want to bring [our]

organisation to. That would be a result of the strategic planning process that would

identify potential new leadership roles [�], so then you would identify those future key

positions (SA4).� And still another told us that �all of our employees need to be

competent, trained and prepared to fill the present and future needs of the college

therefore a systematic succession plan framework is needed (SA3).�

From the union executive perspective, organizations �that succeed are those that plan

long term and you need to link human resources into the plan (UE2).� One union

executive member told us that �a detailed analysis of the environment in which the organization is evolving in is needed � the external environment, social, political, economic; what are the future threats to the organization; you need to collect information on the entire environment (UE2).�

This same union executive member also told us that there is a need to �decide where you want to be in the next 5-10 yrs. [�] You need to create an environment where people will want to apply for a position in the future and fit in with the organizational plan. A lot of analysis and forecasting is involved. Where do we want to be and who can bring us there (UE2)?�

These comments indicate that at Collège Boréal, both the senior administrative team

and members of the union executive are aware of the need to ensure that future needs,

as well as current ones are taken into consideration within a systematic succession

planning process.

From a system wide perspective, the comments shared by OCASA�s executive

members point to the fact that they also believe that effective systematic succession

planning must take into account long term needs. For example, when asked what

comes to mind when they think of succession planning, one OCASA executive member

stated that it is �an activity that an organization would take on when it has a long -term

vision and some clear preoccupation about maintaining a depth of knowledge within that

organization. [�] An organization that has a long-term view established; a long-term

focus and there�s a core of talent they wish to protect (OC2).�

38

Performance Management: Future of the individual Another essential element of effective systematic succession planning is an accurate

understanding of the talent capacity of an organization, and of the needs of the

individuals within the organization.

Before organizations can look to their future needs, they must first develop a clear

understanding of their current context. They must know who their employees are,

including their strengths and weaknesses, and they must understand the aspirations and

goals of their employees. Although it would seem intuitive that personnel files would

contain up to date information regarding employees� education, work experience and

background, this is not necessarily always the case. If there is no systematic succession

planning program in place, it is conceivable that individuals within organizations may

have taken courses or undertaken other career development activities that are unknown

to the employer.

Also, just because an individual had the required credentials and skill sets at the time of

hire, it is possible that the job requirements have evolved over time, or that the

performance level of a specific individual many have changed over time. Another

important point to consider is the fact that, if there is no systematic process in place,

personnel files will not contain any information about where individuals see their careers

progressing within the organization, or indeed if they even continue to see a place for

themselves within the organization at all.

In order to maintain up to date knowledge about its current capacity, it is therefore

important for organizations to develop and implement effective performance evaluation

systems. According to Armstrong, effective performance evaluation systems incorporate

�objective setting, attribute and competence analysis, feedback, counselling and

coaching.�53 Armstrong also tell us that �performance and development review should

be regarded as a conversation with a purpose, which is to reach firm and agreed

conclusions about [an] individual�s development, and, if applicable, any areas for

improvement.�54 Performance review and analysis of current capacity should be

initiatives that focus on individuals and positions at all levels of the organization. Indeed,

53 Armstrong (2000), p. 172. 54 Armstrong (2000), p. 18.

39

rather than concentrating on a few key positions at the top of the organization, effective

succession planning involves consideration of the valuable talent and institutional

memory that exists in all areas of the organization. In effective succession planning

initiatives, ��organizations take care to address the need for critical backups and

individual development in any job category � including key people in the professional,

technical, sales, clerical, and production ranks.�55

Although it is beyond the scope of this research project to analyse and propose a

performance measurement framework for Collège Boréal56, the key point here is that

effective systematic succession planning must be based on clear standards. It must

also clearly describe the competencies that will be used to identify, to measure and to

reward talent. If expectations are not clear, people will be much less likely to participate

in any succession planning initiatives. Employees need to know what the employer

expects of them, and what they in turn can expect from the employer. Organizations

should not underestimate the fact that workers who may have been considered as

�disposable� in the 1980s and 1990s, now need to be considered as �indispensable� in

the 21st century. In the aftermath of the downsizing trends of previous decades, today�s

�employers are having a more difficult time holding on to valuable talent, who are just not

patient enough for a company to get its act together.�57

Based on the results of survey and interview processes, some work will be required of

Collège Boréal with respect to developing an understanding of its current capacity and

context. As already stated, although the survey response rate was not high enough to

provide conclusive evidence of areas requiring action, some insights as to the need for

further inquiry were identified.

For example, survey response seems to indicate that Collège Boréal is currently dealing

with an administrative staff force that has a fair amount of experience within the

organization itself (and therefore demonstrates good corporate memory potential); but

55 Rothwell (2005), p. 13. 56 As indicated in the Introduction, Collège Boréal�s VP - Corporate Services will be undertaking a research project aimed at proposing a Performance Measurement Framework for the organization. 57 Fields (2001), p. 23.

40

that is also fairly inexperienced with respect to the �current positions� that they hold. With

respect to the length of time in their current positions, the following pattern emerges: Table 3.5 � Number of years in current position

AS AS SS SS F F Total Total # of years in current position # % # % # % # %

11 years or more 2 9% 9 25% 6 33% 17 28%

5 to 10 years 2 9% 8 22% 6 33% 16 26%

2 to 4 years 9 39% 13 36% 4 23% 26 31%

Less than 2 years 10 43% 6 17% 2 11% 18 15%

TOTAL RESPONDENTS 23 100% 36 100% 18 100% 77 100%

The majority of respondents in the Administrative staff group (43%) indicate that they

have been employed in their current position for less than two years. A further 39% of

respondents in this group have only been in their current position for 2 to 4 years. If we

consider the fact that the total number of administrative staff employees in the

organization is 58, based on this 23 member survey sample we can see that at least 19

of the 58 mangers at Collège Boréal (33%) have been in their current position for only 2

to 4 years; while 10 of the 58 (17%) have held their current position for less than 2 years.

This suggests that administrative staff, as a group, have less overall �current position�

experience than the other two employee groups. As far as current positions are

concerned then, Collège Boréal appears to be dealing with a fairly inexperienced

administrative staff workforce.

Based on the number of years that they have been employed at Collège Boréal, this

apparent �current position� inexperience seems to be offset to a certain extent by broad

organizational experience. Table 3.6 below demonstrates that the average time that

administrative staff respondents have been employed at Collège Boréal is 7.2 years.

Table 3.6 � Number of years in college system VS number of years at Collège Boréal

Employee group Average # years in college system Average # years at Boréal

Administrative Staff 11.1 7.2

Support Staff 8.9 6.9

Faculty 10.2 7.7

3 GROUP AVERAGE 10 7

41

Individual administrative staff survey response demonstrates the following breakdown:

Table 3.7 � Administrative Staff � Number of years at Collège Boréal AS AS # of years employed at Collège

Boréal # %

11 years or more 9 39%

5 to 10 years 6 26%

2 to 4 years 5 22%

Less than 2 years 3 13%

TOTAL RESPONDENTS 23 100%

In going forward with the development of the colleges systematic succession plan, it

would be my suggestion that the Executive Director of Organizational Development

undertake a more in depth analysis of this situation based on the employee demographic

and employee information that can be obtained from the college�s human resources

department, or by way of a more comprehensive and specific administrative staff

employee survey. If the insights provided in this project prove to be true, administrative

staff �current position� experience provides one example where it will be important for

Collège Boréal to put in place the required training and supports that will help ensure

survival of the learning curve that such a large number of employees are experiencing

simultaneously; and thus ensure that they remain in their positions, and in the

organization over the long haul.

Gap analysis: Future of both the organization AND the individual

Once an organization has developed an accurate inventory of its existing capacity, it

needs to compare this to both its current requirements, and to its future requirements. In

order to do so accurately, those responsible for systematic succession planning within

the organization must identify key positions that exist at the present time and, based on

the organization�s strategic plan, key positions which will either be modified, eliminated

or created in the future. It is important to note at this point that key positions are not

always obvious.

�Just because a �top-charted title� has been around for years doesn�t mean that this position is crucial to the mission of the company. [�] For the succession plan, a key position is a

42

position within the organization that provides significant importance in the strategic and operational decisions that affect organizational success. [�] Key leadership positions are distributed throughout the organization � positions that, if left unfilled, would cause problems for the functions of the company, including production, sales, distribution, systems, purchasing or service.�58

Based on previous discussion around the need for a two-way communication strategy in

effective systematic succession planning, a comprehensive consultation process should

be used to identify key positions within the organization. As previously suggested, the

CESC�s could provide an appropriate mechanism for consultation in this respect since

part of their mandate includes analyzing, on an ongoing basis, internal and external

trends which may have an impact on employment stability, such as areas for growth and

decline and changing resource levels and priorities. Along with the CESC�s, senior

managers, department managers and human resource practitioners all have a role to

play. Those responsible for overseeing the development and implementation of an

organization�s systematic succession plan must maintain an open dialogue with the

individuals they work with, and develop an understanding of the role that each employee

plays within the organization.59

Strategically, once an organization has identified what it considers to be its key

positions, it must gain a firm handle on how many employees possess the required skills

and credentials to fill those positions. It must determine how easily replacement talent

could be found to fill the positions should they become vacant; and it must remain aware

of those existing employees who have demonstrated an interest in pursuing studies or

career development activities that would adequately prepare them to step into those

positions should the need arise.

From the perspective of Collège Boréal, at least based on the insight provided through

the survey and interview processes, there appear to be a number of technical support

staff positions and faculty positions at Collège Boréal, for which specialized technical

training or experience is required. It would also appear that for many of these positions,

there is either no one else, or at best only one other person within the organization, who

58 Wolfe (1996), p. 55. 59 Rothwell (2005.

43

would currently have the qualifications to act as replacement workers within these

positions.

Detailed analysis of survey responses indicates that 100% of faculty respondents and

86% of support staff respondents are of the opinion that their current position requires

specialized technical training or experience. Of the 36 support staff respondents 10

indicate that to their knowledge there is either no one, or only 1 other person within the

organization who would have the skills required to replace them if they were to fall ill or

suddenly become unable to perform their duties; while 8 of the 18 faculty respondents

indicated the same thing. Although this does not provide a scientific analysis of

replacement potential for these positions, it does suggest that there are a number of �one

of�s� and �two of�s� within the organization.

This suggests that there is a fairly urgent need for Collège Boréal to undertake a detailed

analysis of its current and future key positions, and to develop the processes that will

allow it to ensure an ongoing pool of talent and interested individuals to fill these

positions effectively on an ongoing basis.

Workplace Learning

The final essential element of an effective systematic succession plan is an appropriate

talent development program. If an organization wants its employees to grow and

develop in line with its strategic planning process, it needs to provide the proper

resources. �Providing leaders with information, ideas, mentoring, coaching, and rewards

is all part of the succession process.�60 In order to be able to provide the proper

resources, organizations must understand the culture and capacity of their workforce,

and they must be clear on the skills and credentials that are required in order to ensure

their ongoing success as an organization.

The key is to ensure that the development tools and programs that are put in place meet

both the needs of employees, and those of the organization itself. This requires that the

organization maintain a central role for managers, leaders and individuals at all levels of

60 Wolfe (1996), p. 85.

44

the organization, who must work together to get the innovative best out of their people,

by investing time in encouragement, direction-setting and dialogue.61

By way of this process, �it is important to foster a sense of belonging to an organization

(UE2).� �People have to learn that it�s ok to learn things from other jobs. People have to have a willingness to learn duties from another job, do them on occasion, even if it means they won�t be rewarded right away � people have to be willing to do that, but it has to be a personal decision. The option should be there for those who are interested (UE6).�

Based on the survey and interview results, there is already a fairly widespread interest

among respondents to move along a career path within Collège Boréal and to undertake

learning and career development activities. Indeed, among survey respondents, there

appears to be wide spread interest in internal career mobility at some point over the next

ten years. Of 77 survey respondents, only 18 individuals (23%) indicate that they are

not interested in internal career mobility at all. Support staff appears to be the group

with the largest number of individuals who are interested in internal career mobility at

this time. As a group, faculty respondents demonstrate the least amount of interest in

internal career mobility. Most administrative staff respondents demonstrate an interest

in internal career mobility in 5 to 6 years. This would seem consistent with the fact that

many of them have been employed in their current position for less than two years.

