role transition plan - - / · xls file · web view · 2011-12-23specify...

Knowledge Transfer Plan (KTP) HighlightsIn preparation for the departure of key staff within the organization, this planning template assists in the effort to lessen the impact of those departures by capturing their institutional knowledge.

The KTP is a knowledge transfer tool, in Microsoft Excel format, that will:

● Ease role transition efforts ● Capture essential position information ● Group knowledge needs into logical and separate components ● Provide a process to transfer knowledge in a scheduled, structured mannerNote: The KTP template is intended to be a fluid system and may be customized to fit your organization's needs. It is recommended that template responses be completed in Microsoft Excel format as some data is formula driven and automatically populates a response (i.e., minimum/maximum dates and total hours are calculated, etc.). Contact the following for assistance in completing the template or to request an electronic copy:

Somer RatanamanySuccession Planning UnitPhone: (916) 376-5379

Email: [email protected]

Somer RatanamanySuccession Planning UnitPhone: (916) 376-5379

Email: [email protected]

Knowledge Transfer Plan

file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xlsTOC 3

Table of Contents

Component Information Captured PageProduction Schedule 2

Component Instructions Provides instructions to complete components 1 – 8. 4

1Key Contacts & Relationships 5

2 Assignments List and description of the position's assignments. 7

3 Deliverables 9

4 Activities 11

5 Meetings 13

6 Vital Information 15

7 Issues & Risks 18

8 Lessons Learned 20

An automated schedule (with instructions) to track status, dates and hours required to complete components 1 – 8.

Identifies key contacts (internal & external) and their relationships to the position's functions.

List and description of the position's deliverables, status of work in progress and deliverables not yet started.Identifies the position's activities which are not planned or part of a deliverable.List and detail on meetings regularly attended/coordinated by the position.Catalog and storage location of vital information pertinent to this position that consists of: (1) technology, (2) processes, (3) performance enhancement and (4) resource tools. Active list of issues and risks inherent with (or observed by) this position. List of lessons learned from the individual's experiences while in this position.


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xlsTOC 4

Page


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xlsProduction Schedule 5

u vw x y z vComponent Status Hours Required Start Date End Date Comments

Not Started 1.25 01/21/10 02/04/10Not Started 13.50 02/08/10 03/02/10Not Started 9.00 05/06/10 06/09/10

Not Started 11.50 07/01/10 07/13/10

Not Started 8.00 01/02/10 02/03/10

Not Started 7.75 05/01/10 08/06/10

Not Started 7.00 02/08/10 02/16/10

Not Started 9.75 02/15/10 04/08/10

TOTAL Knowledge Transfer Effort Required (in hours) 67.75 { Overall Start/End Dates 01/02/10 08/06/10 |

(Dates & Total hours are auto-generated)

Types of Knowledge Transfer Strategies Used }

Date Signed

~ Name (dd/mm/yy)

KTM Plan (initial approval) Manager/Supervisor

Overall KTM Process Person Giving KT

Completion Person Receiving KT

(sign-off) Manager/Supervisor

1. Key Contacts & Relationships2. Assignments3. Deliverables 4. Activities5. Meetings6. Vital Information7. Issues & Risks8. Lessons Learned

Note: Instructions follow on next page (for u - ~ )



Instructionsuv "Status" and "Comments" are entered manually.

w

x

y

z

{

|

}

Complete all eight (8) components PRIOR to completing fields 2 through 10 of the "Production Schedule."

"Status" column:● Enter data manually by selecting a value from the drop down list.● Select the applicable status from the drop down list: "Not Started", "In Progress" or "Complete"● Set the color of the cell as applicable: ►Green - On schedule to complete by the "End Date" ►Blue - Behind schedule but will complete by the "End Date" (insert reason into the "Comments" cell) ►Red - Behind Schedule and will NOT complete by the "End Date" (insert reason into the "Comments" cell)

"Hours Required" column:● This is the total time required to transfer knowledge for the specific component.● Data is automatically generated and extracted from the worksheet for the specific component.● Ensure the formula and data in each worksheet is accurate (insertion of additional cells may alter preset calculations).

"Start Date" column:● This is the start date (i.e., dd/mm/yy) of the first KT activity scheduled for the component.● Data is automatically generated and extracted from the worksheet for the specific component. Ensure the dates and data formula calculation in each worksheet is accurate (insertion of additional cells may alter preset calculations).

"End Date" column:● This is the end date (i.e., dd/mm/yy) of the last KT activity scheduled for the component.● Data is automatically generated and extracted from the worksheet for the specific component. Ensure the dates and data formula calculation in each worksheet is accurate (insertion of additional cells may alter preset calculations).

TOTAL Knowledge Transfer Effort Required (in hours)● This is the total hours required to complete the entire KTM process.● The total number of hours automatically generates (ensure cell formula calculation is accurate).

Overall Start/End Dates ● These fields represent the overall start and end dates for the entire knowledge transfer process (i.e. "Start Date" is the earliest start date for any of the components and "End Date" is the latest end date for any of the components).● The earliest start and latest end date automatically populates.

“Types of Knowledge Transfer Strategies Used”● List the Knowledge Transfer Strategies (e.g. mentor programs, job shadowing, procedures manual, etc.) used during the course of this process.



