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HomeMy WebLinkAbout03. Succession Planning Summary ReportPrepared by: 3. SUCCESSION PLANNING SUMMARY REPORT November 22, 2016 Succession Planning Summary Report TABLE OF CONTENTS ACKNOWLEDGEMENTS 2 INTRODUCTION 3 ASSESSMENT PROCESS R,,, 3 DISTRICT -WIDE ASSESSMENT RESULTS 4 ADMINISTRATION DEPARTMENT 5 Information. Technology. 5 Finance 6 Purchasing and Materials Services 7 Communication Services and Intergovernmental Relations 8 Risk Management 10 Administrative Support 10 OFFICE OF THE SECRETARY OF THE DISTRICT 12 Office of the Secretary of the District 12 ENGINEERING DEPARTMENT ,,. 13 Capital Projects Division 13 Environmental and Regulatory Compliance Division 15 Planning and Development Services Division 18 OPERATIONS DEPARTMENT 22 Administration 22 Collection Systems Operations Division 24 Plant Operations Division 28 Plant Maintenance Division 31 HUMAN RESOURCES 37 SAFETY .,r• 38 Page 1 Succession Planning Summary Report ACKNOWLEDGEMENTS This report would not be completed without the dedication and efforts of the following District staff. Thank you to the Succession Planning Committee members, Sub -Committee members, and staff volunteers. Succession Planning Committee Sub -Committee Members Roger Bailey Chris Carpenter Imran Chaudhary Rita Cheng Dan Frost Chris Goward William Grant Nick Hansen Colleen Henry Rick Hernandez Shenae Howard Doug Little Terrina Manor Nicole Marshall Neil Meyer Craig Mizutani Nancy Molina Twila Mullenix Tri Nguyen Velisa Parks Randy Schmidt Paul Seitz Greg St. John Christopher Thomas Questions? David Clayton Danea Gemmel' Nick Hansen Starlin Jones Paul Kelly Kit Ohlman Anita Setty Jeff Skinner Kim Stahl PJ Turnham Deborah Harris Ann Sasaki Grace Valdepenas Please refer any questions regarding this report to Succession Planning Committee Chair, Greg St. John, and Succession Planning Committee Co -Chair, Rita Cheng. Page 2 Succession Planning Summary Report INTRODUCTION The Succession Planning Committee (SPC) was formalized in the spring of 2014 with the goal of identifying critical functions within the District that are most susceptible to risks associated with unforeseen employee departure, and to work with Management to develop a plan to mitigate those organizational risks. In 2015, the SPC conducted interviews and pre -interview assessment surveys to identify areas of risk due to potential employee departure and opportunities to improve in the current organizational structure to address succession planning. The interviews were conducted by members of the SPC, SPC Sub -Committee, and staff volunteers. The following chapters in this report will guide you through the assessment process, and its application throughout the organization, including the Departments and their respective Divisions and workgroups. ASSESSMENT PROCESS The assessment process included a Gap Analysis and a Vulnerability Analysis conducted for each Department. The details for each analysis are described as follows: Analysis This section describes four types of organizational gaps that need to be addressed. Suggestions for knowledge transfer, professional development, as well as cross -training are identified under "Recommendations." Cross -Training Gap: Cross -training is needed to fully understand the workgroup's critical job functions and ensure business continuity if a team member has a long-term absence or departure from the District. Experience Gap: Specific work experience or knowledge is required for a position that current members within the workgroup may not be able to obtain within their job series. fr Supervisory Gap: To prepare for a promotion to a supervisory level, supervisory experience is required that current members within the workgroup cannot obtain within their job series. Job Description Update Needed: Current job description does not accurately reflect the job requirements. Vulnerability Arialyi, The Vulnerability Analysis identified positions in critical functional areas that have moderately -high to high employee departure risks and consequence of impact, with minimal to zero redundancy to support the positions in the event of sudden departures or retirements. These vulnerable positions require immediate attention from Management. The Vulnerability Analysis was a numerical assessment of the three vulnerability factors: level of departure risks, consequence of impact, and staffing redundancy. A formula was used to evaluate and identify the highly -vulnerable positions. ? 0 g Succession Planning Summary Report DISTRICT -WIDE ASSESSMENT RESULTS The results from the Gap Analysis and the Vulnerability Analysis are summarized in the following pages. The findings and recommendations are outlined under each Department and its respective Divisions and workgroups. Poge4 ADMINISTRATION DEPARTMENT Information Technology Finance Purchasing and Materials Services Communication Services and Intergovernmental Relations Risk Management Administrative Support Information Technology Gap Analysis - Findin,„ Experience Gap Cross -Training Gap Cross -Training Gap Supervisory Gap Supervisory Gap Cross -Training Gap Job Description Gap Cross -Training Gap Cross -Training Gap Job Description Gap Succession Planning Summary Report Programmer Analyst None Two Senior Buyers None Risk Management Technician Senior Administrative Technician • Experience Gap ▪ The Project Manager/Business Analyst position provides project management technical expertise to run District projects. The responsibilities of this position are to help the District understand what technologies are available and help provide guidance on whether they are applicable and in the best interest of the District. The incumbent in this position would benefit from additional technical project management training. • Cross -Training Gap There is currently one Programmer Analyst providing website support and other functions. Cross -training with other staff members is a viable option to provide redundancy for website support and other functions performed by the Programmer Analyst. Vulnerability Analysis - Findings • Programmer Analyst Page 5 Succession Planning Summary Report Fi ▪ Position currently held by Ted Barry. • Moderate departure risk, high consequence of impact, and zero redundancy. ▪ Ted is the sole administrator of the District's Sunguard/Naviline/HTE system. This system is becoming obsolete. As a result, the skills necessary to support this system are not commonly found in the information technology industry. In the event of Ted's sudden departure from the District under the current mode of operation, it would be very difficult to find a suitable replacement, and the District currently has no backup for him. Recommendations • Provide additional training to the Project Manager/Business Analyst in order to build technical project management