An Investigation into Succession Planning Initiatives in Government:
A Case of the Botswana National Archives and Records Service
Sylvia Siane
23231416Mini- dissertation submitted in partial fulfilment of the requirements for the degree Masters in Business Administration at the Mafikeng Campus of the North-West
University SUPERVISOR: DrG.N. Molefe October 2013 LY
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ABSTRACT
This research is an investigation into Succession planning initiatives in government agencies in Botswana, a case of the Botswana National Archives and Records Services. The Botswana National Archives and Records Services has been experiencing a significant loss of employees over the years. When people leave the organisation in most cases the vacant position will take too long to fill, especially for those positions that require the technical qualification and experience in Archives and Records Management. This state of affairs according to the researcher may be addressed by implementing a succession planning strategy. Succession planning has the potential to uplift government agencies in terms of increased productivity, motivation, efficiency and retention of staff. Succession planning can help organisations to invest more on developing their staff for future key positions to ensure business continuity. It is important for organisations to have a strong pipeline so that key positions are easily filled as they become vacant.
This study sought to establish if the Botswana National Archives and Records Services has any initiatives on succession planning and how well the employees understand the concept of succession planning. A questionnaire was designed and administered to the staff of the National Archives. The findings from the study reveal that most of the employees do not understand the concept of succession planning and the organisation has no initiative on succession planning. These findings led to the conclusion that the National Archives should include succession planning in its business strategy and teach its employees about it to ensure business continuity.
Table of Contents
ABSTRACT . ii
DECLARATION
... V
ACKNOWLEDGEMENTS
...
"ILISTOF FIGURES AND TABLES ...vii
CHAPTER1
... 1
BACKGROUND AND OVERVIEW
...
I 1.1 Introduction ... 11.2 Background of the study...2
1.3 Statement of the problem...2
1.4 Aim of the study... 3
1.5 Objectives of the study...4
1.6 Research questions ...4
1.7 Research hypotheses ...5
1.8 Significance of the study...5
1.9 Organisation of the study...7
1.10 Summary...7
CHAPTER2
...8
LITERATUREREVIEW
... 8
2.1 Introduction ... 8
2.2 History of Succession Planning...8
2.3 Broad Objectives of Succession Planning ...14
2.4 Challenges Associated with Succession Planning in the Public Sector
...
152.5 Summary ... 20
CHAPTER3
... 21
RESEARCH METHODOLOGY
...
213.1 Introduction ... 21
3.2 Overview of possible methods...21
3.2.1 Why was the method chosen...22
3.3 Population sampling... 23
3.4 Discussion of the instrument to be used...23
iii
3.5 How data was collected .24
3.6 Discussion on reliability and validity...24
3.7 Method and Data Analysis...25
3.8 Ethical Considerations: ...25
3.9 Summary ...26
CHAPTER 4
...
27
FINDINGS AND INTERPRETATIONS ... 27
4.1 Introduction ...27
4.2 Background to the findings ...27
4.2.1 Response Rate ...27
4.2.2 Demographic profile...28
4.3
Main findings...
314.3.1 Understanding succession planning ...32
4.2 Summary ...48
CHAPTER5
...
49
SUMMARY, CONCLUSIONS AND RECOMMENDATIONS...49
5.1 Introduction ...49
5.2 Findings of the Study...49
5.3 Limitations of the study ...51
5.4 Recommendation for further studies...52
5.5 Recommendations to Botswana National Archives and Records Services and other Stakeholders...52
5.5 Concluding Remarks...54
LISTOF REFERENCES...55
APPENDICES
...
58
iv
DECLARATION
I,
Sylvia Siane,
do hereby declare that this mini dissertation is the result of my investigation and research and that this has not been submitted in part or full for any degree or any other degree to any other university.Sylvia Siane
Date
ACKNOWLEDGEMENTS
I express my deepest thanks, gratitude and appreciation to the following people, whose assistance and cooperation made my studies a success.
My supervisor Dr G.N. Molefe for his kindness, patience, understanding and fatherly advice, constant encouragement and guidance. His expert help was a source of guidance in continuing and refining my guidance, his constant persuasion encouraged me to apply my ideas, knowledge and perceptions on succession planning in a government office in Botswana.
To my wonderful family, who have supported me through all the difficult times, my daughter Setso, for giving me love and never complaining despite my busy schedule.
To all staff members of Botswana National Archives and Records Services, they may not be aware that they made a major contribution and were valuable to my studies.
Above to my Heavenly Father who was my pillar of strength, my comfort, my help and who kept me rooted upon the unshakable rock when there were winds, rain and thunder; without him all these efforts would not have been possible.
LIST OF FIGURES AND TABLES
Figure 2.1: Wilkerson's Model of Organisational Strategy...11
Figure 2.2: Succession Planning: A project Plan...12
Figure 2.3: Suggested Theoretical Framework on Succession Planning...18
Table4.1: Gender...28
Table 4.2 Working experience...29
Table 4.3: Highest level of Education...30
Table 4.4: Level of Understanding of Succession Planning...32
Table 4.5: Individual's Roles and Responsibilities with Regard to Human Resource management... 33
Table 4.6: People Responsible to put a Succession Plan in Place...34
Table 4.7: Do you believe that the organisation is doing enough in terms of succession planning... 35
Table 4.8: Is there a written Succession Plan in the Organisation...35
Table 4.9: The best tool to be used for succession planning...35
Table 4.10: I am satisfied with the advancement or promotion opportunities within my department...36
Table 4.11: The overall understanding of Succession Planning in the organisation...36
Table 4.12: Leadership and development attributes that support Succession planning.40 Table 4.13: Challenges of Succession Planning at the Botswana National Archives and RecordsServices ... 42
CHAPTER 1
BACKGROUND AND OVERVIEW
1.1 Introduction
The concept of succession planning is a relatively new one in the public sector of Botswana, and there is no deliberate plan for implementing it in the Botswana Public Service. This scenario has given rise to whether the status quo contributes to low performance and lack of satisfaction by public sector employees.
The Botswana National Archives and Records Services like many other government agencies has always relied on the never ending supply of employees and their loyalties of working their entire lives for the same ministry over the years. This has led to government sectors seeing no need to plan for tomorrow in terms of their human resources; however, this has changed over the years as more and more private and other employers emerged in Botswana. This has led to employees leaving government employ to join others, either for more money or career satisfaction. The days of government seen as the only secure employer are now gone and this has created a problem in the form of closing key positions when they become vacant.