Table 3.8 � Level of interest in internal career mobility

AS AS SS SS F F Total Total

# % # % # % # %

I am interested in internal career mobility at this time.

3 13% 15 43% 1 6% 19 25%

I will be interested in internal career mobility in 1 to 2 years.

1 4% 11 31% 1 6% 14 18%

I will be interested in internal career mobility in 3 to 4 years.

3 13% 9 26% 4 22% 16 21%

I will be interested in internal career mobility in 5 to 6 years.

6 26% 4 11% 2 11% 12 16%

I will be interested in internal career mobility in 7 to 8 years.

2 9% 1 3% 0 0% 3 4%

I will be interested in internal career mobility in 9 to 10 years.

0 0% 1 3% 3 17% 5 5%

I am not interested in internal career mobility. 5 22% 8 23% 5 28% 18 23%

61 Williams (2005), p. 116.

45

With respect to the factors that would encourage Collège Boréal employees to undertake

learning or career development activities and move along a career path, the most

important ones appear to be access to �new challenges� and �work climate�. The second

most important factor appears to be �salary�. This would seem to indicate that certain

individuals within the organization may be interested in internal mobility opportunities

that don�t automatically translate into immediate pay increases. From a succession

planning perspective this may become important if further analysis confirms the need for

cross-training and capacity development within Collège Boréal. In some cases, lateral

career mobility may provide individuals with new challenges and a work climate that

better suits their needs, while at the same time allowing them to build on existing skills,

and learn new skills that will be of benefit to the organization. This could be one way for

Collège Boréal to increase the number of back-up employees who possess certain

specialized technical knowledge or skills. Table 3.9 � Most important motivator for movement along a career path

MOST important factor AS AS SS SS F F Total Total

# % # % # % # %

Salary 1 4% 6 17% 3 17% 10 13%

New challenges 8 35% 10 28% 7 39% 25 32%

Work climate 10 44% 7 19% 3 17% 20 26%

Location 1 4% 2 6% 1 5% 4 5%

Possibility of advancement 2 9% 8 22% 1 5% 11 14%

TOTAL RESPONDENTS 22 96% 33 92% 15 83% 70 90%

Sample anecdotal comments provided to this question: • professional and personal growth • less stress • nothing I am happy in my current position • �job security - at present that certainly is a daily stress�

Table 3.10 � Second most important motivator for movement along a career path

SECOND MOST important factor AS AS SS SS F F Total Total

# % # % # % # %

Salary 12 52% 17 47% 6 34% 35 46%

New challenges 6 26% 8 22% 3 16% 17 22%

Work climate 3 13% 5 14% 2 11% 10 13%

Location 1 4,5% 0 0% 3 16% 4 5%

Possibility of advancement 1 4,5% 4 11% 0 0% 5 6%

TOTAL RESPONDENTS 23 100% 34 94% 14 77% 71 92%

46

With respect to the potential barriers, that may prevent employees from participating in

learning or career development activities, the most important ones at Collège Boréal

appear to be �time constraints�, �family commitments/constraints� and �financial

constraints�. In the administrative and support staff groups, a number of individuals

identify a lack of access to opportunities, while in the support staff and faculty groups a

number of individuals identify a lack of awareness of available opportunities of interest

as potential barriers. An encouraging fact for the organization is that only a small

number of individuals identified a lack of interest or a lack of motivation as potential

barriers. This implies that the interest and motivation are there, and that what is needed

is better communication of opportunities, and increased access to them, in order to

encourage participation in career development activities.

Table 3.11 � Most common potential barriers to participation in learning activities AS AS SS SS F F Total Total

# % # % # % # %

Financial constraints 7 33% 17 50% 4 22% 28 36%

Time constraints 16 76% 23 68% 16 89% 55 71%

Family commitments/constraints 13 62% 13 38% 12 67% 38 49%

Lack of prerequisites for opportunities of interest

2 10%

4 12% 2 11% 8 10%

Lack of awareness of available opportunities 4 19% 9 26% 5 28% 18 23%

Lack of interest 0 0% 2 6% 1 6% 3 4%

Lack of motivation 1 5% 2 6% 0 0% 3 4%

Health issues 0 0% 2 6% 1 6% 3 4%

Lack of access to opportunities 8 38% 11 32% 2 11% 21 27%

Sample anecdotal comments provided to this question: • other business commitments • getting over the fear of taking on a huge commitment • None, I am currently studying part-time for a Baccalaureate • lack of interesting opportunities • lack of appropriate workload (too heavy)

As for the types of learning and career development activities that are of interest among

Collège Boréal employees, there appears to be a general interest in almost all forms of

training and support.

47

Table 3.12 � Most important supports required to promote career development AS AS SS SS F F Total Total

# % # % # % # %

Leadership development training 14 74% 14 39% 8 44% 36 47%

Human resource management training 11 58% 10 28% 6 33% 27 35%

Labour relations training 7 37% 4 11% 2 11% 13 17%

Conflict resolution training 8 42% 11 31% 5 28% 24 31%

Financial or budget training 7 37% 12 33% 4 22% 23 30%

Job specific training (training within a specialized area of expertise)

8 42% 20 56% 9 50% 37 48%

Career counselling services 3 16% 9 25% 3 17% 15 19%

Aptitude testing or help in identifying career interests

4 21% 8 22% 3 17% 15 19%

Sample anecdotal comments provided to this question: • Access to undergraduate or graduate studies • Computer training • University degree • Masters, Doctorate in my specific profession

The most popular supports appear to be �Job specific training� (48% of respondents) as

and �leadership development training� (47% of respondents). Although there is some

variation among respondents as to the types of training and learning activities they

would prefer, most appear to be looking for activities that lead to formal credentials, that

are either offered in an intensive or flexible format, and that are available during work

hours. This would appear consistent with the fact that the most common barrier identified

to participation in learning activities was �time constraints� (see Table 3.11).

Table 3.13 � Types of training and learning activities preferred by respondents

AS AS SS SS F F Total Total

# % # % # % # %

Classroom training courses 5 23% 4 11% 8 44% 17 22% Online training courses 11 50% 13 36% 8 44% 32 42% Job rotation opportunities 4 18% 13 36% 3 17% 20 26% Job shadowing opportunities 5 23% 10 28% 4 22% 19 25% One or two-day workshops or conferences 13 59% 18 50% 10 56% 41 53% Coaching 12 55% 7 19% 6 33% 25 32% Mentoring 14 64% 12 33% 9 50% 35 45% Access to formal education (Baccalaureate, Master�s studies, etc.)

14 64% 21 58% 10 56% 45 58%

Sample anecdotal comments provided to this question: • I am satisfied with the present initiative of access to formal education. • re-advertise the "option 50/60" • Computer courses • external training

48

Although further investigating will be required to validate this information, it would appear

that the most important for Collège Boréal in going forward will be the development of a

process that allows them to effectively identify the proper resources for succession

planning and workplace learning, and to find ways in which to ensure buy-in and

participation in these processes across the whole organization.

Action versus Talking

The final and most important element of effective systematic succession planning is the

ability to progress from the �talking� stage to the �action� stage. Based on the interview

and survey results, this would appear to be the area where Collège Boréal will have the

most work ahead of itself.

In the online survey questionnaire, Collège Boréal administrative staff respondents were

asked if they had ever undertaken a series of specific actions that relate to Succession

planning. Table 3.14 (a) � Prior systematic succession planning experience

# %

I discuss the issue of succession planning with individual employees. 12 60%

I address the issue of succession planning as part of performance appraisals. 9 45%

I address the issue of succession planning as part of the business planning process. 4 20%

I wait until positions become vacant to address the issue of succession planning. 3 15%

Table 3.14 (b) � Prior systematic succession planning experience

In the past I have undertaken the following: # %

A systematic approach to performance appraisal in order to clarify each individual�s current performance.

7 30%

The development of personalized training plans for each of my employees. 3 13%

The implementation of personalized training plans for each of my employees. 2 9%

The implementation of a process for ongoing discussion and feedback with each employee.

7 30%

The implementation of a tracking system for possible replacements by position. 2 9%

None of the above. 10 43%

Sample anecdotal comments provided for this question: • I feel I have no say, decisions are made at the corporate level, there is no stability • Not asked to look into this; seems to be decided higher up.

49

As Tables 3.14 (a) and (b) indicate, while it would appear that many administrative staff

members have discussed replacement need issues with individual employees; and a

small number of them have addressed the issue as part of the business planning

process, an important factor here is the large number (43%) of respondents who have

undertaken none of the actions presented in the survey questionnaire. The fact that at

least two members of the administrative staff team feel that succession planning and

management are not issues that they have a say in is also significant.

Although the response rate to the OCASA College Representative online survey was low

(22%), survey response seems to suggest that there is also much work to be done within

the Ontario college system as whole with respect to moving from �talking� to �acting� on

systematic succession planning needs.

Of the five college representatives that responded, 4 were from mid-size colleges (250 to

500 full-time employees) and one was from a large college (more than 750 full-time

employees). All five survey respondents indicated that their college does not have a

systematic succession planning and management program in place. Only one

respondent indicated that his or her college is currently working on the development of a

systematic succession planning and management program. All five respondents also

indicated that their college does not have in place a leadership development program.

Two of the five respondents indicated that their college has in place a mentorship

program, but that this is limited to faculty.

Responses provided through the interview process with both the Collège Boréal groups,

and the OCASA Executive Member group, seem to support the information obtained

through the online surveys. Although there appears to be fairly widespread knowledge

and understanding of the need for, and the requirements of, an effective succession

planning process, little appears to have been done across the system in the way of

concrete action.

As indicated in the responses of members of the Collège Boréal senior administrative

team, some strategic initiatives have been put in place. For example, efforts are

currently made to ensure that vacant positions are still necessary, and that they are still

aligned with the college�s strategic plan, before they are filled. One interviewee

50

indicated that when a position becomes vacant, the following questions are automatically

asked: �Does this position go with strategic direction? Does it need to be filled? Does it

need to be modified (SA2)?� Another interviewee stated that it is important to analyse a

department�s or a division�s overall plan before a vacant position is filled in order to

determine if �the job description is still pertinent [�] and if changes are needed in the

department where the position falls (SA1).�

Senior administrator response also demonstrated that a systematic process is already in

place at Collège Boréal for ensuring effective recruitment when the decision is made to

fill a vacant position. In order to ensure that the right people are hired for vacant

positions, an �evaluation grid is used during the interview process that lists all the

required skills and competencies (SA1).� and allows for a more objective selection

process. One administrator stated that orientation and training processes are in place

for new college employees, and that administrative staff are aware of the importance of

the �relationship that�s built between employee and supervisor (SA3).� Another spoke of

the need for a �good job profile, a clear mandate and the need for the proper

assessment and evaluation of candidates (SA4).�

Interviewee response also demonstrated that members of the senior administrative team

are aware of the ever increasing difficulties associated with the availability of

replacement workers. One interviewee told us that �there are huge challenges, and that

even with faculty; some positions are posted 2 or 3 times to get qualified, bilingual

personnel (SA2).� Another indicated that �there are highly skilled professional jobs that

we have not yet been able to fill. On 60 jobs, there are 3 that we haven�t been able to fill,

but they are highly skilled technical jobs, where professional accreditation is required

(SA3)�.