expertise. • Provide cross -training between Programmer Analyst and other information Technology staff. • Provide cross -training opportunities for Information Technology Supervisor to learn the administration and hardware of the SunguardiNaviline/FITE system. Gap Analysis - Findings • Cross -Training Gap • The Payroll Analyst position does not have adequate backup, and it is extremely inconvenient for the Payroll Analyst to take extended time -off during the payroll cycle. Some backup can be provided by the Finance Administrator. • The Accounting Technician VII and Accounting Technician ill positions are not currently cross trained to substantially assist each other in their respective roles and responsibilities. As a result, any sudden departure from the District, including retirements, could adversely impact the operations. • There is a lack of opportunity for the Accounting Technicians to gain supervisory experience and a lack of cross -training opportunities within the workgroup. Vulnerability Analysis Findings • None • Recommendations • Provide cross -training and SunGard training for the functions provided by the Payroll Analyst. • Provide for cross -training between the Accounting Technicians. Page 6 Succession Planning Summary Report • Consider using the automatic delegations to delegate down in the organizational chart to promote cross -training and leadership. The District has emphasized the Leadership Academy and training. Delegating downward would allow staff to utilize these skills when they have an opportunity, and they would have more opportunity to make decisions and coordinate the efforts of staff. This could be utilized for vacation delegations depending on workload. • Implement cross -training at the department level, have staff come up with the top three important functions they perform and make that a starting point for Standard Operating Procedures. • Implement District -wide efforts to sponsor a succession training day once a month to assist in continuous efforts. MI Gap Analysis - Findings • Supervisory Gap The Buyer Series position cannot obtain the seven years of on-the-job supervisory experience needed to compete for the Purchasing and Material Services Manager position. However, there is no current operational need to have a supervisory position amongst the Buyers because this is a small workgroup of three staff who are directly supervised by the Purchasing and Material Services Manager. • The Senior Materials Coordinator may exercise technical supervision over !ower level positions in the workgroup, but does not have an opportunity to gain the direct supervisory experience needed to compete for the Materials Services Supervisor position. The Senior Materials Coordinator is assigned more complex tasks than the Materials Coordinator. Currently there is no operational need to have a lead position because there is a Supervisor directly over the three employees in this workgroup. • Vulnerability Analysis - Findings • Senior Buyer ▪ Position currently held by Chris Newkirk ▪ High departure risk, high consequence of impact, and two redundant positions • Senior Buyer Position currently held by Pam McMillan ▪ Moderately high departure risk, moderately high consequence of impact, and two redundant positions. Page 7 Succession Planning Summary Report la Recommendations • Consider making the Purchasing and Materials Manager position's minimum qualifications the same as other similar manager positions at the District, specifically in regards to the supervisory experience required. For example, the Purchasing and Materials Manager position currently requires eight years of experience with five years supervisory experience. Consider aligning the Purchasing and Materials Manager's supervisory experience requirement with other higher-level management positions, such as the Human Resources Manager, Plant Operations Division Manager, Plant Maintenance Division Manager, and Collection System Operations Manager, which require five years of experience with no supervisory experience. This would help address the supervisory gap identified previously under the Gap Analysis. Com m uni • Gap Analysis - Findings • Supervisory Gap • The Community Affairs Representative position lacks the opportunity to obtain supervisory experience needed to advance to a managerial position. This could affect several business needs of the organization which are primarily handled by the Supervisor and which require supervisory oversight for implementation. These include high-/evel strategic communications planning, multi-year outreach for major District initiatives, government relations, legislative advocacy, and issues management. • Cross -Training Gap The workgroup would benefit from additional cross -training for communication services and intergovernmental relations areas. Currently there is no long-term backup for these functions. • Vulnerability Analysis - Findings • No highly -vulnerable positions that need immediate attention. • Recommendations • Provide cross -training to help increase knowledge of the work involved in all areas of the workgroup to ensure business continuity and to help prepare an employee for supervisory roles that include work the employee cannot completely obtain within their lob series. The cross -training should include all areas covered within the workgroup including: construction outreach, emergency management, crisis communications, media relations, social and new media outreach, educational programming, customer engagement, public policy, government Page 8 Succession Planning Summary Report relations, agency relations, legislative advocacy, stakeholder engagement, strategic communications planning and community relations. Page 9 Succession Planning Summary Report , t. Gap Analysis - Findings • Job Description Update Needed ▪ Currently, the job description for both Risk Management Administrator and Risk Management Technician do not reflect current duties. a Cross -Training Gap ▪ Risk Management Technician needs cross -training (i.e., claims management risk, financing, litigation, insurance and indemnity, contract law and risk transfer, emergency management, construction risk, public entity liabilities, and defenses). Vulnerability Analysis - Findiricjs • Risk Management Technician • Position currently held by Ruth Bennett. • High departure risk, moderate consequence of impact, and zero redundancy. kt/ Recommendations • Update current job descriptions to reflect District's business needs. • Provide cross -training for risk and insurance subjects. Adrninistrative Support Gap Analysis - Findings • Cross -Training Gap • Currently, the Front Desk is staffed during normal business hours. The Senior Administrative Technician is assigned to fulfill that responsibility. As a result, it is difficult for the Senior Administrative Technician to participate in trainings