This study investigated the succession planning initiatives in the government of Botswana through the Botswana National Archives and Records Services, and provided recommendations going forth.
This report was conducted with the use of articles, journals, books and a questionnaire on succession planning. Literature on succession planning will be reviewed and policies or any legal instrument guiding succession planning in the Botswana National Archives and Records Services (if any) will be analysed.
1.2 Background of the study
The Botswana National Archives and Records Services has been experiencing numerous problems with regard to its human resources over the years mainly because of staff retirements, attrition rate, low morale and overall low performance. The movement of people from the office to join other employers has created a lack of continuity as these movements are frequent and happen quickly. The management is often caught off-guard and having a performance or service gap as vacant posts created by these movements prove very difficult to fill. The difficulty has put the office in the spotlight as service delivery is compromised. The objective of this dissertation is to investigate succession planning initiatives being used by the Botswana National Archives and Records Services and to suggest a framework for closing gaps. With the above background, the situation calls for an investigation of initiatives, if any on succession planning in order to advise on how best to implement them or design them.
1.3 Statement of the problem
The literature that is available reveals that many organisations especially the private sector have tried to implement succession planning but with little success. According to lbarra (2005:18) effective organisations do not passively wait for the future, they create it by investing their time, thoughts and planning in order to ensure the continuity of their leadership. Succession planning is done to ensure that when key people leave, the organisation can continue to fulfil its goals and carry day-to-day operations with minimal disruption Sartori (2009).
The Botswana National Archives and Records Services in the Botswana government have seen numerous changes to the management of people in the last few years due to the introduction of Public Service Reforms. The implementation of the New Public Service Act No. 30 of 2008 (Botswana, 2008) has totally changed the landscape of retirement trends in the public service including that of the Botswana National Archives
and Records Services. Early retirement age has been reduced from 50 to 45 years and this will drain the experience and knowledge of key employees as they leave the public service early (Public Service Act No. 30 of 2008) (Botswana, 2008). A considerable number of employees in the Botswana National Archives and Records Services are close to this age, especially middle managers to top managers. This impending wave of retirements will directly affect the operational capabilities of the Botswana National Archives and Records Services if there is no succession planning initiative. Traditionally, Public Officers would be active in the workplace until they are 60 years when they would have reached the compulsory retirement age. Also the emergence of better employers who offer better benefits like pay and job satisfaction has led to an increase in turnover at the Botswana National Archives and Records Services.
"Succession planning, like any other government reform, is critical to the organisation's effectiveness" says Armstrong (2007:297). The Botswana National Archives and Records Services are often experiencing problems with filling vacant posts as the posts will take a long time to be filled or it will be filled by somebody who still needs mentoring. This therefore will create a vacuum in service delivery as service will be compromised. This situation of ad-hoc filling of posts has left many disgruntled as there seem to be no plan on addressing this issue of succession.
This study therefore seeks to establish whether the Botswana National Archives and Records Services are implementing any succession planning strategies in their organisation.
1.4 Aim of the study
The aim of the study is to identify a succession planning framework that the Botswana National Archives and Records Services can implement to improve its retention of staff and better its performance.
1.5 Objectives of the study
This study is driven by five objectives. These are the quest:
1.5.1 To determine the level of understanding of succession planning at the Botswana National Archives and Records Services.
1.5.2 To establish whether there is succession planning in the organisation 1.5.3 To suggest the best tool to use for succession planning
1 .5.4 To determine the best way of managing succession planning
1.5.5 To critically evaluate the effectiveness and challenges of succession planning initiatives in the office.
1.6 Research questions
The interrogative questions that are poised to guide this study are the following: 1.6.1 Do officers believe that succession planning is important?
1.6.2 What is the level of understanding of succession planning in the organisation?
1 .6.3 What are the challenges associated with succession planning in the public sector?
1.6.4 Are there any succession planning initiatives being implemented at the Botswana National Archives and Records Services?
1 .6.5 Would succession planning be difficult to implement at the Botswana National Archives and Records Services?
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1.7 Research hypotheses
The following untested statements or propositions are presented in answer to questions posted under 1.6 above:
Hol: Successful implementation of succession planning is dependent on the level of understanding of the concept by staff
The level of understanding of succession planning highly depends upon years of experience
There is an association in the level of understanding of succession planning between genders.
1.8 Significance of the study
This study is motivated by the current state of affairs at the Botswana National Archives and Records Services, where staff is lost to other institutions, morale is low, vacant positions take up to a year to fill and there is a general lack of continuity within the organisation.
It is anticipated that the outcomes of this study will help the organisation to fully understand the concept of succession planning. The findings will guide the executive management in selecting the best tool to use for succession planning and highlight the key areas to focus on.
If the Botswana National Archives and Records Services adopt a succession planning strategy it may be a benchmark for other government agencies to emulate it. This will ensure that there is improved performance in the delivery of service as vacant positions will not be vacant for long and will be filled by fully capable people who do not need long hand handling.
The findings might also motivate future researchers to identify other factors that impede the implementation of succession planning in government agencies which lead to gaps in performance outcomes.
1.9 Organisation of the study
This dissertation is structured in the following sequence:
Chapter One - Introduction: This chapter covers the background to the study, statement of the problem, justification of the study, research questions as well as objectives of the study, the scope and rationale of the project.
Chapter Two - Literature Review: This chapter will highlight the theoretical framework, critical analysis of the existing literature on the subject matter, need for the research proposed as well as an in-depth coverage of the relevant theories regarding the role of succession planning in the public sector.
Chapter Three - Research Methodology: This chapter specifies the data collection methods employed by the author, sampling method and analysis as well as a detailed account of all issues considered.
Chapter Four - Data Collection, Presentation, Analysis and Findings: This chapter comprises data analysis, appropriate data collection techniques, presentation and a synthesis of the findings obtained and how they relate to the objectives of the study. Chapter Five - Conclusions and Recommendations: The final chapter will have the final part of the study where the findings, summary and recommendations will be highlighted; the impact of the study will be outlined as well as the final conclusion.
1.10 Summary
This chapter introduced the nature and scope of the study, problem statement, the aim of the research, statement of the hypotheses as well as the significance of the study. The next chapter reviews existing literature relating to the subject under review.