Senior administrators are therefore aware that the organization is already facing

difficulties in the more technical or specialized areas, and that �many baby-boomers are

retiring (SA1)�. Based on the fact that �colleges, universities and industries will be

looking for qualified, bilingual, seasoned employees (SA2)� senior administrators at

Collège Boréal are also aware that �retirement is not the biggest problem, it�s (also)

holding on to (SA2)� people that will become more and more challenging over the next

decade.

51

This awareness of the succession challenges facing colleges over the next few years

seems to also exist at the union executive level within Collège Boréal, and at the

OCASA executive level. One Boréal union leader stated that �several retirements are

coming up at Boréal and it is a concern how we will find great employees in the future

(UE1).� While another stated that �planning for the long term is important in order to

avoid situations where you lose key players and end up in crisis mode to replace them

(UE4).�

Within the same context, members of OCASA�s executive team stated that �the word

�crisis� comes to mind. There�s a huge volume of people entering that stage [retirement].

Many people exiting in that short of a time frame can cause a sort of crisis to fill those

positions (OC1).� This interviewee went on to state that, �there�s a need to hold on to organizational memory, the knowledge and skill set. There is a huge training need for professional development within the organizations. [�] The knowledge and skills met through training is good, but the organizational memory [what�s in the head of the people in those roles] can only be transferred from one person, to another. There needs to be a way to hold on to some of that. It has to be done before all those people leave, because it [a lot of people retiring at the same time] will happen before we�ve had a chance to do it [knowledge transfer] (OC1).�

However, even though there appears to be a broad awareness of the need for

systematic succession planning among interview participants, the level of preparedness

of Collège Boréal, and apparently of other colleges within the Ontario community college

system, is still not what it should be. If the first step is recognising the problem, then we

appear to have made that step. However, we also appear to have much work to do

before we reach our destination.

During the interview process, only two of the five Collège Boréal senior administrators

spoke of previous experience with systematic succession planning initiatives. In

general, Boréal senior administrator�s stated that current efforts within the organization

are not cohesive enough. As one of them pointed out, there is �nothing formal, not

systematic; we only do it on our own, not the whole institution (SA1).� The college

�encourages education, training, [and] professional development to renew energy�, but

52

the succession planning work that currently goes on is primarily informal. Systematic

succession planning needs to be done, right now. Because it�s informal now, sometimes

it�s not done (SA1).�

One union leader echoed this sentiment, stating that they �found it strange that this was

brought up at this time, because it�s never been dealt with here at the College. It�s

something that we�ve been pushing for a long time [�] and it would be nice if this

evolved into the creation of a true planning strategy (UE4).�

According to OCASA interviewees, systematic succession planning is not something that

appears to be at an advanced stage within their respective colleges either. Although

these individuals are not necessarily involved in senior management or human resource

departments within their colleges, and therefore not necessarily directly involved in any

program that is in place, if systematic succession planning is going on, they are not

aware of it. As one interviewee put it, �this is a very important project; a great study that is being done. I would like to know how we get this kind thing engrained in our organizations. I�ve seen so much about it and hear about it so much, but when it�s time to do it [succession planning], it seems that other things come along and takes its place, and then it doesn�t get done. I�ve not heard of anyone doing it and doing a good job of it (OC4).�

Another interviewee stated that although succession planning is on the radar, it is �not

yet well defined. Our college is at the early development stage. Everyone has been

tasked to develop subordinates, so it�s been left up to them. There have been quarterly

and annual status meetings, but it�s just starting (OC5).�

As is the case at Collège Boréal, it would appear that even though colleges have begun

discussing the need for systematic succession planning, initiatives that are currently in

place appear to be largely at the informal stage. �I�ve done a fair bit of reading and examining of best practices. I have been part of some discussions at college, mainly in my previous role; knowing that retirement wave, engaging people in discussions, but there is no formal plan in place right now at my college, so I haven�t had any experience with implementation (OC1).�

53

With respect to the succession related views held by the three key groups that were

interviewed, it is encouraging to note a certain level of alignment with the theories put

forward by Rothwell and other succession planning experts.

The good news for Collège Boréal is that the level of interest of its employees in

participating in succession planning initiatives, and of advancement into different levels

of administrative staff, technical or professional positions within the organization appears

to be fairly high. Survey response points to the fact that there are a number of Collège

Boréal employees who are interested in undertaking learning and career development

activities, and who are interested in internal career mobility.

However, knowing and being interested are not enough. What is needed now is an

inclusive and systematic call to action.

54

CHAPTER FOUR � COLLEGE BOREAL FRAMEWORK FOR SUCCESS

What does an effective succession planning framework for Collège Boréal look like? How do the concepts explored in this research project inform our succession planning framework?

Conclusions

The main objective of this research project was to provide a potential framework for

systematic succession planning at Collège Boréal. Before being able to provide such a

framework, a number of questions needed to be answered.

It was first necessary to develop an understanding of the concept of power as it relates

to the employer-employee relationship; and of the concepts of workplace learning and

organizational culture. As is pointed out in the literature, the nature of the employer-

employee relationship in a capital/wage society provides for an inherent imbalance of

power. Within the context of succession planning initiatives, organizational leaders must

maintain a conscious awareness of this fact and strive to put in place practices and

policies that seek to minimize the potential impact of this power imbalance. In order to

be successful, they must develop succession planning policies and practices that are as

systematic, consistent, objective, and equitable as possible.

Another way for organizational leaders to provide a more level playing field with respect

to the balance of power within their institutions, is to avoid ascribing to the human capital

theory and considering their employees as mere �assets�. Instead, they must adopt the

approaches and practices that are defined within the concept of the �learning

organization�. Within such an approach the needs of individuals are considered to be as

important as the needs of the organization itself. Employees who feel valued, and who

are able to foresee opportunities for growth and advancement within an organization, are

much more likely to remain loyal to that organization. Organizations that develop a

reputation for treating employees in this way are much more likely to attract, and to

retain talent.

As the literature indicates, another element that is critical to systematic succession

planning is organizational culture. Based on the definition of organizational culture as

55

�the collective beliefs that in turn shape behaviour,�62 it becomes important for

organizational leaders to realise that the mere development of policy statements or

systematic succession programs will not be enough to ensure the success of an

organization. If the current lived culture of the organization is not one in which

individuals feel that they are valued; or one where they believe that there is a potential

for internal advancement, then any succession planning initiatives that are put in place

are very likely to fail. Employees need to not only know that a systematic succession

plan exists, but they also need to believe in that plan. They not only need to know that

learning is encouraged, but they also need to believe that any learning they undertake

will be valued by the organization.

With respect to the current lived culture of the organization, the online survey and

interview results of this project do provide some insight. However, it must be noted that

the number of respondents was not as high as one would have hoped. Since successful

systematic succession programs must take into account the specific needs and culture of the organization they are designed for, this information becomes critical to

the development of an effective plan for Collège Boréal. It would therefore be my

recommendation that the insight provided within this project be considered as a general

indication of the current lived organizational culture; but that those responsible for the

development of a systematic succession planning program for Collège Boréal should

undertake efforts to validate certain key points that have been brought to light.

Based on the online survey and interview results, it is very encouraging to note that

Collège Boréal seems to be a place where the concepts of workplace learning and

systematic succession planning are understood and valued. Analysis of the online

survey results also indicates that many employees at Collège Boréal are interested in

career development and advancement. As one employee put it:

�I know there is a need and such an important component of the organization cannot be left to chance. The College has a strategic plan which takes into account the vision, mission, values and strategic results. (�) Everything in our strategic plan is brought to life by our employees who are mandated to achieve specific strategic results. All of our employees need to be competent, trained and prepared to fill the present and future needs of the college therefore

62 Jarvis (2003), p. 1.

56

a systematic succession plan framework is needed to make sure that we have the qualified, competent human resources to advance the college�s strategic plan (SA3).�

The will is there�the college must now put in place the framework that will allow

members of the organization, and in the process the organization itself, to reach their full

potential.

Based on the results of the literature review; based on our analysis of the current trends

and theories informing the practice of systematic succession planning in the 21st century;

and based on the results of the online survey and interview processes, it is now possible

to propose a framework for effective systematic succession planning at Collège Boréal.

According to Sobol, Harkins and Conley, �Most organizations recognize the need for

succession planning but are unable to follow through on creating a system that will bring

long-term results.�63 The following framework proposal and recommendations are

designed to assist Collège Boréal in succeeding where many other organizations have

failed in the past. The goal of this framework is to allow Collège Boréal to effectively

progress from �talking� to �action�.

63 Sobol, Harkins and Conley (2007), p. xv.

57

Systematic Succession Planning Framework

Diagram 4.1

Within the succession planning framework that I propose for Collège Boréal, there are

four main pillars:

1. Organizational culture,

2. Performance evaluation,

3. Gap analysis, and

4. Development and retention.

These four pillars rest on a base that is composed of the organization�s strategic plan,

and are held together by the communication strategy that must be put in place to ensure

inclusion, transparency and buy-in throughout the whole process.

Organizational culture

As previously stated, culture is an active, living phenomenon that has a profound impact

on all human interactions. Within an organizational context, culture is essentially the

collection of beliefs and attitudes that are held by members of the organization and that

profoundly affect their patterns of behaviour. If the existing culture of an organization is

not one that incorporates the principles of a learning organization, there may be a need

58

to bring about a certain amount of cultural change before successful systematic

succession planning can become possible.

In the case of Collège Boréal, the information provided in this project points to the fact

that there are already many important elements in place that will allow the organization

to implement an effective systematic succession plan. Learning and career

development appear to be goals that are broadly valued within the organization.

However, it would seem that there is still more work to be done in order to make of

Collège Boréal a place where most employees feel that internal advancement is

supported and encouraged. Those responsible for developing a systematic succession

planning program for Collège Boréal may find it worthwhile to explore further, and on a

larger scale, the current lived culture of the organization. The goals of this exploration

would be to determine how closely the lived culture of the organization is aligned with

the stated culture of its mission and vision statements, as well as to ensure that the

succession planning program they ultimately develop truly meets the needs of the

organization as whole, and those of the individuals within.

Performance evaluation

As indicated in the literature review, before organizations can look to their future needs,

they must first develop a clear understanding of their current context. They must know

who their employees are, what their strengths and weaknesses are, and what their short,

medium and long-term career goals are. One of the questions asked of Collège Boréal

employees in the online survey was whether or not they had ever participated in learning

or professional development opportunities completely independently from the college.

57% of administrative staff respondents, 54% of support staff respondents, and 78% of

faculty respondents answered yes to this question. This suggests that the organization

may be completely unaware of learning and capacity development that has been going

on within its own walls. It also suggests that the organization may be unaware of the

needs of its employees, or of which individuals are interested in pursuing learning or

career development activities. Without a mechanism to ensure the maintenance of

accurate records on all employees, it is not a given that the organization will be aware on

an ongoing basis of its existing intellectual capacity or potential.

59

Although it is beyond the scope of this project to have analysed specific succession

planning tools that are available on the market, it would be my recommendation that

those responsible for developing a systematic succession plan for the college look into

this. Robert Fulmer tells us that most organizations today rely on Web-based

succession planning systems. These are easily accessed from anyone�s personal

computer providing accurate and up to date information about employees and their

professional development plans. By running the process online and integrating various

software packages, best practice partners have been able to ensure continuous access

to data and to encourage employees to take ownership of their own development plans

through their own �desktops.�64

In order to develop an understanding of their current capacity or context, organizations

must implement effective performance evaluation systems. Although it is important to

ensure that all employees have the required credentials and skill sets to meet the

requirements of their specific position, it is also important to monitor their performance

and ensure their continued success in that position.