or cross -training. Each Senior Administrative Technician has a specialty; however, cross -training is currently in progress for the two Administrative Technicians and a Senior Administrative Assistant. • Job Description Update Needed ▪ There is one Executive Assistant, two Senior Administrative Technicians, and one Senior Administrative Assistant supporting the Administration Department, each of which has distinct duties and assignments. Page 10 Succession Planning Summary Report • Vulnercibility An lysis Findincs • Senior Administrative Technician Position currently held by Sylvia Gray. • High departure risk, medium consequence of impact, and several positions that could cover the front desk for a limited time. • Recommendations ▪ Continue the cross -training for the Executive Assistant position with both the Senior Administrative Assistant and Senior Administrative Technicians positions. • Consider adding specialization within the job description of the Senior Administrative Technician. • Provide cross -training for the front desk position. Page 1 1 Succession Planning Summary Report OFFICE OF THE SECRETARY OF THE DISTRICT The Secretary of the District, the Genera/ Manager, and the District Counsel positions are appointed by the Board of Directors. The Secretary of the District reports directly to the Board of Directors. The Office of the Secretary of the District resides within the Administration Department for financial accounting purposes. Office of the Secretary of the District None Office of the Secretary of the District • Gap Analysis - Findings • Currently there are no gaps. • Vulnerability Analysit, Findings '1 Secretary of the District Secretary of the District Position currently held by Elaine Boehme. • Moderate departure risk, high consequence of impact, and one redundant position. • Recommendationc • Provide opportunity for the Senior Administrative Technician to attend the District's Supervisory Academy to help build supervisory skills. • Provide additional cross -training to provide more backup in case of retirement. Page 1 2 Succession Planning Summary Report ENGINEERING DEPARTMENT Capitol Proiects Division Collection System Program Treatment Plant Program Coll ction Systen Program ▪ Gap Analysis - Findings Experience Gap None Cross -Training Gap Experience Gap None Cross -Training Gap • Experience and Cross -Training Gaps • Staff is currently sized to perform in-house design of sewer renovation projects; however, if the workload (replacement rate) increases due to the Comprehensive Wastewater Master Plan, then more outside services will likely be considered. Staff's involvement in multiple projects will be increased and training may be needed to implement a larger program. • Workload between the Capital Programs has varied in the past and most likely will continue to vary. Developing Engineers with a wider range of experience and knowledge will benefit the District as programs increase or decrease, and new projects are developed. Rotating Engineers and Engineering Assistants between programs will allow for more flexibility and overall District experience to help implement the Capital Programs. • Capita! Projects administrative procedures are detailed and complex. Additional cross - training is needed between administrative positions in the District to prepare for future retirements or seasonal assistance. 1 Vulnerability Analysis - Finding5 • No highly -vulnerable positions that need immediate attention. 1 Recommendations • Provide opportunities for Engineers to take on additional responsibilities. Provide management or supervisory training, mentorship, and leadership training programs. • Provide cross -training opportunities between the Land Surveyor and the two Assistant Land Surveyors. Succession Planning Summary Report ▪ Continue to provide cross -training between all Capital Programs. ▪ Continue to provide cross -training between administrative positions to provide back-up, Treatment Plant Progr, Gap Analysis - Findings ▪ Experience and Cross -Training Gaps Similar to the Collection System Program, Engineers and Engineering Assistants would benefit from cross -training or rotational opportunities to increase the flexibility to assign project teams in all programs, Engineering Assistants from the Collection Systems and Treatment Plant workgroups have limited overlap in their job duties. ▪ Vulnerability Analysis - Findinw ▪ No highly -vulnerable positions that need immediate attention. • Recornmendailons • Continue to provide staff with more opportunities to develop and cross train through classes or on the job experience. Page 14 Household Hazardous Waste Collection Facility Laboratory Environmental Compliance Regulatory Compliance Experience Gap Cross -Training Gap Experience Gap Experience Gap Supervisory Gap Cross -Training Gap I1CUSP hoki Haznrclous Wrtst ollection Facility Gap Analysis - Finclinw ▪ Experience Gap Succession Planning Summary Report None Laboratory Superintendent Senior Chemist EC Superintendent Senior Engineer • Additional training is needed to prepare Household Hazardous Waste Technicians to fill Senior Household Hazardous Waste Technician positions that may become suddenly vacant. Vulnerability Analysis - Findings • No highly -vulnerable positions that need immediate attention. Recommendations • Provide support training and fill vacant positions. Provide temporary staff to fill vacancies until open positions can be permanently filled. • Continue cross -training and professional development opportunities. La bor t Gap Analysis Findin • Cross -Training Gap ▪ Important analyses such as semi -volatile organics, volatile organics, metals, LiMS, and QA/QC have no staffing redundancy. Cross -training opportunities are needed. A cross - training program should be designed and implemented. Page 1 5 Succession Planning Summary Report ▪ Experience Gap Cross -training can take an extended period of time for Chemists to reach an adequate competency /eve/. • Vulnerability Analysis- Findings ▪ Laboratory Superintendent ▪ Position currently held by Mary Lou Esparza. Moderate departure risk, high consequence of impact, and minimal redundancy. • Laboratory Senior Chemist • Position currently held by Tri Nguyen. 1 Moderately high departure risk, high consequence of impact, and minimal redundancy. Current Senior Chemist is nearing retirement and this leads to a tack of staffing redundancy. ▪ RecommPrirlotiom • Develop strategies to address the cross -training of the more complex laboratory analyses, such as metals analysis, semi -volatile organics analysis, volatile organics analysis, LIMS, and QA/QC. • Consider using a Transitional Position for a Senior Chemist position when the current Senior Chemist is within 6-12 months of planned retirement. This will allow proper knowledge transfer and improve staffing redundancy. Environmental Compliance • Gap Analysis - Findings • Supervisory and Experience Gaps One of the minimum qualifications for the Environmental Compliance Superintendent position is five years of supervisory experience. Currently, there are no staff under the Environmental Compliance Superintendent who have an opportunity to gain the supervisory experience. The Senior Environmental Compliance Inspectors do not have supervisory authority; and therefore, there is no ability to promote from within to the Environmental Compliance Superintendent position. This can potentially cause a lack of business continuity. 