VA
CHAPTER 2
LITERATURE REVIEW
2.1 Introduction
The purpose of this chapter is to review the literature on succession planning in the public sector in order to appreciate the benefits, challenges and models of succession planning in the public sector. The literature will help in understanding the challenges the Botswana National Archives and Records Services is faced with in implementing succession planning initiatives as a public office or lack thereof.
2.2 History of Succession Planning
This section deals with views recorded by various scholars on the matter under investigation. The literature on succession planning that is currently available dates back to the beginning of the 20th century but mostly applies to succession planning in the private sector, according to Butler (2010:27). The concept of succession planning according to Wilkerson (2007:10) has long been a subject of study in the private sector, but not in the public sector. Of some 130 studies on succession planning conducted between 1980 and 1993, only five involved the public sector. SchalI (1997:6) also laments about the lack of literature, particularly in the public sector. She says that serious study of succession planning in the public sector began in 1992.
Succession planning, according to Gilmore (1988:29) is the means by which an organisation prepares for and replaces managers, executives and other key employees who leave their positions, and is critically important to the organisation's continued and future success. It includes processes such as how the organisation identifies and recruits successors, how it manages transitions from one executive to another and how it develops successors. According to Leibman, Bruer and Maki (1995:6), succession planning in the past tended to focus on high level positions within the organisation.
However, this trend has changed; succession planning for only top executives is no longer the case and companies are pushing it down in the organisation. It is now used as a development tool as opposed to a disaster recovery plan (Robb, 2005:89). This argument is supported by Mamprin (2006:2) who says that succession planning is an on-going process of systematically identifying, assessing and developing talent to ensure leadership continuity for all key positions in an organisation. Rothwell (2001 :27) points out to the fact that succession planning has been erroneously referred to as replacement planning. He differentiates replacement planning as being about immediacy and filling a void within a position, not a strategic initiative that is designed to develop and cultivate talent and create pools of skilled leaders to draw from later. The Australian Public Service Commission (2003:6) also has observed that often when creating a succession plan, agencies focus on upper level management positions, although there are many positions throughout an agency that are critical to its success therefore when implementing a succession plan agencies should identify talent at all levels. They continue to say that a succession culture should be developed at all levels not only at the top.
From the definitions above it can be noted that succession planning is not a back-up program like recorded information which is stored in a fireproof vault in case of a disaster; it is a proactive, deliberate form of employee development over time so that they may assume key positions when there is a need.
According to Rothwell and Netlibrary (2001:33), there are four fundamental reasons for succession planning. First, succession planning is the method that an organisation must employ to ensure "the right people in the right places at the right times". It reduces the effects of high turnover, advances diversity and provides a framework for the establishment of career paths; training, development plans, and individual career moves. Wilkerson (2007:11) also impresses that succession planning should be seen as part of an overall talent management strategy and link it to the organisation's strategy and goals. Succession planning should be considered an important component of an organisation's human resource and strategic planning processes, since it can
ensure leadership continuity, prevent transition problems, and reduce incidents of premature promotion, according to Soonhee (2003:4). It is very clear from the literature available that succession planning is a critical strategy for any organisation.
Despite the overall lack of public sector literature on the subject, models have been developed on how public sectors can address succession planning successfully Wilkerson (2007:13).
Over the years a number of models have been proposed. Wilkerson (2002:6) says that traditionally many public and private organisations looked at succession planning as an annual event, "where we put senior management in a room and talk about everyone in the organisation who has the potential to be brought in to their ranks". This has however changed as succession planning must be seen as an overall management strategy. Mamprin (2006:2) says that succession planning does not exist in isolation. It must be interwoven with the organisation's strategic objectives and should reflect the way the organisation needs to evolve in order to achieve its strategic goals.
Wilkerson (2002:5) suggests a model of an organisational strategy (figure 2.1) that will ensure that succession planning succeeds in any organisation. According to him, succession planning is one of a number of strategies that is employed to effectively manage talent in an organisation, and align the people in the organisation to achieve its goals. According to Wilkerson (2002:6), after the inclusion of succession planning into the organisational strategy, that is when models or frameworks of succession planning may be suggested.
I agree with the literature that says that for succession planning to succeed it should be part of the organisational strategy. Organisations tend to put their weight behind their organisational strategy therefore anything outside will not be seen as critical to the success of the organisation.
Used to identify
Which serve as foundation fr
Figure 2.1: Wilkerson's Model of organisational strategy
Various models, frameworks and suggestions on what should be done to maximise succession planning efforts have been put forward over the years. PricewaterhouseCoopers (2006:15), in their paper, suggest an approach that has six elements and they refer to it as Leadership Talent Pipeline. According to this approach an organisation should: understand the current state of pipeline; understand the process of leadership development; know how to fill the pipeline; track the talent through the pipeline; use the talent pipeline data and add a leadership position and focus resources to support the pipeline. Ibarra (2005:20) on the other hand argues that a comprehensive strategy for instituting succession planning involves a series of strategies and tactics that together make up an overall project plan. He suggests eight steps as part of the project plan. Ibarra's eight steps project plan is shown in figure 2.2.
Figure 2.2: Succession Planning: A project Plan
Future Service Needs
Monitor and
Evaluate
*
Identify Positions identity Complete Gap
and High Potential
Competencies Analysis _ J
Employees
Select Training and Determine
Development Activities
Implement Management
Development Training
Strategies and Tactics
Kerlin, McGaw and Wolf (2008) suggest a more robust strategic succession planning process. According to their process the organisation should establish a strategic process, strengthen the 'bench' and negotiate human resource restrictions. According to this model, an organisation needs to establish a strategic process underpinned by data. The organisation should hold regular meetings, plan for critical roles and clearly define requirements. The second step is for the organisation to strengthen the 'bench' by developing all high potential employees, looking within the public sector and the private sector. The last stage is to negotiate the human resource restrictions by distinguishing among law, policy and tradition, aggregating data from different sources and create grooming opportunities.
Lavinga (2005:8) on the other hand suggests a more simplified model for succession planning. According to him succession planning is a series of steps or events that build on one another. This model suggests as an initial step to analyse the organisation's current workforce capabilities like the people and competencies available at the moment. The second step is to project the organisation's future workforce needs; that is the people and competencies needed to do the work of the future. The third step is to compare the current workforce to the future workforce needs to identify people/competency imbalances, both gaps and surpluses. The next step, the fourth one, will be to develop Human Resource policies, plans and approaches to eliminate gaps and surpluses and therefore build the workforce for the future. The last step is to do it again and again. He suggests that an organisation should put in place a permanent process to continually assess workforce needs and capabilities, identify gaps and eliminate imbalances.