In order to be able to accurately predict an employees performance in future positions as

part of a systematic succession planning process; and in order to objectively, and

effectively, measure that employees performance in his or her current position, what is

required is role clarity and the establishment of clear and objective performance

standards. As one senior administrator put it during the interview process, we need to

have well identified expectations, objectives, competencies and educational

requirements for all positions within the organization. People need to be clearly aware of

the benchmarks against which they will measured and evaluated for the purposes of

career development, continued effective performance, and in certain cases

advancement. They need to know, on an ongoing basis, which competencies they need

to improve, and which competencies they need to develop for their own and for the

organization�s ongoing success.

As indicated in the Introduction, this research project represents one of many initiatives

that contribute to an overall strategy for the ongoing success of Collège Boréal. Another

strategic initiative that forms part of this overall strategy is a research project that is

64 Fulmer (2004), p. 148.

60

currently being undertaken by the college�s Vice-President � Corporate Services and

that is aimed at developing a stronger performance management system for Collège

Boréal. According to her preliminary research, one of the key components of an

effective performance management system is �Personal Development Planning� which

includes the actions that each person expects to do to develop their knowledge base,

increase skills and capabilities and improve their performance. There are two important

elements in this activity: learning and development. Employees should not only plan to

improve their personal and professional capabilities within this process but also should

look at how they can move upwards within the organization.65 Her research will

therefore be timely as it will further delve into the methods that will best allow ongoing

organizational, as well individual growth and development, and thus tie in nicely to the

goals of systematic succession planning.

Gap analysis

Once the college has developed an accurate inventory of its current context and

capacity, it will need to compare this to both its current requirements, and to its future

requirements. As stated in the literature review, this will require the identification of key

positions that exist, or will be created, at all levels of the organization.

For example, it may be that Collège Boréal offers a specialized postsecondary program

that is in very high demand and is considered to be one of the flagships of the

organization. It is possible that one of the faculty positions within this program is very

specialized and requires that the incumbent hold a doctoral degree in order to teach in

the program. If the college does not have an appropriately qualified faculty member, it

will be unable to offer this critical program. In this case, this specialized faculty position

becomes a key position for the organization. Strategically, the college needs to have a

firm handle on how many employees have the credentials required to fill the position�it

needs to know how easy it would be to find someone to fill the position should it become

vacant�and it needs to know how many existing employees have demonstrated an

interest in pursuing studies or career development activities that would adequately

prepare them to step into the position should the need arise.

65 Armstrong (2000), p. 13, p. 158-159.

61

This is one very specific example of the gap analysis that needs to be undertaken for all

key positions within the college�whether they are at the administrative staff, support

staff or faculty level. In order to ensure the implementation of an effective systematic

succession program, Collège Boréal will first need to develop the capacity to continually

monitor the key positions, both current and future, that are critical to its ongoing success.

Development and retention

If an organization wants to retain its employees and to help them grow and develop in

line with its strategic planning process, it needs to provide the proper resources. For

Collège Boréal, the results of the online surveys provide a number of indications as to

what development resources may be required by its workforce. Although those

responsible for developing a systematic succession planning program at Collège Boréal

will need to complete a more in depth needs analysis before proceeding, the following

are some preliminary recommendations that I would make, based on the results of the

online surveys conducted for this research project.

• Collège Boréal should strive to provide access to activities that are perceived to

be worth the investment for individuals (for example, activities that lead to formal

credentials or formal recognition), that are offered in an intensive or flexible

format, and that are made available during work hours whenever possible.

• Based on the apparent �current level� experience of its administrative staff,

Collège Boréal may need to consider an investment in coaching, rather than

mentoring activities, for certain key positions within this group. Since mentoring

requires an interactive relationship that generally involves the pairing of skilled or

experienced employees with less skilled or less experienced employees, I would

suggest that it may not be an appropriate tool for capacity development in the

administrative staff group at this time. Although the insight provided in the online

survey responses needs to be validated, it does suggest a lack of experienced

administrative staff employees who could act as mentors at this time. Coaching

may be a more appropriate form of career and capacity development for the time

being, as it generally involves soliciting help from outside the organization by way

of a contractual relationship. An example would be to assign a retired academic

vice-president to provide training and assistance to the current academic vice-

62

president. Another example would be to hire a professional executive coach to

provide process training to new administrative staff members.

• Collège Boréal should explore further the concept of �internal job rotation� or

�stretch assignment� training activities. Survey results demonstrate that �job

rotation� is a concept of interest to some employees. Based on comments made

by at least one union leader, it is a concept that the union executive may be

willing to explore within the confines of the collective agreement. The idea would

be to provide opportunities for specific employees to undertake assignments that

go beyond their current job description, and possibly beyond their current job

classification, with the intention of allowing them to develop specific technical

skills. This may be one way for the organization to limit the number of positions

where there is no �back up� talent available in the case of the temporary, or

permanent, job exit of a very specialized employee.

• Collège Boréal should put in place a process that allows for the recognition of

informal learning. As is suggested by John Garrick, enhanced understandings of

informal learning, and the recognition of prior learning that individuals may have

undertaken in informal settings, leads in the longer term towards better work lives

and, in the shorter term, allows employees to develop a sense of value for the

work and the learning that they have undertaken throughout their careers.66

These are just some examples of learning and career development activities that could

be tailored to meet the specific needs of Collège Boréal, based on its current culture and

capacity. The key is to ensure that the development tools and programs that are put in

place meet both the needs of employees, and those of the organization itself.

The glue that holds it all together

�Plans succeed if all elements work together smoothly and without conflict, but in the real world, conflict is ever present. Your odds are greater for success if you have a clear understanding of what is expected to happen and when and if functions are outlined in such a manner that each individual understands what to do, when to do it, the resources allocated and how this role fits into the big picture.�67

66 Garrick (1998), p. xi. 67 Wolfe (1996), p. 39.

63

Left on their own, or addressed in silos, these pillars of effective and equitable

systematic succession planning are doomed to play out in a �hit and miss� fashion. In

such a case, the organization will continue to be successful in some areas, and

unsuccessful in others. Employees will continue to be interested in advancement and

career development, but they will also continue to feel that the organization they work in

is not the place where such activities are encouraged.

In order to be truly successful, systematic succession planning initiatives must be

directly intertwined with the college�s strategic plan. They must remain top of mind for all

members of the organization on an ongoing basis. They must be well communicated

and well understood. And they must be developed and monitored with the input and

participation of members at all levels of the organization.

�people who are attempting to grow, to become more comfortable with change, to develop leadership skills � these men and women are typically driven by a sense that they are doing what is right for themselves, their families, and their organizations. That sense of purpose spurs them on and inspires them during rough periods. And those people at the top of enterprises today who encourage others to leap into the future, who help them overcome natural fears, and who thus expand the leadership capacity in their organizations � these people provide a profoundly important service for the entire human community.�68

Based on the survey and interview results it is apparent that there are already many

individuals, at all levels of the organization, who are attempting to grow, who are

attempting to become more comfortable with change, and who are attempting to develop

their skills at various levels. Survey and interview results also point to a willingness on

the part of administrative staff and union leaders to take advantage of the committees

and processes that are already available, such as the College Employment Stability

Committee�s, in order to work together on identifying needs and obtaining buy-in for

systematic succession planning initiatives within the organization. It will be important

that the succession planning process that is eventually put in place include concrete

68 Kotter (1996), p. 186.

64

steps to ensure that the role of these committees and processes be maximised in an

ongoing and consistent fashion.

It is also apparent that the people at the top of the organization have a keen interest in

encouraging others to leap into the future. This is evidenced in the comments made by

senior administrators during the interview process; it is evidenced by way of the support

that was provided to me within the context of this research project; and, as indicated in

the Introduction, it is even evidenced within the organization�s current strategic plan.

As the pace of change continues to tax our abilities to deal with the challenges that

organizations now face,

�failure to rethink our enterprises will leave us little relief from our current predicaments: rising turbulence causing rising stress; increasing disconnection and internal competitiveness; people working harder, rather than learning how to work smarter; and increasingly intractable problems beyond the reach of any individual or organization. If you are an organizational leader, someone at any level concerned deeply about these challenges, then you face a daunting task. In effect, you are engaged in a great venture of exploration, risk, discovery, and change, without any comprehensive maps for guidance.�69

It would appear then that the challenge for Collège Boréal lies not in knowing what

needs to be done, but rather in developing the comprehensive map that will lead it into

action and allow it to successfully meet its current, as well as its future talent needs.

With many of the required elements already at its disposal, the college must now take

the concrete steps that will help it to move successfully forward.

Let the journey begin!

69 Senge (1990), p. 3.

65

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69

Appendix A � Letter of consent � Collège Boréal

July 30th, 2007

M. Denis Hubert

Président

Collège Boréal

21 boulevard Lasalle

Sudbury ON P3A 6B1

M. Hubert,

I am writing you this letter in the hopes of obtaining your consent to conduct a survey of

employees at Collège Boréal in the fall of 2007. The survey relates to a research project I am

working on as a requirement of the Masters of Arts � Integrated Studies program at Athabasca

University. I am currently enrolled as a graduate student in this program. I have included for your

information a project description, as well as a copy of the survey questionnaires.

My intent is to administer the survey in two parts. The first part will consist of an online survey

that will be administered to all Collège Boréal employees using the college�s own online survey

tool. The second part will consist of face to face interviews that will be held with the colleges 6

senior administrators, as well as other key administrators as identified in discussions with the

senior team.

Recognising that Collège Boréal is a francophone institution, I am requesting permission to

administer the survey in English as my program of study with Athabasca University is conducted

in that language. As such, all survey tools and questionnaires, as well as the results of my

research project will need to be submitted in English for evaluation. Also, I wish to conduct the

survey in this language in order to remain true to the responses submitted by survey participants.

In doing so, I hope to avoid any interpretation errors that may potentially occur during the

translation process.

Participation in this study will be completely voluntary. Prospective participants will not be

compelled to take part in the survey process. If an individual does elect to take part, he or she

will be free to withdraw from the survey process at any time with no prejudice. All responses

provided during the course of the survey or interview processes will remain confidential.

Information gathered during the survey process will be included in the final report as statistical

70

data or as anonymous anecdotal information. A copy of the final report will be housed at

Athabasca University and will be publicly accessible.

If you have any questions regarding my research project or the proposed survey and interview

processes, please do not hesitate to contact me. If you agree to provide consent for the conduct

of the survey and interview processes, please sign this letter and return it to me on or before

September 21st 2007.

Respectfully submitted,

Laurie Rancourt

By signing this letter I hereby grant permission to Laurie Rancourt to undertake the proposed

survey and interview processes in the fall of 2007.

Name : Denis Hubert

Signature: _____________________________________________

Date: _________________________________________

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Appendix B � Letter of consent - OCASA

July 30th, 2007

Mr. Jim Whiteway

President

Ontario College Administrative Staff Association

Dear Mr. Whiteway,

I am writing you this letter in the hopes of obtaining your consent to conduct a survey of certain

OCASA members in the fall of 2007. The survey relates to a research project I am working on as

a requirement of the Masters of Arts � Integrated Studies program at Athabasca University. I am

currently enrolled as a graduate student in this program. I have included for your information a

project description, as well as a copy of the proposed survey questionnaire.