111 Vulnerability Analysis - Findings • Environmental Compliance Superintendent LI Position currently held by Timothy Potter. High departure risk, high consequence of impact, and zero redundancy. Page 1 6 Succession Planning Summary Report N Recommendations • Develop strategies for cross -training. A cross -training program should be designed and implemented. • Provide professional development opportunities to address succession planning. • Provide Senior Environmental Compliance Inspectors with the opportunity to gain additional experience in supervision through lead responsibilities. • Consider modifying the minimum qualifications to include a combination of training and experience to substitute for supervisory experience Regu tory Complianct Gap Analysis - Findings • Cross -Training Gap • The Regulatory Workgroup has taken succession planning actions via cross -training, standard operating procedures, and professional development. It is beneficial to continue the cross -training efforts between the Associate Engineer, currently he'd by Rita Cheng, and the Staff Engineer, currently held by Robert Hess, to ensure business effectiveness and coverage. There is a Temporary Staff Engineer, held by Khang Nguyen, supporting the daily functions of the workgroup. ▪ Vulnerability Analysis - Findings • Regulatory Compliance Senior Engineer • Position currently held by Randy Schmidt. • High departure risk, moderately high consequence of impact, and minimal redundancy. n Recommendations • Consider using a Transitional Position for a Senior Engineer position when the current Senior Engineer is within 6-12 months of planned retirement. This will allow proper knowledge transfer and improve staffing redundancy. • Provide cross -training and professional development opportunities within the workgroup. Page 17 Succession Planning Summary Report Planning and Applied Research Asset Management Rates and Fees Development Services Cross -Training Gap Supervisory Gap Assistant Engineer Associate Engineer Job Description Gap Maintenance Planner Supervisory Gap Senior Engineer Cross -Training Gap None Cross -Training Gap Experience Gap Cross -Training Gap Hunnuig and Applied Research Senior Engineer • Gap Analysis - Findings • Cross -Training Gap • Planning and Applied Research has three Associate Engineers each of which specializes in Collection Systems, Treatment Plant, or Recycled Water. Associate Engineers need experience in all three specializations to provide business continuity in the case of an unexpected leave of absence for the Senior Engineer position. • Planning and Applied Research has two Assistant Engineers. Hydraulic Modeling is currently being performed by one person. lf that person were away from the District for an extended period of time or were to leave the District, there would be inadequate backup to provide the same hydraulic modeling services as are currently provided. • Supervisory Gap Planning and Applied Research has three Associate Engineers; however, there are only two Assistant Engineers. This results in one Associate Engineer not being able to gain direct supervisory experience of an Assistant Engineer and limits this Associate Engineer's ability to provide business continuity in the case of an unexpected leave of absence for the Senior Engineer position • Vulnerability Analysis - Findings • Collection System Planning Associate Engineer ▪ Position currently held by Michael Penny. Page 1 8 Succession Planning Summary Report • High departure risk, moderately high consequence of impact, and zero redundancy. • Assistant Engineer • Position currently held by Justin War)les ▪ Moderate departure risk, rnoderotely high consequence of impact, and zero redundancy. 1 Recomrnendations ▪ Consider using a Transitional Position for an Associate Engineer position when the current Collection System Planning Associate Engineer is within 6-1 2 months of planned retirement. This will allow proper knowledge transfer and improve operational effectiveness. • Provide cross -training, software training, and professional development opportunities within the workgroup. ▪ Consider modifying the minimum qualifications to include a combination of training and experience to substitute for supervisory experience. /Asset Manctgement 1 Gap Analysis - Finding- • Job Description Update Needed • After the split of the Engineering Supporting Group, the Engineering Technician 1/11/111 position in the Asset Management workgroup focuses on spatial GIS analysis and not drafting. The job description has not been revised. • Supervisory Gap • The GIS/CMMS Administrator position requires supervisory experience and three years of GIS Analyst experience. There is no method to gain supervisory experience needed for a person in the G/5 Analyst position. Allowing a substitution for supervisory experience creates a succession plan for in-house staff by allowing them to compete for the position and leverages the investment the District has already made in existing staff and utilizes their institutional knowledge. 1 Vulnerability Analysis - Findings • Maintenance Planner • Position currently held by Pi Turnhom. Moderate departure risk and zero redundancy. • Senior Engineer Position currently held by Dana Lawson. Moderate departure risk, high consequence of impact, and zero redundancy. Page 1 9 Succession Planning Summary Report -71 Recommendations • Update job description of Engineering Technician I/11/111 category to better clarify their new roles in the GIS/CMMS workgroup. • Re-evaluate Asset Management staffing after the Asset Management Implementation Plan and the GIS/ CMMS implementation is complete. The workgroup will settle into a "maintenance mode." • Consider allowing a combination of training and experience to be substituted for supervisory experience for the GIS/CMMS Administrator position. • The work for the Maintenance Planner position could revert back to Plant Maintenance and Collection System Operations if the Maintenance Planner position were to become vacant. • Planning Engineers, Collection System Operations Senior Engineer, and Plant Maintenance Senior Engineer can absorb the roles and responsibilities if the Senior Engineer position were to become vacant. Rates and Fees • Gap Analysis - Findin • Cross -Training