The literature available indicates that there are many models put forward by scholars on what constitutes a succession plan. From my point of view a succession planning model is not a "same size fits all"; organisations should borrow from all models in the literature to develop a model that best fits them. A theoretical model is suggested later in the literature that has borrowed from all these models to create a model that may best fit a public office, most importantly the Botswana National Archives and Records Services.
2.3 Broad Objectives of Succession Planning
According to Butler (2010:3) any succession plan will have the following objectives: identify and select best fit candidates for leadership positions, assure effective leadership development, preserve organisational knowledge and intellectual capital and maximise retention and minimise turnover of top performing employees. Rothwell and Netlibrary (2001:19) outline two types of succession planning, the informal process and formal process. According to him, informal process which is sometimes called "grooming" the focus is on replacement of personnel versus the development of personnel, he continues to say that this replacement planning is often confused with succession planning but in its simplest form it is a form of risk management. According to Rothwell and Netlibrary (2001:19) on the other hand, formal succession planning, is a process with clear objectives that adheres to a standard that all employees can understand.
Wilkerson (2007:5) believes that is important for preparing people in lower levels to assume higher level responsibility to deal with anticipated turnover. This includes ensuring that they receive adequate training and development, and exposure to other functions in the organisation for their potential roles. He continues to say that commitment by top management and the systematic approach to succession planning can ensure that talent is always available and prepared to assume management roles when succession events arose. Despite most scholars seeing succession planning as beneficial to any organisation, private or public, Wilkerson (2007:9) notes with concern some pitfalls that may be damaging if succession planning is designated as a separate programme instead of an integrated strategy for managing talent in an organisation. He further argues that the organisation must first be clear about its vision for the future and the leadership and skills that vision will acquire. Without these essential foundations, succession planning programs will not achieve their desired results. Gonzalez (2010:6) says that the most important ingredient for a successful succession plan is probably the attitude of the leadership. Few people can develop their potential without organisational support, and that begins at the top. Highly successful organisations have a critical mass
of passionate advocates who understand that succession planning is the key to sustai na bi I ity.
Pynes (2004:12) states that for an organisation to be competitive, it must be able to anticipate, influence and manage forces that impact their ability to remain effective. By invoking workforce succession planning, organisations are better able to match their human resource requirements with the demands of the external environment and the needs of the organisation according to this scholar.
According to Ibarra (2005:19), it is imperative to recognise that the process of establishing systematic succession planning is the equivalent of making a long-term culture change. Succession planning requires a commitment to a long-term, strategic view of talent needs and its benefits are: It will ensure continuity of management, it will help an organisation to meet both long-term and emergency leadership needs at all levels.
2.4 Challenges Associated with Succession Planning in the Public Sector
Most scholars decry the many challenges of implementing succession planning in the public sector like not enough resources, rigid employment legislation and lack of understanding. One of the most common challenges cited by public sector leaders and Human Resource staff is the restrictions the public personnel system places on their ability to implement private sector style programs (Metz, 1998:17). To further advance this argument of public sector challenges in implementing succession planning strategies is Wilkerson (2007:11), who says that while the private sector has increasingly focused on creating succession planning programs that align with their changing business needs, the public sector has lagged behind. This is largely due to the complexity of implementing these programs in the public sector. The challenges include the nature of tenure and political leadership in the public sector, personnel systems rules, lack of resources and lack of time and focus. According to Kerlin et al. (2008), "while private sector corporations can select and groom specific successors for leadership roles as they see fit, government agencies face more restrictions. Most of the
constraints, for example, required postings for every vacancy and employee friendly grievance procedures, stem from well - intentioned efforts to quash patronage, but they can also inhibit succession planning". Public agencies have used a number of creative approaches to groom leaders while staying within legal requirements.
Another scholar, Butler (2010:8), says that one of the challenges of succession planning in the public sector is the mistake of leadership treating adaptive challenges as if they were technical problems. Also, Wilkerson (2007:7) continues by saying that the biggest challenge affecting succession planning is change. He argues that the most important change for the public sector is shifting from one-to-one replacement mapping to creating a pool of future leaders capable of meeting the organisation's succession needs. Although some authors may argue that succession planning may create a form of entitlement, Wilkerson (2007:9) differs by pointing out that having a succession strategy in place can boost performance. The pools of participants are continuously improving their skills and competences, leading to improved performance in the organisation itself. Schall (1997:6) seems to differ with arguments put forward by these scholars on why succession planning in the public sector has not received much attention. The argument here is that leaders in the public sector have themselves not taken the issue of succession planning seriously. Schall (1997:6) notes that, one of the biggest challenges of succession planning in the public sector is strategy continuity, failure to sustain innovation and programs in the face of changing administrations, politics and priorities. This argument is supported by Wilkerson (2002:6) who says that one of the challenges of effective Succession planning in the public sector is strategy continuity.
Recent research by the likes of Reeves (2010:61) points out that constricted financial restraints and budgetary deficits that are unparalleled since the Great Depression are major obstacles to succession planning. According to Ibarra (2005:20), besides the broad challenges of adopting succession planning in the public sector like a lack of resources and support from management, there are also specific ones that are barriers to effective succession planning including the assumption that your employee's retirement options are a "don't ask, don't tell" issue; the perception that predetermining
the best candidate for a position resembles favouritism and the principle of seniority as the primary factor in promotions.
The literature that is available emphasises that the function of succession planning cannot be divorced from organisational effectiveness; therefore, it should be part of each organisation. As said by Wilkerson (2007:11), succession planning is a key element of an effective strategy for managing talent and ensuring that an organisation achieves its future goals. Succession planning, as said by many authors is not a new concept for both private and public sector, however, it is not easy to implement in the public sector because of the peculiar nature of public management. There are numerous challenges in the public sector like, the nature and tenure and political leadership in the public sector, personnel system rules, lack of resources and lack of focus (Wilkerson, 2007:15). Conducting this study is very important as the literature that is available show that when succession planning initiatives are effectively implemented and linked to an organisation's strategy and integrated with other human resource processes, public sector organisations can benefit (Butler, 2010:27). This research will help the Botswana National Archives and Records Services to look into their succession planning initiatives and models if there are any in order to plan for the future. It will be used as a yardstick going into the future.