My intent is to administer the survey using an online survey tool, and targeting specifically

OCASA college representatives. I would request that OCASA forward to each college

representative a copy of an e-mail describing the project and survey process, and inviting

participation in the online survey process. In addition to the online survey, I would also like to

conduct a more in-depth telephone interview with each of the following individuals: yourself as

the OCASA President, OCASA�s Executive Director and the Chair of the OCASA Education

Committee.

Participation in this study will be completely voluntary. Prospective participants will not be

compelled to take part in the survey process. If an individual does elect to take part, he or she

will be free to withdraw from the survey process at any time with no prejudice. All responses

provided during the course of the survey or interview processes will remain confidential.

Information gathered during the survey process will be included in the final report as statistical

data or as anonymous anecdotal information. A copy of the final report will be housed at

Athabasca University and will be publicly accessible.

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If you have any questions regarding my research project or the proposed survey and interview

processes, I would invite you to contact me by phone at 705-524-2452, or by e-mail at

laracourt@borealc.on.ca. If you agree to provide consent for the conduct of the survey and

interview processes, please sign this letter and return it to me on or before September 21st 2007.

Respectfully submitted,

Laurie Rancourt

By signing this letter I hereby grant permission to Laurie Rancourt to undertake the proposed

survey and interview processes in the fall of 2007.

Name : Jim Whiteway

Signature: _____________________________________________

Date: _____________________________________________

73

Appendix C � Update on OCASA permission

Update: OCASA Letter of permission On September 21st 2007, OCASA�s Executive Director provided me with a verbal response to my

request for signature on the letter of permission (Appendix J in the Ethics Review application).

She advised me that OCASA College Representatives� contact information is public information

and is posted on OCASA�s website (www.ocasa.on.ca).

Although they support the research I am undertaking, they prefer that I send the e-mail request

for participation in the On-line survey directly to OCASA college representatives using the e-mail

address that is set up for such purposes on the OCASA website.

For the telephone interviews with OCASA executive members, once again it was preferred that I

contact each executive member directly, using the contact information on the website, in order to

obtain directly their consent to participate.

Respectfully submitted,

Laurie Rancourt

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Appendix D � Introductory script for online surveys

Research project conducted within the context of the Athabasca University Master's of Arts -

Integrated Studies Program

Researcher: Laurie Rancourt

Time required to complete the survey is approximately 15 to 20 minutes.

This research project is based on the following questions:

What does an effective succession planning framework consist of? What impact do workplace

learning, power structures and organizational culture have on leadership development and

renewal within organizations? These are the questions that will be central to the discussions I put

forward in this project. The answers obtained will then be used to identify the ideal intersection of

workplace learning, organizational culture, employee involvement and union involvement that

leads to effective and equitable succession planning.

GOALS OF THE SURVEY

The primary goal of this survey is to gather information related to the views that are held by

Collège Boréal employees with respect to workplace learning and succession planning.

The secondary goals are :

To determine Collège Boréal�s profile with respect to employee demographics and retirement

potential over the next five to ten years.

To determine the level of interest of Collège Boréal employees in participating in succession

planning initiatives and of advancement into different levels of management, technical or

professional positions within the organization.

To kick-start dialogue aimed at informing Collège Boréal�s workplace learning and succession

planning processes.

CONSENT and CONFIDENTIALITY:

Participation in this survey process is entirely voluntary.

Use of this online survey tool ensures anonymity and confidentiality. The survey tool administrator

and the researcher are the only two individuals who have access to the survey results. Access to

this information is password protected. Survey results are compiled electronically by the survey

tool and presented to the researcher in a compiled version without any identification connecting

the person filling in the survey with the responses they provided. In other words, no one will know

what you as an individual said in answer to any question in the survey.

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All information provided within the context of this research project will be held confidential, except

when legislation or a profession code of conduct requires that it be reported. For the purposes of

the research essay, all demographic and personal information that is provided within the context

of the survey questions will remain confidential and will be presented only as generic statistical

data.

Comments provided in the anecdotal questions may be cited verbatim in the research essay

however, this will be done anonymously.

DATA STORAGE AND DESTRUCTION:

During the survey process, data will be stored electronically in the survey tool data base. Access

to this data base is limited to the survey tool administrator and the researcher. A user ID and

password are required for access to the data base. Once the survey process has been

completed, the data is automatically compiled by the survey tool and then printed by the

researcher. The electronic data will remain in the survey tool data base until February 28th, 2008,

at which time the electronic data base will be erased by the survey tool administrator. The

compiled data in print form will be stored in a locked file cabinet in the researcher's home office.

This print data will be destroyed by shredding no later than February 28th, 2009.

CONTACT INFORMATION:

If you have any questions regarding this research project, or you experience any difficulty in

completing the survey, please contact me by phone at 705-524-2452, or by e-mail at

larancourt@borealc.on.ca

You may alternately contact my Research supervisor, Ursule Critoph, by e-mail at

ucritoph@telusplanet.net

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Appendix E � Online survey questionnaire � Boréal Administrative Staff

1. I have read and understood the information contained in this document, and I agree to

participate in the study, on the understanding that I may refuse to answer certain questions, and I may withdraw at any time during the data collection period without prejudice. (answer mandatory) I agree to participate in this study □ I do not agree to participate in this study □

2. What is your age range? 20 to 39 yrs old □ 40 to 49 yrs old □ 50 to 54 yrs old □ 55 to 60 yrs old □ 60 years or older □

3. What is your gender?

Male □ Female □

4. For how many years have you been employed in the Ontario college system?

5. For how many years have you been employed at Collège Boréal?

6. How many different positions have you held since you began your employment in the

Ontario college system?

7. How many different positions have you held since you began your employment with

Collège Boréal?

8. For how many years have you held your current position?

9. Please indicate the level at which your current management position is classified within the administrative job classification system. 15 or higher □ 12 to 14 □ 9 to 11 □ Lower than 9 □ I�m not sure □

77

10. Please rate your level of satisfaction with your current position on a scale of 1 to 5 (1

meaning not at all satisfied and 5 meaning extremely satisfied).

11. Please read the following statements and choose all that apply to you. (check all that

apply) My current position is very challenging. □ My current position is not very challenging. □ I enjoy my current position. □ I do not enjoy my current position. □ My current position provides me with opportunities for personal and professional growth. □ My work environment is healthy and conducive to good job performance. □ I would be interested in advancing into a more challenging position. □ I am planning a career move. □ Other � please add any other comments.

12. Please indicate the most important factor that would encourage you to change positions

and move along a career path. Salary □ New challenges □ Work climate □ Location □ Possibility of advancement □ Other, please specify�

13. Please indicate the second most important factor that would encourage you to change

positions and move along a career path. Salary □ New challenges □ Work climate □ Location □ Possibility of advancement □ Other, please specify�

14. In how many years do you expect to retire?

15. Prior to your current position, what type of position did you hold?

Management in a college □ Faculty in a college □ Support staff in a college □ I worked in private industry □ I worked in a public institution □ Other, please specify�.

78

16. During your employment at Collège Boréal, have you ever been asked if you are interested in learning opportunities? Yes □ No □

17. During your employment at Collège Boréal, have you ever been asked if you are

interested in advancement? Yes □ No □

18. Would you feel comfortable approaching human resources in order to request

assistance in paying tuition fees related to training or education you wished to pursue? Yes □ No □

19. Would you feel comfortable approaching your supervisor in order to request assistance

in paying tuition fees related to training or education you wished to pursue? Yes □ No □

20. Would you feel comfortable approaching human resources in order to discuss the

possibility of advancement or gaining access to learning opportunities within the college? Yes □ No □

21. Would you feel comfortable approaching your supervisor in order to discuss the

possibility of advancement or gaining access to learning opportunities within the college? Yes □ No □

22. During your employment with Collège Boréal, have you ever requested assistance or

advice in planning your career advancement options? Yes □ No □

23. During your employment with Collège Boréal, have you taken advantage of career

planning or job orientation services that have been available to you? Yes □ No □ None have been available to me □

24. If you answered yes to question #23 above, please rate your level of satisfaction with the

services provided on a scale of 1 to 5 (1 meaning not at all satisfied and 5 meaning extremely satisfied).

79

25. During your employment at Collège Boréal have you ever requested access to professional development support (monetary or other) or training opportunities? Yes □ No □

26. During your employment with Collège Boréal have you ever obtained development

support (monetary or other) or accessed learning opportunities that have been available to you? Yes □ No □ None have been available to me □

27. If you answered yes to question #26 above, please rate your level of satisfaction with the

services provided on a scale of 1 to 5 (1 meaning not at all satisfied and 5 meaning extremely satisfied).

28. During your employment with Collège Boréal have you participated in learning or

professional development opportunities completely independently from the college? Yes □ No □

29. What is your interest in internal career mobility within Collège Boréal?

I am interested in internal career mobility at this time. □ I will be interested in internal career mobility in 1 to 2 years. □ I will be interested in internal career mobility in 3 to 4 years. □ I will be interested in internal career mobility in 5 to 6 years. □ I will be interested in internal career mobility in 7 to 8 years. □ I will be interested in internal career mobility in 9 to 10 years. □ I am not interested in career mobility. □ Other � please add any other comments.

30. Do you feel that Collège Boréal is a place where internal advancement is encouraged?

Yes □ No □

31. What types of training or support do you feel you would need in order to pursue the

career development options that interest you? Please check all that apply. Leadership development training □ Human resource management training □ Labour relations training □ Conflict resolution training □ Financial or budget training □ Job specific training (training within a specialised area of expertise) □ Career counselling services (services that may help to plan a career path) □ Aptitude testing or help in identifying career interests □

80

DEFINITIONS for the following question: Coaching is a form of training that is "...spur of the moment and driven by moment-by-moment efforts to help others perform (Rothwell 2005)." It can take different forms, but generally involves a contractual relationship. "An example would be to assign the organization's retired CEO to the current CEO as a coach. The former CEO clearly understands what the job entails and can provide guidance accordingly (Rothwell 2005)." Another example would be to hire a professional executive coach to provide process training to a new manager. A person's immediate supervisor can also act as a coach in order to help his or her employees build specific skills. Mentoring is a more informal process of teaching others. It is an interactive relationship between two or more individuals. It generally involves a deliberate pairing of skilled or experienced employees with less skilled or less experienced employees. Mentoring implies something different than coaching. Mentoring does not involve a contractual relationship. Mentors are not hired to do a job. Also, "�by definition, mentors are not usually the immediate organizational supervisors of those they mentor, since a reporting relationship may interfere with the objectivity essential to a true helping relationship. In short, a mentor cannot stand to gain or lose by his or her mentee, but a coach can. In fact, just as athletic coaches are self-interested in how well their players perform, so are the immediate supervisors (Rothwell 2005).�

32. What activities or resources do you feel that your organization should put at your disposal in order to facilitate your career development and progression? Please check all that apply. Classroom training □ Online training courses □ Job rotation opportunities □ One or two-day workshops □ Coaching □ Mentoring □ Access to formal education (ie: Baccalaureat, Master�s studies, etc.) □ Other, please specify�

33. Which of the following potential barriers to participation in career development activities

apply to you? Please check all that apply. Financial constraints □ Time constraints □ Family commitments/constraints □ Lack of prerequisites for opportunities of interest □ Lack of awareness of available opportunities □ Lack of interest □ Lack of motivation □ Health issues □ Lack of access to opportunities □ Other, please specify�

The previous questions dealt with your personal employment history and interest in career mobility. The following questions will deal specifically with your approach to succession planning and management as a manager at Collège Boréal. The goal of these questions is to assess the

81

current status of Succession Planning & Management in our organization. Succession planning and management (SP & M) may be understood as "�any effort designed to ensure the continued effective performance of an organization, division, department or work group by making provision for the development, replacement, and strategic application of key people over time (Rothwell 2005)." It may be systematic or informal. In systematic SP & M, an organization's managers attempt to prepare successors for key positions; in informal succession planning, no effort is made to prepare successors - and, as vacancies occur in key positions, managers respond to the crises at that time.