Gap • There are two Engineering Assistant 111 positions for Sewer Billing and Pianning, and one Engineering Assistant 1/11 for Rates and Charges, all of which report to a Senior Engineer. A Cross -Training Pilot Program is currently underway to promote business continuity. • Vulnerability Analysis - Findings • No highly -vulnerable positions that need immediate attention. • Recommendations • Make Cross -Training Pilot Program permanent to help prepare workgroup for departures and retirements. Development Services • Gap Analysis - Findings ▪ Cross -Training Gap A Cross -Training Pilot Program is currently underway to cross train the Engineering Assistant 1/11's with the Engineering Assistant Ill's in the Division. This will allow for position backup and prepare participants for possible promotion. • Experience Gap Page 20 Succession Planning Summary Report • Both Development Services Supervisors for the Permit Counter and for Construction Inspection possess a concentration of skills without adequate back-up, • Cross -Training Gap Consider providing cross -training in the Right -of -Way Section to build the specialized skills needed for possible retirement of the Senior Engineer for Development Services and a Senior Right -of -Way Agent. Being subject matter experts, Right -of -Way professionals need to have a specific skill set. 11 Vulnerability Analysis - Findings • Senior Engineer Position currently held by Tom Godsey. • Moderate departure risk, high consequence of impact, and zero redundancy. N Recommendations • Make Cross -Training Pilot Program permanent to help prepare group for departures and retirements. • Cross train individuals to assist the Development Services Permit Counter staff and provide assistance to the Development Services Supervisor. • Evaluate Development Services organizational structure and determine future professional Engineer staffing needs for supervising the Development Services workgroup. • Provide cross -training for staff to build skills needed to supervise the Right -of -Way workgroup and plan for retirement of a Senior Right -of -Way Agent. Page 21 Succession Planning Summary Report OPERATIONS DEPARTMENT Administration Administration Cross -Training Gap Experience Gap Supervisory Gap • Gap Analysis - Findings ▪ Cross -Training Gap Administrative Services Supervisor ▪ Cross -training is needed for supporting Laboratory, Regulatory Compliance, and Safety related duties. • Experience Gap • If promoted to an Administrative Services Supervisor, Administrative Assistants would need training on how to support a Director/Deputy Genera/ Manager (personnel issues, relationship development, calendaring, "thinking ahead," additional organizational skills, etc.). • Supervisory Gap • Currently one Administrative Assistant has been delegated duties when the Supervisor is away from the District. However, it may be an interest in the future to the other Administrative Assistant in the group to gain additional supervisory experience. The Administrative Assistant will need to receive additional trainings and be delegated duties when the Administrative Services Supervisor is away from the District. • Vulnerability Analysis Findings • Administrative Services Supervisor ▪ Position currently held by Angela Taliani. • High departure risk, moderate consequence of impact, and zero redundancy. Page 22 Succession Planning Summary Report 1 Recommendations • Provide cross -training within workgroup in anticipation for of Administrative Services Supervisor's retirement. • Address focus areas of development (i.e., HTE, budget process, and business and leadership development). • Delegate duties to both Administrative Assistants when Administrative Services Supervisor is away from the District to allow for training opportunities. Also, provide both Administrative Assistants opportunities to provide support to the Deputy General Manager; regularly meet with staff to discuss performance and career development opportunities. Page 23 Succession Planning Summary Report Fleet Services Cross -Training Gap Field Operations Cross -Training Gap Experience Gap Administrative Support Supervisory Gap Cross -Training Gap CCTV and CMMS Cross -Training Gap Fleet Services Page 24 Vehicle and Equipment Supervisor Maintenance Crew Leader Administrative Services Supervisor Senior Engineer Administrative Technician Gap Analysis Findings • Cross -Training Gap ▪ Vehicle and Equipment Mechanic needs experience and training to compete for Vehicle and Equipment Supervisor position, particularly to get experience working on supervisory and confidential matters. Vulnerability Analysis - Finciings • Vehicle and Equipment Supervisor • Position currently held by Enick Wright. Moderate departure risk, moderate consequence of impact, and back-up provided by two redundant positions. Recommendations • Provide cross -training rotation program and/or supervisory training to gain the needed experience. Succession Planning Summary Report. Field Operations • Gap Analysis - Finclingc • Cross -Training Gap • Al! Supervisors should be familiar enough with each other's workgroup to provide adequate coverage in case of extended absence. Maintenance Crew Leaders need to gain experience with personnel issues. Currently, Maintenance Crew Leaders do not have the opportunity to fill in for their Supervisors or get Out -Of -Class Pay while the Supervisor is on leave. • Experience Gap ▪ Currently Maintenance Crew Members Its do not have the opportunity to gain the three years of required experience needed to advance to Construction Equipment Operator. When a job requires two operators on a crew, Maintenance Crew Members have less opportunity to gain the needed experience. ▪ CCTV Supervisor needs to provide additional cross -training to current staff on how to operate the three different CCTV vehicles. MI Vulnerability Analysis - Findings • Maintenance Crew Leader • Position currently held by Don Bartlett. • High departure risk, moderate consequence of impact, and back-up provided by two redundant positions. • Recorr menclations • Provide cross -training between the four Supervisor positions and Maintenance Crew Leaders. • Provide additional time so that Maintenance Crew Members can gain the necessary experience to provide business continuity in case of extended absence from the District. • Provide cross -training for CCTV workgroup in order to provide redundancy and backup. Administrative Sup II Gap Analysis - Findings • Supervisory Gap • Administrative Services Supervisor requires two years of lead or supervisory experience. This experience is not offered to the Administrative Assistants at the District. Page 25 Succession Planning Summary Report • Cross -Training Gap • Administrative Assistant position needs cross -training or mentoring directly related to CSO tasks, confidential matters, and supervisory