The suggested model of an effective succession plan has borrowed from a number of frameworks to create a model that can be considered implementable in the public sector. This framework is based mainly on the premise that, any plan or model should have a solid foundation to build onto. This model has borrowed from Ibarra's (2005) project plan, Kerlin et al. (2008) robust model, Lavinga (2005:8) five step model and Neefe D. 0 (2010:23) framework for an effective succession planning process.
Figure 2.3: Suggested theoretical framework on succession planning
Assessment of Talent to Identify Competencies and Gaps
dj dih
gcommittee
/
It is quite evident from the available literature that no single model can fully address all issues of succession planning, some key elements are similar; therefore, they can all feed into each other so that an organisation may formulate a model that best fits its needs and capabilities. A combination of all these models may be used to come up with
4
a hybrid and robust model to meet the challenges of implementing succession plans in the public sector. The suggested model is shown in Figure 2.3.
This suggested model is based on the premise that any good process should have a good foundation, where the Succession plan is integrated into the organisational strategy with other processes, like communication strategy and solid human resource management policies and procedures. Top management participation and support is a necessary element to any succession plan according to Ibarra (2005:24). Without this support the plan will never take flight within the culture of the organisation. This suggested model or framework emphasises on the whole process being built on transparency so that every employee knows what is going on. Succession planning should be openly communicated throughout the organisation.
A succession planning committee to provide oversight for the succession planning process should be established. This committee will be responsible for tracking and documenting all processes or stages of succession planning.
In order for the succession plan to be effective a needs assessment should be conducted to ascertain the needs of the organisation. As said in the PricewaterhouseCoopers report "An organisation must understand the current state of the pipeline without knowing where you are, it is impossible to know where to go." PricewaterhouseCoopers, (2006:1). This will help the organisation to strategically define the size and nature of the pipeline and the number of critical roles for which planning needs to occur. Critical positions and who the high potentials are will be identified to fill positions in the future. After the high potentials are identified, their talents, competencies and gaps will be assessed so that purpose training programs may be selected to close gaps. Feedback should then be communicated to the committee to continuously monitor and evaluate progress. This model is continuous and should not end as succession planning is not a once-off event. This model is suggested on the basis that it can meet the challenges of implementing succession planning in the public sector. Succession planning should not be seen as a Human Resource
management activity, but an organisational one that should drive the objectives of the organisation into the future.
Challenges which have been identified in the literature like lack of management commitment, rigid human resource management policies, lack of resources and the ad hoc filling of key positions may be addressed by the suggested theoretical framework. Public sector organisations are subject to strict regulation and scrutiny of employment practices; therefore, they fail to commit themselves to implementing succession plans. Succession planning is critical to any organisation for effectively filling key positions to ensure that the organisation achieves its future goals. With many challenges in the public sector like lack of resources, lack of management support and many organisations seeing succession planning as not core to the mission of the organisation. The literature has provided reasons why succession planning is important for organisations to meet talent challenges. Challenges associated with implementing succession planning in public sector organisations have also been outlined as well as how public sector organisations may develop their own plans. Literature on public sector organisations which have implemented succession planning, although scant, is available and may be used for benchmarking. A theoretical model has also been suggested which attempted to incorporate what has been put forward by different scholars.
2.5 Summary
The reviewed literature revealed that for any organisation to succeed there has to be a succession plan in place. There is a strong indication that an organisation that has a succession planning strategy with a good foundation, which is part of the overall business strategy, will fare better implementing succession planning.
The next chapter outlines the steps followed when conducting this study.
CHAPTER 3
RESEARCH METHODOLOGY
3.1 IntroductionThis chapter deals with how this study was conducted such as the research method used and why it was chosen, population sampling, data collection technique and the development of the instrument to be used as well as issues of reliability, validity and ethical issues.
The approach used for this study was qualitative analysis in order to get an understanding of how succession planning is being implemented in the Botswana National Archives and Records Services. This qualitative approach was chosen because it meets the needs of the study which are to ascertain if the Botswana National Archives is implementing any initiatives on succession planning, to determine if the office sees succession planning as critical, determine the level of understanding of succession planning of the employees and examine the difficulties of implementing it, if any, as well as make recommendations to the office.
3.2 Overview of possible methods
There are different methodologies to use for research like qualitative, quantitative or mixed methods. The Quantitative method is based on meanings derived from numbers and collection result in numerical and standardised data Saunders et al, (2007:145). Qualitative research is used predominantly as a synonym for any data collection technique such as an interview or data analysis procedure such as categorising data that generates or uses non-numerical data; the other method is the mixed method where both qualitative and quantitative data collection techniques and analysis procedures are used in a research design. This is divided into two types, being mixed
method research and mixed model research. The qualitative method is exploratory and is usually used when one does not know what to expect as stated by Mora (2010). This method is useful if one wishes to clarify one's understanding of a problem, and it may be conducted through the search of literature, interviewing experts in the subject and conducting focused group interviews according to Saunders et al. (2007:145).
The mixed method research which includes both the qualitative and quantitative method is normally encouraged as it is seen as providing a different perspective and complementing each other. This method also enables triangulation to take place. Both the qualitative and quantitative methods have their own strengths and weaknesses; therefore, through the use of the mixed method these weaknesses will be explored as stated by Saunders et al. (2007:145). However for this research, the quantitative method is preferred.
For the purpose of this research, the quantitative method will be used. Quantitative research can be classified into different types according to Sukamolson (2012:4), being survey research, correlational research, experimental research and causal-comparative research. The survey research is the chosen one for this study and a questionnaire was used.
3.2.1 Why was the method chosen
This method was chosen because it is useful to quantify opinions, attitudes and behaviours and find out how the population feels about a certain issue, which in this case is succession planning. This method enabled the researcher to test the hypotheses. This method was suitable as the researcher was not exploring the problem of succession planning in-depth. Finally this research intended to look at cause and effect and not at the meaning of particular events or circumstances as would be the case with qualitative research.
3.3 Population sampling
This study obtained information from general employees, human resource practitioners and senior management. The Botswana National Archives and Records Services have an establishment of 79 permanent employees which served as the target population. In a pilot study, a total of eight of employees were selected. These eight employees were given questionnaires and aims and objectives of the study were explained. Their responses were analysed and corrective action taken on the design instrument. This paved the way for the final instrument that was used for the study.