34. How many vacant positions do you foresee in your sector, due to retirement or other potential job exits, over the next year?

35. How many vacant positions do you foresee in your sector, due to retirement or other

potential job exits, over the two to five years?

36. How many vacant positions do you foresee in your sector, due to retirement or other

potential job exits, over the next five to 10 years?

37. What regular efforts, if any, do you make to identify possible replacements for people or

positions in your part of the organization? I discuss the issue with individual employees. □ I address this issue as part of performance appraisals. □ I address this issue as part of the business planning process. □ I wait until a position becomes vacant. □ Other, please specify�

38. With respect to succession planning and management, which of the following have you

undertaken? (check all that apply) A systematic approach to performance appraisal in order to clarify each individual�s current performance. □ The development of personalized training plans for each of my employees. □ The implementation of personalized training plans for each of my employees. □ The implementation of a process for ongoing discussion and feedback with each employee. □ The implementation of a tracking system for possible replacements by position. □ None of the above. □ Other � please add any other comments.

39. What special issues, if any, do you believe that a systematic succession planning and

management program should address?

40. Other comments?

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41. Thank you for taking the time to complete this survey. Your time and effort are greatly

appreciated. As previously indicated, your answers will remain strictly anonymous and will be included in the final results of this research project as statistical or anonymous anecdotal data. Before exiting the survey, please indicate your continued acceptance to participate in the research by confirming the following: I have read and understood the information contained in this document, and I agree to participate in the study. (answer mandatory) I agree to participate in this study □ I do not agree to participate in this study □

Have a nice day!

83

Appendix F � Online survey questionnaire � Boréal Support Staff

1. I have read and understood the information contained in this document, and I agree to

participate in the study, on the understanding that I may refuse to answer certain questions, and I may withdraw at any time during the data collection period without prejudice. (answer mandatory) I agree to participate in this study □ I do not agree to participate in this study □

2. What is your age range? 20 to 39 yrs old □ 40 to 49 yrs old □ 50 to 54 yrs old □ 55 to 60 yrs old □ 60 years or older □

3. What is your gender?

Male □ Female □

4. For how many years have you been employed in the Ontario college system?

5. For how many years have you been employed at Collège Boréal?

6. Please indicate the classification level of the support staff position you currently hold.

Classification A □ Classification B □ Classification C □ Classification D □ Classification E □ Classification F □ Classification G □ Classification H □ Classification I □ Classification J □ Not sure □

84

7. How long have you held this position?

11 years or more □ 5 to 10 years □ 2 to 4 years □ Less than 2 years □

8. Does your current position require any specialized technical training or experience?

Yes □ No □

9. To your knowledge, how many other Collège Boréal employees currently have the

training and experience required to replace you if you were to fall ill or suddenly become unable to perform your duties?

10. Please rate your level of satisfaction with your current position on a scale of 1 to 5 (1

meaning not at all satisfied and 5 meaning extremely satisfied).

11. Please read the following statements and choose all that apply to you. (check all that

apply) My current position is very challenging. □ My current position is not very challenging. □ I enjoy my current position. □ I do not enjoy my current position. □ My current position provides me with opportunities for personal and professional growth. □ My work environment is healthy and conducive to good job performance. □ I would be interested in advancing into a more challenging position. □ I am planning a career move. □ Other � please add any other comments.

12. Please indicate the most important factor that would encourage you to change positions

and move along a career path. Salary □ New challenges □ Work climate □ Location □ Possibility of advancement □ Other, please specify�

85

13. Please indicate the second most important factor that would encourage you to change

positions and move along a career path. Salary □ New challenges □ Work climate □ Location □ Possibility of advancement □ Other, please specify�

14. In how many years do you expect to retire?

15. Prior to your current position, what type of position did you hold?

Management in a college □ Faculty in a college □ Support staff in a college □ I worked in private industry □ I worked in a public institution □ Other, please specify�.

16. During your employment at Collège Boréal, have you ever been asked if you are

interested in learning opportunities? Yes □ No □

17. During your employment at Collège Boréal, have you ever been asked if you are

interested in advancement? Yes □ No □

18. During your employment with Collège Boréal, have you taken advantage of learning

opportunities that have been offered to you or become available to you? Yes □ No □ None have been available to me □

19. Would you feel comfortable approaching human resources in order to request

assistance in paying tuition fees related to training or education you wished to pursue? Yes □ No □

20. Would you feel comfortable approaching your supervisor in order to request assistance

in paying tuition fees related to training or education you wished to pursue? Yes □ No □

86

21. Would you feel comfortable approaching human resources in order to discuss the possibility of advancement or gaining access to learning opportunities within the college? Yes □ No □

22. Would you feel comfortable approaching your supervisor in order to discuss the

possibility of advancement or gaining access to learning opportunities within the college? Yes □ No □

23. During your employment with Collège Boréal, have you ever requested assistance or

advice in planning your career advancement options? Yes □ No □

24. During your employment with Collège Boréal, have you taken advantage of career

planning or job orientation services that have been available to you? Yes □ No □ None have been available to me □

25. If you answered yes to question #24 above, please rate your level of satisfaction with the

services provided on a scale of 1 to 5 (1 meaning not at all satisfied and 5 meaning extremely satisfied).

26. During your employment at Collège Boréal have you ever requested access to professional development support (monetary or other) or training opportunities? Yes □ No □

27. During your employment with Collège Boréal have you ever obtained development

support (monetary or other) or accessed learning opportunities that have been available to you? Yes □ No □ None have been available to me □

28. If you answered yes to question #27 above, please rate your level of satisfaction with the

services provided on a scale of 1 to 5 (1 meaning not at all satisfied and 5 meaning extremely satisfied).

29. During your employment with Collège Boréal have you participated in learning or

professional development opportunities completely independently from the college? Yes □ No □

87

30. What is your interest in internal career mobility within Collège Boréal?

I am interested in internal career mobility at this time. □ I will be interested in internal career mobility in 1 to 2 years. □ I will be interested in internal career mobility in 3 to 4 years. □ I will be interested in internal career mobility in 5 to 6 years. □ I will be interested in internal career mobility in 7 to 8 years. □ I will be interested in internal career mobility in 9 to 10 years. □ I am not interested in career mobility. □ Other � please add any other comments.

31. Do you feel that Collège Boréal is a place where internal advancement is encouraged?

Yes □ No □

32. What types of training or support do you feel you would need in order to pursue the

career development options that interest you? Please check all that apply. Leadership development training □ Human resource management training □ Labour relations training □ Conflict resolution training □ Financial or budget training □ Job specific training (training within a specialised area of expertise) □ Training related to pedagogy □ Career counselling services (services that may help to plan a career path) □ Aptitude testing or help in identifying career interests □ DEFINITIONS for the following question: Coaching is a form of training that is "...spur of the moment and driven by moment-by-moment efforts to help others perform (Rothwell 2005)." It can take different forms, but generally involves a contractual relationship. "An example would be to assign the organization's retired CEO to the current CEO as a coach. The former CEO clearly understands what the job entails and can provide guidance accordingly (Rothwell 2005)." Another example would be to hire a professional executive coach to provide process training to a new manager. A person's immediate supervisor can also act as a coach in order to help his or her employees build specific skills. Mentoring is a more informal process of teaching others. It is an interactive relationship between two or more individuals. It generally involves a deliberate pairing of skilled or experienced employees with less skilled or less experienced employees. Mentoring implies something different than coaching. Mentoring does not involve a contractual relationship. Mentors are not hired to do a job. Also, "�by definition, mentors are not usually the immediate organizational supervisors of those they mentor, since a reporting relationship may interfere with the objectivity essential to a true helping relationship. In short, a mentor cannot stand to gain or lose by his or her mentee, but a coach can. In fact, just as athletic coaches are self-interested in how well their players perform, so are the immediate supervisors (Rothwell 2005).�

88

33. What activities or resources do you feel that your organization should put at your disposal

in order to facilitate your career development and progression? Please check all that apply. Classroom training □ Online training courses □ Job rotation opportunities □ One or two-day workshops □ Coaching □ Mentoring □ Access to formal education (ie: Baccalaureat, Master�s studies, etc.) □ Other, please specify�

34. Which of the following potential barriers to participation in career development activities

apply to you? Please check all that apply. Financial constraints □ Time constraints □ Family commitments/constraints □ Lack of prerequisites for opportunities of interest □ Lack of awareness of available opportunities □ Lack of interest □ Lack of motivation □ Health issues □ Lack of access to opportunities □ Other, please specify�

35. Thank you for taking the time to complete this survey. Your time and effort are greatly

appreciated. As previously indicated, your answers will remain strictly anonymous and will be included in the final results of this research project as statistical or anonymous anecdotal data. Before exiting the survey, please indicate your continued acceptance to participate in the research by confirming the following: I have read and understood the information contained in this document, and I agree to participate in the study. (answer mandatory) I agree to participate in this study □ I do not agree to participate in this study □

Have a nice day!

89

Appendix G � Online survey questionnaire � Boréal Faculty

1. I have read and understood the information contained in this document, and I agree to

participate in the study, on the understanding that I may refuse to answer certain questions, and I may withdraw at any time during the data collection period without prejudice. (answer mandatory) I agree to participate in this study □ I do not agree to participate in this study □

2. What is your age range? 20 to 39 yrs old □ 40 to 49 yrs old □ 50 to 54 yrs old □ 55 to 60 yrs old □ 60 years or older □

3. What is your gender?

Male □ Female □

4. For how many years have you been employed in the Ontario college system?

5. For how many years have you been employed at Collège Boréal?

6. Please indicate what type of position you currently hold.

Professor in a specialized program area □ Professor in a generic subject (ie: languages, sociology, math, etc.) □ Counsellor, research or other non-teaching faculty position □

7. How long have you held this position?

11 years or more □ 5 to 10 years □ 2 to 4 years □ Less than 2 years □

8. Does your current position require any specialized technical training or experience?

Yes □ No □

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9. To your knowledge, how many other Collège Boréal employees currently have the

training and experience required to replace you if you were to fall ill or suddenly become unable to perform your duties?

10. Please rate your level of satisfaction with your current position on a scale of 1 to 5 (1

meaning not at all satisfied and 5 meaning extremely satisfied).

11. Please read the following statements and choose all that apply to you. (check all that

apply) My current position is very challenging. □ My current position is not very challenging. □ I enjoy my current position. □ I do not enjoy my current position. □ My current position provides me with opportunities for personal and professional growth. □ My work environment is healthy and conducive to good job performance. □ I would be interested in advancing into a more challenging position. □ I am planning a career move. □ Other � please add any other comments.

12. Please indicate the most important factor that would encourage you to change positions

and move along a career path. Salary □ New challenges □ Work climate □ Location □ Possibility of advancement □ Other, please specify�

13. Please indicate the second most important factor that would encourage you to change

positions and move along a career path. Salary □ New challenges □ Work climate □ Location □ Possibility of advancement □ Other, please specify�

14. In how many years do you expect to retire?

91

15. Prior to your current position, what type of position did you hold?

Management in a college □ Faculty in a college □ Support staff in a college □ I worked in private industry □ I worked in a public institution □ Other, please specify�.