training. Vulnerability Analysis - Findings • Administrative Services Supervisor ▪ This position ts currently vacant and is being filled by a temporary employee pending the results of the Districf-wide classification study. Moderate departure risk, moderate consequence of impact, and redundancy provided by one redundant position. M Recommendations • Provide a combination of training and supervisory experience for the Administrative Assistant position. • Provide cross -training to allow Administrative Assistant to work on confidential matters required by Administrative Services Supervisor position. CCI V and CMM ▪ Gap Analysis - FincJing • Cross -Training Gap Collection Systems Maintenance Scheduler and Administrative Technician do not have the opportunity to supervise or gain experience with confidential matters. ▪ Vulnerability Analysis - Findings • Senior Engineer Position currently held by Alex Rozul. • High departure risk, moderate consequence of impact, and zero redundancy. • Administrative Technician ▪ Position was held by Doily Flanders. Ms. Flanders retired, and the position is waiting to be filled. • High consequence of impact, and back-up provided by two redundant positions. "7071 r 49t, r1 tinn • Provide additional cross -training to allow Collection Systems Maintenance Scheduler and Administrative Technician to gain experience with confidential matters and provide supervisory training. Page 26 Succession Planning Summary Report • Consider using a Transitional Position for a Senior Engineer position when the current Senior Engineer is within 6-12 months of planned retirement. This will allow proper knowledge transfer and improve staffing redundancy. ▪ Provide cross -training to allow other Administrative Technicians to gain experience for this position. Page 27 Succession Planning Summary Report Control System Cross -Training Gap Experience Gap Operations Associate Control Systems Engineer Associate Control Systems Engineer Control Systems Technician Senior Engineer Experience Gap Shift Supervisor/Operations Coordinator Supervisory Gap Process Control/Control Systems 1 Gap Anolysis Findincs • Experience Gap • The current Staff Engineer position WCfS filled in 201 5 using a Transitional Position to allow for cross -training in preparation for the August 2016 retirement of the Associate Control Systems Engineer (previously held by David Hefflefinger). Additional experience and development is needed for the Staff Engineer to reliably perform al/ Controls System related tasks and be eligible for advancement. • The other Associate Control Systems Engineer (currently held by Chuck Burnash) has no direct report or back-up coverage, and this current arrangement does not allow for succession planning. The Associate Engineer is not gaining the supervisory experience necessary to take on the Senior Engineer position in the future should the existing Senior Engineer depart or is on an extended absence from the District. ▪ Cross -Training Gap • The current Senior Engineer has been in the position for less than five years and can benefit from additional cross -training, supervisory development and technical development opportunities. The position requires an in-depth knowledge of various Process Conti-at/Control System components. • Vulnerability Analysis - Findings • Associate Control Systems Engineer ▪ Position currently held by Chuck Burnash. a Moderately high departure risk, high consequence of impact, and zero redundancy. Page 28 Succession Planning Summary Report • Control Systems Technician Position currently held by Mike Furtado. Moderate departure risk, moderately high consequence of impact, and zero redundancy. • Senior Engineer ▪ Position currently held by Nate Morales. Moderate departure risk, moderately high consequence of impact, and zero redundancy. 1 Recommendations • Although the current Staff Engineer is under filling the Associate Control Systems Engineer that retired in August 2016, the Staff Engineer has limited experience and does not fully support all the critical Control System functions. In order to cover the gap left by the recent retirement and to address the vulnerability associated any future departures, a Transitional Position for an Associate Engineer starting in FY2016-17s has been approved. • Provide cross -training professional development within the workgroup. Provide additional training opportunities, specifically related to Treatment Plant, Pumping Station, DYNAC, Wonderware, and PLC's. Current Staff Engineer should continue to learn the critical functions of this position. Prepare knowledge transfer documentations, such as Standard Operating Procedures. • Cross train the Instrument Shop staff and the Control Systems Technician to increase coverage and promote knowledge retention. Operafiv. • Gap Analysis - Findings • Experience Gap There is a large gap between the Supervisors primary responsibility of daily treatment plant operations and the more administrative tasks of the Superintendents positions. The Supervisors do not often have the opportunity to participate in administrative projects and decision making due to shift work. • Supervisory Gap The Shift Supervisor job description requires two years of supervisory experience. Currently, Plant Operators do not have an internal avenue to gain the necessary two years of experience to meet the minimum qualifications for the Shift Supervisor position. In the next six years, 70 percent of the Shift Supervisors are expected to retire. The Shift Supervisor has two primary job functions: 1) supervising a crew of Plant Operators in a technical capacity to ensure safe operations and regulatory compliance; and 2) developing Plant Operation staff to be technically competent to operate the Treatment Plant. To accomplish both of these job functions, Shift Supervisors need sound decision making, Page 29 Succession Planning Summary Report leadership, and interpersonal skills that can be partially acquired through training and mentoring. To fully develop Shift Supervisors, there must be an avenue for Plant Operators to practice the supervision of a crew in a supervisory capacity under the direction of a current Shift Supervisor. Deve/opment of future Shift Supervisors will help ensure safe operations and regulatory compliance in the future. • Vulnerability Annlysis Findincr ▪ Shift Supervisor/Operations Coordinator Position currently held by Bruce Dobey. ▪ High departure risk, moderately high consequence of impact, and minimal redundancy. • Recommendations • Consider a Transitional Position to address future retirement of Operations Coordinator Bruce Dobey. This would allow Shift Supervisors to rotate through a supervisory position that would more closely support the Superintendent. • Capture institutional knowledge that is not already captured in the Operations Standard Operating Procedures. • Develop cross -training opportunities for Senior Plant Operators. Page 30 Succession Planning Summary Report Pumping Station Cross -Training Gap Pumping Stations Supervisor Reliability Engineering Cross -Training Gap Assistant Engineer Supervisory Gap Buildings and Grounds Cross -Training Gap Buildings and Grounds Supervisor Experience Gap Electrical Shop Cross -Training Gap None Experience Gap instrument Shop Cross -training Gap Instrument Shop Supervisor Supervisory Gap Machine Shop Experience Gap None Supervisory Gap Mechanical Shop Cross -Training Gap Mechanical Supervisor Pomp ng Station Gap AnalysisFindings • Cross -training Gap Pumping Station Operator Ills can benefit from additional cross -training in supervisory role. Additional cross -training of Pumping Station staff on the operation of the North and West Pumping Stations is necessary. Vulnerability Analysis - Findn • Pumping Stations Supervisor Position currently held by Leo Gonzalez. • Moderate departure risk, high consequence of impact, and some back up on the key functions with the two Pumping Station Operator Ws. Page 31 Succession Planning Summary Report Recommendations • Continue to allow Pumping Stations Operators to fill in to gain experience in supervisory role when Supervisor is away from the District. Continue to train Pumping Stations Operator Ills on key functions of the supervisor's position. • Continue to provide cross -training opportunities within the Pumping Station workgroup to address key functions that have not been covered already by Pumping Station Operator Ills. Continued cross -training is needed on both North and West sides to address back up coverage and vulnerability. Currently, a process is in place. • Consider utilizing a Transitional Position to address future retirement of Pumping Station Supervisor. Reliability Engitietetli n Gap Analysis - Findings • Supervisory Gap Currently the three Maintenance Planners are non -supervisory positions. • Cross -Training Gap • The current Assistant Engineer position, held by Mark Cavaliero, has some back up on key functions with the Maintenance planners and the Electrical shop staff. Vulnerability Analysis - Findings • Assistant Engineer • Position currently held by Mark Cavallero. • Moderately high departure risk, high consequence of impact, and some back up on key functions with the Maintenance planners and the Electrical Shop staff. Recommendations • The new Maintenance Planner will help the current workgroup to manage the high workload with numerous proiects and initiatives currently underway. The workgroup will continue to provide cross -training between the Maintenance Planners and other staff to capture institutional knowledge and to create additional depth of staff trained on key functions within the team. • The Electrical Shop will also continue to cross train staff on key functions within the team and with Assistant Engineer Mark Cavallero and others in the Reliability Engineering workgroup on an as needed basis. • Update job description to reflect duties. Cross train in other areas of Reliability Engineering are needed. Page 32 Succession Planning Summary Report • Continue to update Standard Operation Procedures and other support documentation in these areas. • Consider utilizing a Transitional Position to address future retirement of Assistant Engineer. Plant Maintenance - All X Gap Analysis - Findings • Cross -Training Gap At least two of the Shop Supervisors have expressed interest in the Maintenance Superintendent role. • Recommendation • Encourage staff, especially Supervisors, to attend the District's Supervisory Academy. To address succession planning, Plant Maintenance Superintendent should develop a detailed Iist for typical Superintendent -related tasks ( i.e., contracts, monthly reports, and timesheets). Buildings and Grout- • Gop Analysis - Findings ▪ Cross -Training Gap There is a lack of cross -training on administrative responsibilities and on the critical job functions. • Experience Gap m Experience in a broad range of skills for Maintenance Crew Leader is needed. MI Vulnerability Analysis - Finclinas • Buildings and Grounds Supervisor a Position currently held by Roy Manes. • Moderate departure risk, moderately high consequence of impact, and no redundancy. Recommendations • Cross -training is recommended on critical functions; develop check Iist of tasks that documents the individual exposure to key functions of the Shop. • Rotate more staff into the Maintenance Crew Leader and Supervisor position for cross - training. Page 33 Succession Planning Summary Report • Provide the Maintenance Crew Leader with additional responsibilities and a variety of tasks and projects to address the experience gap and to cover for Building and Grounds Supervisor during his absence. • Provide a bigger role to the Maintenance Crew Leader in planning and distributing the workload in Buildings and Grounds Shop. ▪ Provide cross -training opportunities for Maintenance Crew Leader, and other staff to learn the critical functions. Electrical Shop ▪ Gap Analysis - Findings • Cross -Training Gap Cross -training is needed for Pumping Station electrical and high voltage (HV) skills. Currently, only two Electrical Technicians can cover the HV side. • Experience Gap Currently, only two Electrical Technicians fill the supervisory position. Electrical Shop Supervisor has expressed interest in the Maintenance Superintendent position. • Vulnerability Analysis- Findings • No highly -vulnerable positions that need immediate attention. • Recomnienciations • Continue developing cross -training opportunities for electrical and HV skills. • Encourage staff, especially Electrical Shop Supervisor, to attend the District's Supervisory Academy as well as Starl 2 courses offered by SkiII Path Seminars. Instrumen 1 Gap Analysis - Findings • Cross -Training Gap • Cross -training is needed to address possible retirement of Instrument Shop Supervisor Bruce Lewis in 2017. Currently, Instrument Technician Steve Borelli can cover the responsibilities of the Supervisor during his absence. Instrument Technician Tim Francis is now being rotated in when Supervisor away from the District. • Supervisory Gap Instrument Shop Supervisor may retire in the next few years. Instrument Technicians need supervisory experience in order to provide business continuity. Page 34 Succession Planning Summary Report. • Vulnerability Analysis - Findings • Instrument Shop Supervisor • Position currently held by Bruce Lewis. • High departure risk, high consequence of impact, and some redundancy. • Recommendations • As it gets closer to 2017, utilize a Transitional Position to cover the Supervisor's retirement. • Provide more time for all Instrument Technicians to become familiar with supervisory responsibilities and cross train on core tasks. Instrument Technicians should consider attending the