In the study, a sample of 59 permanent employees was randomly selected. A total of 41 responded, signifying a favourable response rate of 70.7%. The sample was mainly permanent employees holding key positions within the office. The industrial class employees did not form part of the population; hence none of them were included in the sample.
3.4 Discussion of the instrument to be used
There are many approaches to qualitative research; however for this study a survey in the form of self-administered questionnaires has been adopted. This method was selected because it is quite inexpensive, does not require interviewer time and allows respondents to maintain anonymity and reconsider their responses. This technique also provides an efficient way of collecting responses from a large sample prior to quantitative analysis Saunders et al. (2007:209). The questionnaire tested two variables of behaviour and opinion. According to Saunders et al. (2007:361), opinion variables record how respondents feel about something or what they think or believe is true or false. Behaviour variables will test what people or their organisations did in the past, do now or will do in the future.
The set of questionnaire used in this research study is divided into two sections as follows:
Section A - Respondent's background/Demography, Section B and C - Questions on succession planning.
3.5 How data was collected
Data for this study was gathered through the use of questionnaires administered to respective officers dealing with human resources and some of the general staff. The target population is human resource practitioners, part of management and a sample of the workers. The questionnaire was completed as individual questionnaires, which was either sent via electronic mail to the identified respondent or handed out. This research was conducted at the Botswana National Archives and Records Services to a sample of 59 employees.
3.6 Discussion on reliability and validity
Credibility in research is very important because it reduces the possibility of getting the answer wrong, meaning that attention has to be paid to two particular concepts on research design: reliability and validity according to Saunders et al. (2007:149).
Reliability refers to the extent to which your data collection techniques or analysis procedure will yield consistent findings. There are a number of threats to reliability which include subject or participant error, subject or participant bias, observer error and observer bias. Reliability was enhanced by conducting a pilot study before conducting the final study. This enabled the researcher to gauge the ability of the research instrument to deliver consistent results.
Validity on the other hand is concerned with whether the findings are really about what they appear to be about. There are a number of threats to validity which must be
minimised. The researcher ensured validity by incorporation of a positivist design to ensure the research instruments measured what was intended, the data collected was specific and precise.
3.7 Method and Data Analysis
After the data was collected, it was analysed so as to draw conclusions. Related data was grouped together for ease of analysis. This brings in the issue of coding and this involved going through all the responses to establish codes that could be used for the various variables. After coding a statistical program called Software Package for Social Sciences was then used to analyse the data. The data was then presented in a way that readers will be able to interpret and tables were used. Conclusions were drawn from such data and recommendations made based on the interpretation or findings of the study. For this study validity was enhanced by conducting a pilot study before attempting the final study. This enabled the researcher to gauge the ability of the research instrument to deliver consistent results.
3.8 Ethical Considerations:
Ethics as said by Blumberg, Copper and Schindler (2005:92) are the moral principles, norms or standards of behaviour that guide moral choices about our behaviours and our relationship with others. Research ethics therefore relate to questions about how we formulate and clarify our research topic, design, analyse data, gain access and write up our research findings in a moral and responsible way, Saunders et al. (2007:178).This research will be handled with ethical standards in mind. Access and consent was sought from both management and participants for the use of the results. Confidentiality of the information was guaranteed, while participants remained anonymous throughout the study. The results of the study will be used to benefit the Botswana National
Archives and Records Services as it will help the office to do introspection and take appropriate action.
3.9 Summary
This chapter focused on the research methodology used to collect data. A questionnaire was the main data collection tool in investigating, succession planning initiatives at the Botswana National Archives and Records Services. Quantitative methods were used to collect data and analysis done through Software Package for Social Sciences was presented.
The next chapter will focus on data analysis and findings.
CHAPTER 4
FINDINGS AND INTERPRETATIONS
4.1 Introduction
This chapter presents the findings and interpretations. Tables and figures are used to enable ease of reference. The presentation of findings is such that they follow the same sequence as they did in the questionnaire.
4.2 Background to the findings
Analysis of data is a process of inspecting, cleaning, transforming, and modelling data with the goal of highlighting useful information, suggesting conclusions, and supporting decision-making Adèr (2008:58). In order to analyse and interpret data, the SPSS statistical software package was used. This study mainly focused on discussing benefits and challenges faced in the implementation of succession planning in the Department of National Archives and Records Services, Botswana. Different types of analysis tools such as Frequency analysis, custom table, and correlation were used to represent respondents' responses.
4.2.1 Response Rate
This study targeted the 59 permanent staff at the Botswana National Archives and Records Services out of the staff complement of 79. The remaining 20 are those employees who are on a one-year contract and represent the cleaners and grounds-men. Of the targeted 59 respondents, only 41 completed the questionnaires, which translate to a response rate of 69.5%. The response rate is leaning towards the positive mark because for most of the staff in Gaborone the researcher delivered the questionnaire by hand and also collected it by hand. For the staff in Kanye and
Francistown the questionnaires were sent by email and respondents were periodically reminded about it. For the ones that the questionnaire was hand delivered, clarity was given on questions that respondents did not understand and for those who used e-mail, the researcher always responded by clarifying and explaining unclear concepts through electronic mail.
42.2 Demographic profile
For this study demographic aspects that were considered included gender, working experience and level of education of the respondents.
Table 4.1 Gender
Item Frequency Percent
Male 20 48.8 Female 20 488 No Response 1 2.4 Total 41 100.0 Figure 4.1: Gender 2.4 48.8k 48.8 uMale Female V No Response
Table 4.1 indicates that for those who responded to the questionnaire at the Botswana National Archives and Records Services, both male and females were the same, while one did not indicate gender. This can be explained by the fact that the core business of the organisation is not learning towards any particular gender therefore male and females are given the same opportunities.
Table 4.2: Working experience
Frequency Percent Average
No Response 4 9.8 3.81 1.00 8 19.5 2.00 4 9.8 3.00 6 14.6 4.00 3 7.3
-
5.00 7 17.1 6.00 5 12.2 7.00 3 7.3 9.00 1 2.4Figure 4.2: Working experience
9 8 8 7 6 5 4 3 2 1 0 6 Years of experience is Noof Responses
Regarding working experience at the Botswana National Archives and Records
is 17.1%. Around 14.6% hold 3 years' experience and another 12.2% hold 6 years in the organisation. The average experience of all the respondents is 3.8 years.