16. During your employment at Collège Boréal, have you ever been asked if you are

interested in learning opportunities? Yes □ No □

17. During your employment at Collège Boréal, have you ever been asked if you are

interested in advancement? Yes □ No □

18. During your employment with Collège Boréal, have you taken advantage of learning

opportunities that have been offered to you or become available to you? Yes □ No □ None have been available to me □

19. Would you feel comfortable approaching human resources in order to request

assistance in paying tuition fees related to training or education you wished to pursue? Yes □ No □

20. Would you feel comfortable approaching your supervisor in order to request assistance

in paying tuition fees related to training or education you wished to pursue? Yes □ No □

21. Would you feel comfortable approaching human resources in order to discuss the

possibility of advancement or gaining access to learning opportunities within the college? Yes □ No □

22. Would you feel comfortable approaching your supervisor in order to discuss the

possibility of advancement or gaining access to learning opportunities within the college? Yes □ No □

92

23. During your employment with Collège Boréal, have you ever requested assistance or

advice in planning your career advancement options? Yes □ No □

24. During your employment with Collège Boréal, have you taken advantage of career

planning or job orientation services that have been available to you? Yes □ No □ None have been available to me □

25. If you answered yes to question #24 above, please rate your level of satisfaction with the

services provided on a scale of 1 to 5 (1 meaning not at all satisfied and 5 meaning extremely satisfied).

26. During your employment at Collège Boréal have you ever requested access to professional development support (monetary or other) or training opportunities? Yes □ No □

27. During your employment with Collège Boréal have you ever obtained development

support (monetary or other) or accessed learning opportunities that have been available to you? Yes □ No □ None have been available to me □

28. If you answered yes to question #27 above, please rate your level of satisfaction with the

services provided on a scale of 1 to 5 (1 meaning not at all satisfied and 5 meaning extremely satisfied).

29. During your employment with Collège Boréal have you participated in learning or

professional development opportunities completely independently from the college? Yes □ No □

93

30. What is your interest in internal career mobility within Collège Boréal?

I am interested in internal career mobility at this time. □ I will be interested in internal career mobility in 1 to 2 years. □ I will be interested in internal career mobility in 3 to 4 years. □ I will be interested in internal career mobility in 5 to 6 years. □ I will be interested in internal career mobility in 7 to 8 years. □ I will be interested in internal career mobility in 9 to 10 years. □ I am not interested in career mobility. □ Other � please add any other comments.

31. Do you feel that Collège Boréal is a place where internal advancement is encouraged?

Yes □ No □

32. What types of training or support do you feel you would need in order to pursue the

career development options that interest you? Please check all that apply. Leadership development training □ Human resource management training □ Labour relations training □ Conflict resolution training □ Financial or budget training □ Job specific training (training within a specialised area of expertise) □ Career counselling services (services that may help to plan a career path) □ Aptitude testing or help in identifying career interests □ DEFINITIONS for the following question: Coaching is a form of training that is "...spur of the moment and driven by moment-by-moment efforts to help others perform (Rothwell 2005)." It can take different forms, but generally involves a contractual relationship. "An example would be to assign the organization's retired CEO to the current CEO as a coach. The former CEO clearly understands what the job entails and can provide guidance accordingly (Rothwell 2005)." Another example would be to hire a professional executive coach to provide process training to a new manager. A person's immediate supervisor can also act as a coach in order to help his or her employees build specific skills. Mentoring is a more informal process of teaching others. It is an interactive relationship between two or more individuals. It generally involves a deliberate pairing of skilled or experienced employees with less skilled or less experienced employees. Mentoring implies something different than coaching. Mentoring does not involve a contractual relationship. Mentors are not hired to do a job. Also, "�by definition, mentors are not usually the immediate organizational supervisors of those they mentor, since a reporting relationship may interfere with the objectivity essential to a true helping relationship. In short, a mentor cannot stand to gain or lose by his or her mentee, but a coach can. In fact, just as athletic coaches are self-interested in how well their players perform, so are the immediate supervisors (Rothwell 2005).�

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33. What activities or resources do you feel that your organization should put at your disposal in order to facilitate your career development and progression? Please check all that apply. Classroom training □ Online training courses □ Job rotation opportunities □ One or two-day workshops □ Coaching □ Mentoring □ Access to formal education (ie: Baccalaureat, Master�s studies, etc.) □ Other, please specify�

34. Which of the following potential barriers to participation in career development activities

apply to you? Please check all that apply. Financial constraints □ Time constraints □ Family commitments/constraints □ Lack of prerequisites for opportunities of interest □ Lack of awareness of available opportunities □ Lack of interest □ Lack of motivation □ Health issues □ Lack of access to opportunities □ Other, please specify�

35. Thank you for taking the time to complete this survey. Your time and effort are greatly

appreciated. As previously indicated, your answers will remain strictly anonymous and will be included in the final results of this research project as statistical or anonymous anecdotal data. Before exiting the survey, please indicate your continued acceptance to participate in the research by confirming the following: I have read and understood the information contained in this document, and I agree to participate in the study. (answer mandatory) I agree to participate in this study □ I do not agree to participate in this study □

Have a nice day!

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Appendix H � Online survey questionnaire � OCASA College Representatives

1. I have read and understood the information contained in this document, and I agree to

participate in the study, on the understanding that I may refuse to answer certain questions, and I may withdraw at any time during the data collection period without prejudice. (answer mandatory) I agree to participate in this study □ I do not agree to participate in this study □

2. How many full-time employees are there at your college? 1 to 250 □ 251 to 500 □ 501 to 750 □ More than 750 □

3. What is the average age of your administrative staff workforce? Under 25 □ 26 to 30 □ 31 to 40 □

41 to 50 □ 51 to 55 □ 56 to 60 □

Over 60 □

4. What is the average age of your faculty workforce? Under 25 □ 26 to 30 □ 31 to 40 □

41 to 50 □ 51 to 60 □ Over 60 □

5. What is the average age of your support staff workforce? Under 25 □ 26 to 30 □ 31 to 40 □

41 to 50 □ 51 to 60 □ Over 60 □

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6. What is the % of faculty retirements anticipated at your college within the next 5 years?

0 to 10% of the existing workforce □ 11 to 20% of the existing workforce □ 21 to 30% of the existing workforce □

31 to 40% of the existing workforce □ 41 to 50% of the existing workforce □ More than 50% of the existing workforce □

7. What is the % of support staff retirements anticipated at your college within the next 5

years? 0 to 10% of the existing workforce □ 11 to 20% of the existing workforce □ 21 to 30% of the existing workforce □

31 to 40% of the existing workforce □ 41 to 50% of the existing workforce □ More than 50% of the existing workforce □

8. What is the % of management retirements anticipated at your college within the next 5

years? 0 to 10% of the existing workforce □ 11 to 20% of the existing workforce □ 21 to 30% of the existing workforce □

31 to 40% of the existing workforce □ 41 to 50% of the existing workforce □ More than 50% of the existing workforce □

"Succesion planning and management may be understood as any effort designed to ensure the continued effective performance of an organization, division, department or work group by making provision for the development, replacement, and strategic application of key people over time. It may be systematic or informal. In systematic SP & M, an organization's managers attempt to prepare successors for key positions; in informal succession planning, no effort is made to prepare successors - and, as vacancies occur in key positions, managers respond to the crises at that time (Rothwell 2005)." There are many reasons decision-makers may wish to establish a systematic Succession Planning and Management program in an organization. For each reason identified in questions 9 to 20, please choose a response indicating how important you believe that reason to be for your organization.

9. Contribute to implementing the organization�s strategic business plan. Unimportant □ Not very important □ Important □

Very important □ Extremely important □

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10. Identify replacement needs as a means of targeting necessary training, employee

education, and employee development. Unimportant □ Not very important □ Important □

Very important □ Extremely important □

11. Increase the talent pool of employees.

Unimportant □ Not very important □ Important □

Very important □ Extremely important □

12. Provide increased opportunities for high-potential workers.

Unimportant □ Not very important □ Important □

Very important □ Extremely important □

13. Tap the potential for intellectual capital in the organization.

Unimportant □ Not very important □ Important □

Very important □ Extremely important □

14. Help individuals realise their career plans within the organization.

Unimportant □ Not very important □ Important □

Very important □ Extremely important □

15. Encourage the advancement of diverse groups � such as minorities or women � in future

jobs within the organization. Unimportant □ Not very important □ Important □

Very important □ Extremely important □

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16. Improve employee morale. Unimportant □ Not very important □ Important □

Very important □ Extremely important □

17. Improve employees� ability to respond to changing environmental demands.

Unimportant □ Not very important □ Important □

Very important □ Extremely important □

18. Cope with the effects of voluntary separation programs � such as early retirement offers

and employee buyouts. Unimportant □ Not very important □ Important □

Very important □ Extremely important □

19. Cope with effects of downsizing.

Unimportant □ Not very important □ Important □

Very important □ Extremely important □

20. Reduce headcount to essential workers only.

Unimportant □ Not very important □ Important □

Very important □ Extremely important □

21. Does your college currently have a systematic succession planning and management

program in place? Yes □ No □ Don�t know □

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22. If yes, is it a board approved plan?

Yes □ No □ Don�t know □

23. If no, to your knowledge is your college currently working on the development of a

systematic succession planning and management program? Yes □ No □ Unsure □

24. Who is involved in the development of your succession planning and management

program? Please check all that apply. Human Resources (HR) □ Administrative staff □ Faculty □

Support Staff □ Joint management/union committee □

We don�t have a succession planning and management program □ Other, please specify�

25. Who is involved in the implementation of your succession planning and management

program? Please check all that apply. Human Resources (HR) □ Administrative staff □ Faculty □

Support staff □ Joint management/union committee □

We don�t have a succession planning and management program □ Other, please specify�

26. Does your college currently have in place a Leadership Development Program for

(please check all that apply) : Administrative staff □ Faculty □

Support Staff □ None of the above □

27. Does your college currently have mentorship program in place for (please check all that

apply) : Administrative staff □ Faculty □

Support Staff □ None of the above □

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28. At your college which, if any, of the following are currently in place? Please check all that apply. A systematic approach to performance appraisal in order to clarify each individual�s current performance. □ A systematic approach by which to accelerate the development of individuals who have the potential to advance one or more levels beyond their current positions? □ A means by which to keep track of possible replacements by key position. □ A formal strategic planning process that includes discussions pertaining to overall college succession planning and management. □ A training process designed to encourage the development of systematic succession planning and management initiatives within specific departments or sectors. □ None of the above. □ Other � please specify.

29. What special issues, if any, do you believe that a systematic succession planning and

management program should be careful to address?

30. Is there anything else you would like to add with respect to succession planning?

31. Thank you for taking the time to complete this survey. Your time and effort are greatly

appreciated. As previously indicated, your answers will remain strictly anonymous and will be included in the final results of this research project as statistical or anonymous anecdotal data. Before exiting the survey, please indicate your continued acceptance to participate in the research by confirming the following: I have read and understood the information contained in this document, and I agree to participate in the study. (answer mandatory) I agree to participate in this study □ I do not agree to participate in this study □

Have a nice day!

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Appendix I � Introductory script for face to face interviews � Collège Boréal

Name of interviewee: _____________________________

Name of interviewer: Ginette Comeau-Roy

Date of interview: _____________________________

Succession Planning: Exploring the impacts of workplace learning, power

structures and organizational culture on ongoing leadership development and renewal

MAIS 701 Integrated Research Project Athabasca University

Researcher: Laurie Rancourt

My name is Ginette Comeau-Roy and I am currently providing research support to

Laurie Rancourt. Mrs. Rancourt is currently enrolled in Athabasca University's Masters

of Arts - Integrated Studies program and undertaking a research project on succession

planning. The title of her project is "Succession Planning: Exploring the impacts of

workplace learning, power structures and organizational culture on ongoing leadership

development and renewal."