District's Supervisory Academy. • Develop a checklist to help identify and focus on core skills when cross -training (i.e., cross - training staff related to Pumping Station responsibilities). Machine Shop • Gap Analysis - Findings • Experience and Supervisory Gap ▪ Currently, Machinist Bill Bowers can fill in for the Mechanical Supervisor position held by Lee Sutherland. Lee Sutherland is mentoring Bill Bowers; however, additional supervisory experience is needed for Bill Bowers to meet the minimum qualifications for the position. Machinist Bill Bowers recently completed the District's Supervisor Academy and plans to attend other training events as necessary or availabie. • Vulnerability Analysis - Findings • No highly -vulnerable positions that need immediate attention. Keconi rn p C 4:1 I Inf IS • Identify other opportunities for Machinists to develop supervisory skills and cross train with the Mechanical Shop. Machinist can also consider acquiring California Water Environment Association's Mechanical Technician III credentials to further their professional growth. • Develop a checklist to help identify and focus on core skills when cross -training. Page 35 Succession Planning Summary Report Mechanical S fAi Gap Analysis - Findings • Cross -Training Gap Currently, only three of the seven Maintenance Technicians are prepared to cover for Maintenance Supervisor. ▪ Job Description Update Needed ▪ Current job description is outdated for Mechanical Supervisor. hi Vulnerability Analysis - Findings ▪ Mechanical Supervisor Position was held by Torn Brown who retired in September 2076. The position was filled in October 2076 and is currently held by Matthew Mahoney. Moderate departure risk, high consequence of impact, and moderate redundancy. Recommendations • Develop a checklist to help identify and focus on core skills when cross -training. • Provide cross -training opportunities for Maintenance Technicians to learn the critical functions of the Mechanical Supervisor role. Maintenance Technicians should consider attending the District's Supervisory Academy. • Provide the opportunity for all Supervisors to fill in during the Supervisor's absence, and cross train on key functions of the position. Page 36 HUMAN RESOURCES Human Resources Cross -Training Gap human Kesources at Gap Analysis -Find ▪ Cross -Training Gap None Succession Planning Summary Report Cross -training is needed in the areas of benefits, administration and labor relations, and payroll processing for the Human Resources Analysts and Senior Administrative Technician. Ni Vulnerability Analysis - Findings • No highly -vulnerable positions that need immediate attention. • Recommendations • Provide cross -training opportunities within the workgroup, and develop Standard Operating Procedures to capture knowledge, especially in the areas of benefits with minimal staffing redundancy. Page 37 Succession Planning Summary Report SAFETY Safety Cross -Training Gap Supervisory Gap None • Gap Analysis - Finding, • Cross -Training Gap Cross -training is needed between Operations Safety Specialists to adequately cover responsibilities of Collection System Operations and the Treatment Plant. These positions have been isolated and have very little back-up support. Although the Collection System Operations and the Treatment Plant classification for the Operations Safety Specialist position is the same, the types of experiences are different. Collection System Operations needs o higher concentration in construction related safety, confined spaces, and traffic control. The Treatment Plant needs a higher concentration in Hazardous Material safety, lockout/tagout procedures, confined space entry, and process safety. Job descriptions were updated in July 2015. • Supervisory Gap The Safety Group is very small with two Operations Safety Specialists and the Safety Officer (Supervisor). There is no opportunity for the Operations Safety Specialists to gain lead experience in order to meet the minimum qualifications to provide business continuity in case of a sudden departure of the Safety Officer. The District would have to seek consultant support until the position could be refilled. • Vulnerability Analysis - Findings • No highly -vulnerable positions that need immediate attention. • Recommendations • Provide cross -training opportunities within the workgroup, and develop Standard Operating Procedures to capture knowledge, especially in the areas of benefits with minimal staffing redundancy. Page 38 SUCCESSION PLANNING SUMMARY REPORT Committee Chair Greg St.John Land Surveyor November 21, 2016 SUCCESSION PLANNING COMMITTEE • Established in May 2014 • Objective: Develop a formal succession plan to maintain high service levels and prepare the District for future retirements and sudden changes to staffing 11111111044\ • Monthly committee meetings • This year's initiative: District's SOP Program \\, ii• 11/14/2016 1 SUCCESSION PLANNING SUMMARY REPORT • Summarizes the results from the 2015 interviews and pre -interview assessments Provides recommendations to address the findings identified for each workgroup Compiled by SPC Reviewed by SPC, supervisors, managers, and Executive Team ASSESSMENT PROCESS In 2015, Pre -interview assessments completed for each workgroup: Gap Analysis Vulnerability Analysis Ili. SPC and staff volunteers conducted , workgroup interviews 11/14/2016 PRE -INTERVIEW ASSESSMENTS - Gap Analysis Identifies organizational gaps related to: Cross -training Experience Supervisory experience Job description Vulnerability Analysis Identifies vulnerable positions based on: Departure risks Consequence of impact Staffing redundancy ORGANIZATION OF THE REPORT 1. Introduction 2. Assessment Process 3. The recommendations are organized by: • Departments r Divisions Workgroups 11/14/2016 3 GENERAL OBSERVATIONS More retirements are expected Continuous development of professional and supervisory experience Proactive succession planning needed for the highly -specialized, vulnerable positions Need for additional cross -training opportunities Supervisory experience needed to compete for promotional opportunities Some job descriptions may require updating TYPES OF VULNERABILITIES Loss of experience due to retirement Lack of redundancy for some positions Limited cross -training opportunities Knowledge retention needs improvements Some job descriptions do not accurately reflect the current duties 11/14/2016 11/14/2016 TYPES OF SOLUTIONS Create Dosition-specific plan to address vulneraple positions & anticipated retirements Utilize Transitional Positions to address anticipated retirements Compile Standard Operating Procedures to capture institutional knowledge Develop cross -training programs to increase coverage of critical job functions Examine opportunities to provide supervisory experience and trainings Update some job descriptions QUESTIONS?