Table 4.3: Highest level of education
Item Frequency Percent
BALlS 1 2.4 BA Admin 2 4.9 BA Humanities 1 2.4 BA library studies 10 24.4 BSc 4 9,8 Cambridge 1 2.4 Certificate in HR 3 7.3 CIPS Level 4 1 2.4 Diploma in Archives 1 2.4 Diploma in HR 4 9.8 MA in Conservation 1 2.4 Master Degree 3 7.3
Masters in Archives and Records Management
8 19.5
MBA 1 2.4
Total 41 100.0
Figure 4.3: Qualification i:O io-( BALlS 9 - 8 8 - i. BAAdmin 7_ BA Humanities 6' 5 BAlibrarystudies
1
31
. UBSC 2i riCambridge1 111111
LII I I
ii
CIPSLcveI4 4: E ,.. < E ' CO a a C. Diploma ri Archives 4: Li 2 -- a) DiplomainulR U MA in Conservation ciThe highest level of education of respondents is illustrated in the table 4.3. According to this table, 24.4% hold a Degree in Library Studies followed by Masters in Archives and Records (19.5%). All other qualifications refer to the table. These findings indicate that 63% of the respondents hold a Bachelor's degree or above in the organisation.
4.3 Main findings
To enable ease of presentations analysis and discussion will follow the order of research questions.
4.3.1 Understanding succession planning
The respondents were asked about their level of understanding of succession planning in the organisation. Table 4.4 illustrate this.
Table 4.4: Level of understanding with regard to succession planning
Item Frequency Percent
Very Poor 6 14.6 Poor 12 29.3 Average 17 41.5 Good 5 12.2 Excellent 1 2.4 Total 41 100.0
Table 4.4 reveals that the level of understanding of succession planning is average according to 41 .5% of respondents. Around 29% reported that their understanding level is poor and for another 14.6% it is very poor. This was positively responded by 14.6% (good and excellent). The findings indicate that there is an average understanding of the concept of succession planning. It should however be noted that the 43.9% of poor to very poor is not very good. The results indicate that the level of understanding of succession planning has no relationship with the level of education, as 63% of employees hold bachelor's degrees or above but their level of understanding of succession planning is mostly average. It can therefore be said there is still a lot the organisation has to do about capacitating employees on the concept of succession planning.
Table 4.5: Individual's roles and responsibilities with regard to human resource management
Frequency Percent
Head of Department 5 12.2
Supervisor 9 22.0
Human resource Practitioner 4 9.8
Junior officer 16 39.0
Human Resource Manager 2 4.9
Other 1 2.4
No Response 4 9.8
Total 41 100.0
Table 4.5 represents the respondent' findings regarding the role they have to play with regards to human resource management. From the findings, a majority of officers (39%) are junior officers who play a minimal role of human resource. What this means is that most of the respondents depend on their superiors and the human resource department for their human resource needs (44%) of the respondents, representing Heads of
department, supervisors and human resource practitioners. This question was analysed using a multiple response set. Multiple responses count the number of occurrences of each response. Table 4.6 illustrates the details.
Table 4.6: People responsible to put succession plan in place Item Responses Percent of Cases (9*100/34) N=34 Percent (9*100/57)
-
Head of Department 9 15.8% 26.5% Supervisors 17 29.8% 50.0%Human Resource Department 17 29.8% 50.0%
Executive Management Human Resource Manager
11
3
19.3% 32.4%
5.3% 8.8%
Total 57 100.0% 167.6%
The study revealed that, Supervisors and human resource are seen as the most responsible people to put a succession plan in place in the organisation. According to the multiple response tables, the percentage of responses is the overall percentage and the percentage of cases is the percentage for individual items. The table shows that out of the 41 respondents, 34 of them responded positively to this question (N34). Other members responsible are Executive Managers and Heads of the departments. Few respondents reported that the Human Resource manager is also responsible to implement succession planning. From what the findings are saying implementing succession planning does not belong to one unit of the organisation but several who include executive management, heads of department and the human resource management.
This question wanted to establish the feelings of the respondents with regard to how well the organisation is implementing succession planning. Table 4.5 illustrates this.
Table 4.7: Do you believe that the organisation is doing enough in terms of succession planning?
Item Frequency Percent
Do not know 10 24.4
In adequate 24 58.5
Average
-
6 14.6Adequate 1 2.4
Total 41 100.0
The outcome of the research shows that, 58.5% of respondents reported that it is in-adequate. However, 24.4% do not have any idea on this and another 14.6% believe that it is average. This was fully supported by 2.4% (adequate).
Research Question:
Table 4.8: Is there any written succession plan in the organisation
Item Frequency Percent
No 24 58.5
No Idea 17 41.5
Total 41 100.0
The study shows that virtually there is no written succession plan in the organisation. Out of the total respondents, 58.5% reported that no such plan exists and another 41.5% do not have any idea of such a plan. From the results on the table it is clear that the Botswana National Archives and Records Services have no known succession plan either written or otherwise. This therefore puts it with organisations that have no plan for tomorrow, organisations that are reactive to human resource needs rather than being proactive.
Table 4.9: The best tool to be used for succession planning
Responses Percent of Cases
N40 Percent
Training Analysis 21 46.7% 52.5%
Mentoring 24 53.3% 60.0%
Total 45 100.0% 112.5%
According to respondents, this multiple response table shows that the best tool which can be used for succession planning is Mentoring (53%) followed by Training Analysis which was reported by 46.7% of respondents. From the findings of the respondents there is a 6.6% difference between what respondents believe should be the best tool for succession planning, meaning therefore that the Botswana National Archives And Records Services may use both tools as they do not counter each other.
Table 4.10: I am satisfied with the advancement or promotion opportunities within my department
Item Frequency Percent
Not satisfied 22 53.7
Slightly Satisfied 16 39.0
Satisfied 3 7.3
Total 41 100.0
Promotion from one level to the next level within the organisation at times causes disgruntlement as people within may be overlooked citing lack of experience at the expense of people from outside. The outcome shows that, 53.7% are not satisfied with the current advancement or promotion opportunities. Those slightly satisfied represent 39% and those satisfied represent 7.3% of the respondents. With no plan for succession there is bound to be issues regarding advancement which can be seen from the 53% of people who are not satisfied with how promotions are handled.