This research project is based on the following questions: What does an effective succession planning framework consist of? What impact do

workplace learning, power structures and organizational culture have on leadership

development and renewal within organizations? These are the questions that will be

central to the discussions I put forward in this project. The answers obtained will then be

used to identify the ideal intersection of workplace learning, organizational culture and

union involvement that leads to effective and equitable succession planning.

GOALS OF THE INTERVIEW The primary goal of this interview is to gather information related your views with respect

to workplace learning and succession planning.

The secondary goals are:

• To determine the level of preparedness or our organization when it comes to

addressing leadership development needs, or to addressing potential workforce

shortages that may develop over the next 5 to 10 years.

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• To kick-start dialogue aimed at informing Collège Boréal�s workplace learning

and succession planning processes.

It is expected that the interview process will take anywhere from 30 to 60 minutes.

CONSENT and CONFIDENTIALITY:

Participation in this interview process is entirely voluntary. All demographic and

personal information that is provided within the context of the interview will remain

confidential. This information will be presented only as generic statistical data or as

anecdotal comments that are recounted anonymously. All information provided within

the context of this research project will be held confidential except when legislation or a

profession code of conduct requires that it be reported. For the purposes of the research

essay, all demographic and personal information that is provided within the context of

the survey questions will remain confidential and will be presented only as generic

statistical data. The compiled data from this interview will be stored in print form in a

locked file cabinet at the researcher�s home office. The researcher will receive this data

in print form, devoid of any indication as to the identity of the interviewee. The data will

be destroyed by shredding no later than February 28th, 2009.

By participating in this interview and answering the questions that are asked, you are

consenting to participate in this research study. Should you desire, at any time during

the interview, to withdraw your consent to participate you may do so without prejudice.

In order to confirm your consent to participate in this research study, we request that you

sign below. This consent form will be sent directly to the researcher�s course supervisor

by the interviewer in order to ensure the maintenance of confidentiality as to the identity

of the interviewee. The researcher will not receive copy of this consent form.

I have read and understood the information contained in this interview document and I

agree to participate in the study, on the understanding that I may refuse to answer

certain questions, and I may withdraw during the data collection period.

_______________________________________ ______________

Signature Date

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Appendix J � Collège Boréal senior administrative staff interview questions "Succession planning and management may be understood as any effort designed to ensure the continued effective performance of an organization, division, department or work group by making provision for the development, replacement, and strategic application of key people over time. It may be systematic or informal. In systematic SP & M, an organization's managers attempt to prepare successors for key positions; in informal succession planning, no effort is made to prepare successors - and, as vacancies occur in key positions, managers respond to the crises at that time." (Rothwell 2005)

Do you have any questions before we begin?

1. What processes do you generally follow when a position within your sector or

department becomes vacant?

2. What kind of success have you had in the past when you have been required to fill

vacant leadership, technical or professional positions?

3. If you have been successful, to what do you attribute your success?

4. What types of problems or barriers did you come up against during the process?

5. When a position becomes vacant, do you automatically post it or strive to fill it, or are

there other steps that you would take first?

6. Have you had any experience in development or implementing systematic

succession planning initiatives in the past?

7. Do you feel there is a need for us to develop a systematic succession planning

framework at Collège Boréal? Why?

8. What would you list as the essential elements of an effective systematic succession

plan?

9. According to Michel Foucault, a well known French philosopher, we exercise power

through our very relationship structures whether we are aware of it or not. Foucault

tells us that ��power is not an institution, a structure or a certain force with which

certain people are endowed; it is the name given to a complex strategic relation in a

given society.� (Foucault 1980) Given this interpretation of power, and given the

natural relationship that exists between Human Resource professionals (and

managers) and their employees, what do you see as the impact of power

relationships on succession planning programs? What mechanisms would need to

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be imbedded into an effective succession planning process in order to ensure an

equitable process and minimise the potential impact of these power structures?

10. Trading personnel temporarily is one succession planning strategy that is promoted

by certain authors. This involves the idea that ��organizations can temporarily trade

resources for their mutual benefit. Excess capacity in one organization is thus

tapped temporarily by others. An advantage of this approach is that high performers

or high potentials that are not immediately needed by one organization can be

pooled for use by others, who usually offset their salaries and benefits. A

disadvantage is that lending organizations risk losing these talented workers

completely if they are spirited away by those having greater need of their services

and a greater ability to reward and advance them.� (Rothwell 2005) How do you

react to this suggestion? Do you think such an approach could be useful to our

organisation...if so, in what context? Do you see a potential role for OCASA in

initiatives similar to this? 11. How would you identify positions that should be part of a succession plan? What

criteria would you use for such identification?

12. How should individuals, within the organization, be identified for participation in a

succession planning program? What eligibility criteria should be put into place?

13. How would you approach these individuals?

14. How would you create awareness within the organisation of the existence of the

succession planning framework if one were to be put in place?

15. How would you describe the role, if any, of the following individuals or organisations

in a succession planning process?

a. College Board of Directors b. College President c. Director of HR d. Vice-presidents e. Deans f. Directors g. Support staff and faculty unions h. Ontario College Administrative Staff Association i. Employees in general

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Appendix K � OPSEU executive member interview questions "Succession planning and management may be understood as any effort designed to ensure the continued effective performance of an organization, division, department or work group by making provision for the development, replacement, and strategic application of key people over time. It may be systematic or informal. In systematic SP & M, an organization's managers attempt to prepare successors for key positions; in informal succession planning, no effort is made to prepare successors - and, as vacancies occur in key positions, managers respond to the crises at that time." (Rothwell 2005)

1. When you hear the expression succession planning, what comes to mind for you? 2. Have you had any experience in participating in systematic succession planning

initiatives in the past? 3. From a union perspective, what would you describe as potential pitfalls of any

succession planning process? 4. According to Michel Foucault, a well known French philosopher, we exercise power

through our very relationship structures whether we are aware of it or not. Foucault tells us that ��power is not an institution, a structure or a certain force with which certain people are endowed; it is the name given to a complex strategic relation in a given society.� (Foucault 1980) Given this interpretation of power, and given the natural relationship that exists between Human Resource professionals (and managers) and their employees, what do you see as the impact of power relationships on succession planning programs? What mechanisms would need to be imbedded into an effective succession planning process in order to ensure an equitable process and minimise the potential impact of these power structures?

5. What would you list as the essential elements of an effective succession plan? 6. What role could the union play in facilitating succession planning initiatives within

the college? 7. Within your collective agreement, there are existing provisions pertaining to union

bumping rights. What role, if any, would union bumping rights play in a systematic succession planning and management program pertaining specifically to succession into an existing support staff or faculty position.

8. What existing committees or processes could serve to facilitate effective college wide succession planning and management initiatives?

9. What new committees or processes, if any, would need to be put in place? 10. What barriers currently exist within the college that may hinder any succession

planning initiative? 11. Is there anything else you would like to add with respect to succession planning?

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Appendix L � Introductory script for telephone interviews - OCASA

Name of interviewee: _____________________________

Name of interviewer: Ginette Comeau-Roy

Date of interview: _____________________________

Succession Planning: Exploring the impacts of workplace learning, power structures and organizational culture on ongoing leadership development and

renewal MAIS 701

Integrated Research Project Athabasca University Researcher: Laurie Rancourt

My name is Ginette Comeau-Roy and I am currently providing research support to

Laurie Rancourt. Mrs. Rancourt is currently enrolled in Athabasca University's Masters

of Arts - Integrated Studies program and undertaking a research project on succession

planning. The title of her project is "Succession Planning: Exploring the impacts of

workplace learning, power structures and organizational culture on ongoing leadership

development and renewal."

This research project is based on the following questions: What does an effective succession planning framework consist of? What impact do

workplace learning, power structures and organizational culture have on leadership

development and renewal within organizations? These are the questions that will be

central to the discussions I put forward in this project. The answers obtained will then be

used to identify the ideal intersection of workplace learning, organizational culture and

union involvement that leads to effective and equitable succession planning.

GOALS OF THE INTERVIEW The primary goal of this interview is to gather information related to the views of

OCASA�s executive team members with respect to workplace learning and succession

planning, and in particular with respect to the role that OCASA can or should play in

succession planning processes across the Ontario College system.

It is expected that the interview process will take anywhere from 15 to 20 minutes.

107

CONSENT and CONFIDENTIALITY:

Participation in this interview process is entirely voluntary. All demographic and

personal information that is provided within the context of the interview will remain

confidential. This information will be presented only as generic statistical data or as

anecdotal comments that are recounted anonymously.

All information provided within the context of this research project will be held

confidential except when legislation or a profession code of conduct requires that it be

reported. For the purposes of the research essay, all demographic and personal

information that is provided within the context of the survey questions will remain

confidential and will be presented only as generic statistical data.

The compiled data from this interview will be stored in print form in a locked file cabinet

at the researcher�s home office. The researcher will receive this data in print form,

devoid of any indication as to the identity of the interviewee. The data will be destroyed

by shredding no later than February 28th, 2009.

By participating in this interview and answering the questions that are asked, you are

consenting to participate in this research study. Should you desire, at any time during

the interview, to withdraw your consent to participate you may do so without prejudice.

In order to confirm your consent to participate in this research study, we request that you

sign the form that has been mailed to you by the researcher and fax it to me at 705-560-

1151. This consent form will be sent directly to the researcher�s course supervisor by

the interviewer in order to ensure the maintenance of confidentiality as to the identity of

the interviewee. The researcher will not receive copy of this consent form.

I have read and understood the information contained in this interview document and I

agree to participate in the study, on the understanding that I may refuse to answer

certain questions, and I may withdraw during the data collection period.

_______________________________________ ______________

Signature Date

108

Appendix M � OCASA executive member interview questions For the purposes of this study, the following definition of succession planning will be used: "Succession planning and management may be understood as any effort designed to ensure the continued effective performance of an organization, division, department or work group by making provision for the development, replacement, and strategic application of key people over time. It may be systematic or informal. In systematic SP & M, an organization's managers attempt to prepare successors for key positions; in informal succession planning, no effort is made to prepare successors - and, as vacancies occur in key positions, managers respond to the crises at that time." (Rothwell 2005)

1. When you hear the expression Succession planning, what comes to mind for you?

2. Have you had any experience in developing or implementing systematic succession planning initiatives in the past?

3. Is there a need for Ontario colleges to engage in systematic succession planning processes? Why?

4. What would you describe as the goals of an effective systematic succession planning process?

5. What would you list as the essential elements of an effective systematic succession plan?

6. What would you describe as potential pitfalls of any systematic succession planning process?

7. According to Michel Foucault, a well known French philosopher, we exercise power through our very relationship structures whether we are aware of it or not. Foucault tells us that ��power is not an institution, a structure or a certain force with which certain people are endowed; it is the name given to a complex strategic relation in a given society.� (Foucault 1980) Given this interpretation of power, and given the natural relationship that exists between Human Resource professionals (and managers) and their employees, what do you see as the impact of power relationships on succession planning programs? What mechanisms would need to be imbedded into an effective succession planning process in order to ensure an equitable process and minimise the potential impact of these power structures?

8. What role, if any, could OCASA play in facilitating succession planning initiatives across the Ontario college system?

9. Trading personnel temporarily is one succession planning strategy that is promoted by certain authors. This involves the idea that ��organizations can temporarily trade resources for their mutual benefit. Excess capacity in one organization is thus tapped temporarily by others. An advantage of this approach is that high performers or high potentials who are not immediately needed by one organization can be pooled for use by others, who usually offset their salaries and benefits. A disadvantage is that lending organizations risk losing these talented workers completely if they are spirited away by those having greater need of their services and a greater ability to reward and advance them.� (Rothwell 2005) How do you react to this suggestion? Do you see a potential role for OCASA in initiatives similar to this?

Is there anything else you would like to add with respect to succession planning?