Table 4.11: The overall understanding of succession planning in the organisation Totally Moderately Not sure Moderately Totally disagree disagree Agree Agree Count % Count % Count % Count % Count %
a) E > wc2 , > 23 56.1% 3 7.3% 13 31.7% 1 2.4% 1 2.4% .0 a) c > D U) - 0 0 '- O) j3 >-0 a)= C-) 0) 0.5 a) U) - 11 26.8% 11 26.8% 14 34.1% 5 12.2% 0 0.0% >EEw C 0) E E m 0 0 a)o Ea) .2 > a) a) 4-4_ a)U)0 U) 23 56.1% 6 14.6% 9 22.0% 1 2.4% 2 4.9% Ct a) a) a) — > . (1) 0 a) a) U) 0 a) 3 7.3% 4 9.8% 28 68.3% 5 12.2% 1 2.4% a) = Ct -
U) (i) O)_ CU -D O C c 0) 0-0 - 0 0) C c . 4 9.8% 6 14.6% 21 51.2% 3 7.3% 7 17.1%
°
'- C 0 ci) 0(l) oOn the aspect of whether the organisation has a comprehensive succession plan, which is integrated to the business strategy and who should be responsible for its implementation, the findings are as follows:
Regarding whether the organisation has a comprehensive development programme integrated with strategic business objectives, most respondents reported negatively to this. The study revealed that 56.1% totally disagree and another 7.3% disagree to the statement that the organisation has a comprehensive development programme integrated with strategic business objectives. Besides this negative number, 31.7% reported as Not sure of this. This was agreed by only 2 respondents (4.8%). This result shows that the Botswana National Archives and Records Services is not doing well in terms of planning for training.
Any organisation that has a formal management training programme based on the development of specific competency is bound to succeed in the future. On the question whether there is such a programme in the organisation, the study revealed that 53.6% totally disagree or disagree that there is a management training programme in the organisation. Only 12% agreed that there was, while 31% was not sure of this programme.
On whether there was a Succession plan intended for a sudden loss of key senior executives, 70.7% totally disagree and disagree. This was agreed or totally agreed by 7.3% and another 22% reported as not sure. This still cements the fact that the organisation does not plan for any eventualities regarding the loss of key people within the organisation.
38
On the issue of whether managing succession planning is a primary exercise conducted by human resource, respondents mostly were not sure of this (68.3%) and another 17% totally disagree. This was supported by 14.6% of the respondents. It is clear from the findings that at the Botswana National Archives and Records Services most of the employees do not know who is supposed to implement succession planning. This scenario may lead to employees blaming the wrong people for the lack of it.
Regarding the statement of "our organisation does not consider succession planning as a strategic goal", 51.2% reported as Not Sure of this and another 24.4% Totally Disagree or Disagree to this. This was agreed by 24.4%. Every employee should be fully conversant with his/her organisation's strategic goals to ensure that all are driving towards the same goals; however, at the Botswana National Archives and Records Services, most people are not sure whether succession planning is part of the organisation's strategic objective, which point to the fact that they do not know the organisation's, objectives fully.
Table 4.12: Leadership and developmental attributes that support succession planning
Not at all A little bit Quite a bit Very much
Count % Count % Count % Count %
Seeks to release
and nurture 7 17.1% 13 31.7% 16 39.0% 5 12.2% people's creativity
Mentors and
grooms you for the 7 17.1% 14 34.1% 13 31.7% 7 17.1% future Demonstrates the importance of 2 5.3% 14 36.8% 15 39.5% 7 18.4% integrity by actions Has no interest in 12 33.3% 9 25.0% 10 27.8% 5 13.9% my development Serves as aggregate team 4 10.0% 14 35.0% 8 20.0% 14 35.0% player and leader
Invest significantly
in employees' 9 22.0% 17 41.5% 10 24.4% 5 12.2% continuous
development
The participants were given a chance to evaluate their immediate supervisors with regard to leadership and developmental attributes as shown on table 4.12.
Regarding support factors the study shows that approximately 70% agreed that there is a little bit or quite a bit of support for nurturing of people's creativity. This was not supported by 17% and another 12.2% agreed that there is very much support to nurture people's creativity.
Regarding the question of whether there is room to groom people for the future, 65.8% agree that there is a little bit or quite a bit of room to groom juniors by the leadership. This was not supported by 17% and another 17% believe that there is very good intention to groom people.
A very good number of people reported that the organisation demonstrates the importance of integrity by action. Out of the total respondents 36.8% believed there is a little bit of integrity and another 39.5% believe there is a little integrity. This was not believed by 5.3% and another 18.4% believe that there is a lot of integrity.
'The organisation has no interest in my development' was confirmed by 33.3% of respondents. For approximately 25% there is a little bit of interest and another 27.8% believe that there is quite a bit of interest in employees. A few respondents (13.9%) believe that there is very much interest on staff development.
Regarding whether the leadership serves as aggregate team players and leaders, the study found that 55% of respondents believe that the organisation has very little or quite a little attitude towards it. This was not supported by 10% and another 35% believe that the leadership serves as team players.
Employers invest significantly in employees' continuous development. This was positively supported by 12.2% (very much). However, 41.2% believe that they invest a little bit and for another 24.4% it is quite a bit. This was not supported by 22%
From the finding of the leadership and developmental attributes the Botswana National Archives is not doing very well as most of the respondents fell in the category of "a little bit and quite a bit" in areas which are critical to grooming, developing and ensuring there are no gaps in service delivery when positions become vacant which easily translate to succession planning. Ibarra (2005:7) points out that for any succession plan to be effective there should be continuous development, grooming and nurturing.
Table 4.13: Challenges of Succession planning at the Botswana National Archives and Records Services
Totally Moderately Not sure Moderately Totally
Disagree disagree Agree Agree
Count Row Count Row Count Row Count Row Count Row
N% N% N% N% N%
Succession planning can work for our
3 7.5% 1 2.5% 0 0.0% 7 17.5% 29 72.5% organ isati on if implemented It encourages entitlement and hostility 6 15.0% 1 2.5% 8 20.0% 17 42.5% 8 20.0% between employees Impossible to implement succession 19 47.5% 6 15.0% 9 22.5% 2 5.0% 4 10.0% planning in government There is no support and mentoring 7 17.5% 14 35.0% 4 10.0% 9 22.5% 6 15.0% from Management