~ “KTM Plan (initial approval)" and "Overall KTM Completion (sign-off)”● Prior to starting the transfer process, Manager or Supervisor reviews/approves draft KTM plan; and then signs & dates "KTM Plan (initial approval)"● Once the entire KTM process is complete, the knowledge transfer giver and receiver sign-off by entering their name and date of final completion (insert additional sign-off rows as required if responsibility was transferred to multiple persons). ● The Manager or Supervisor signs-off overall once he/she concurs the knowledge giver and receiver have completed the entire process. Note: Overall sign-off implies that the knowledge transfer process is successfully complete.


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xlsComponent Instructions 8

KT Task/Step Status Start Date End Date Comments

01/21/10 01/22/1002/04/10 02/28/10

(Insert rows as needed)

TOTAL Effort Required 0.00 Dates & Totals in this box are auto-generated

Start/End Dates for KT 01/21/10 02/28/10

Name Date Person Giving KT

Person Receiving KT

Introduction: Each of the eight (8) knowledge transfer (KT) components has two parts to complete (Parts u and v).

Part u (Knowledge Transfer Subject Information )Follow the specific instructions included in the beginning of each component and ensure Part u is completed prior to starting Part v.

Part v (Knowledge Transfer Production Schedule)The purpose of this schedule is to assist you in identifying tasks that relate specifically to the transfer of knowledge. Furthermore, it provides a plan and timeframe for the knowledge receiver to fully understand a component's subject information. Part v instructions include:►Identify and list all tasks or steps necessary to transfer knowledge for the specific component.►For each task/step, complete the following: • Status – Input “Not Started,” “In Progress,” or “Complete” • # of hours required – Input the amount of time KT will take for the task/step as this will measure the total KT effort needed for this component Note: show hours in decimal format and quarter hour increments (e.g. 15 mins is shown as .25; 1 hour & 30 mins is shown as 1.5, etc.) • KT start/end dates – Input the planned start/end dates for this task/step►Enter additional information in the comments column (as needed)►Ensure the "TOTAL Effort Required" cell is correctly populated ►Component Sign-Off: The person giving KT and the person(s) receiving KT must sign-off by entering their name and the date of completion once overall KT for this component is complete (insert additional sign-off rows as required if transferring knowledge to multiple persons)

# of Hours Required

Component Sign-Off

C10

Current status of this task - Not Started, In Progress, Complete

D10

The amount of time KT will take for this task. NOTE: show hours in decimal format, e.g. 15 mins is shown as 0.25 1 hour and 30 mins is shown as 1.5

E10

The planned start date for this task DD/MM/YYYY

F10

The planned end date for this task DD/MM/YYYY

D17

Please confirm that this cell is a sum of the hours listed in the cells above

E18

Confirm that this is the earliest start date for any task above

F18

Confirm that this is the latest End date for any task above


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls1. Key Contacts & Relationships 9

Component Description & Purpose

External or Client Relationships/ContactsName Organization Address Phone & Email Relationship Description


Internal DGS Relationships/ContactsName Division/Office Location Phone & Email Relationship Description


Description: A list of key contacts (both internal and external) and details/definitions of each relationship. Purpose: The purpose of this component is to identify and define the relationships of the position's key contacts. (Note: Component has two parts to complete.)

Instructions: Completing the "Key Contacts & Relationships" worksheet (Part u)u List of Key Contacts & Relationships

►List and complete all columns for each key contact you maintain in this position ►"Relationship Description" column: Identify relationship type, responsibilities and services provided/received►"Comments" column: Include additional information about the contact (as necessary)

Note: Proceed to the next page to complete the Production Schedule (Component - Part v). Sample KT tasks/steps are included.

Production Schedule (Component - Part v)*



KT Tasks and Steps Status Start Date End Date

Compile list of contacts Not Started 0.50 01/21/10 01/22/10Meet and discuss contacts and relationships Not Started 0.75 02/04/10 02/04/10



Start/End Dates for KT 01/21/10 02/04/10Name Date

Component Sign-Off Person Giving KTPerson Receiving KT

# of Hours Required

* Refer to the Component Instructions page to complete Part v.

C34


D34


E34


F34


D57


E58


F58




Comments

Comments

A list of key contacts (both internal and external) and details/definitions of each relationship. The purpose of this component is to identify and define the relationships of the position's key contacts.

List and complete all columns for each key contact you maintain in this position "Relationship Description" column: Identify relationship type, responsibilities and services provided/received"Comments" column: Include additional information about the contact (as necessary)

Proceed to the next page to complete the Production Schedule (Component - Part v). Sample KT tasks/steps are included.



Comments


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls2. Assignments 13


Conduct Data Analysis Create Procedure Toolkitu Key Information Response Response

Describe the assignment and its purpose

Identify your role (e.g. supervisor, lead analyst, team member, etc.)

Identify all parties involved (e.g. team members, contractors, etc.)

Identify frequency of assignment

Identify timeframes (e.g. deadlines, schedules, etc.)

Identify recipient(s) of the assignment

Provide current status (e.g. in progress, under review, etc.)

Identify action steps for completion

Description: A detailed list of current assignments which may include the following:• Regular ongoing projects• Special assignments• Data analyses & researchPurpose: The purpose of this component is to provide an overview of the position's current assignments.(Note: Component has two parts to complete.)

Instructions: Completing the "Assignments" worksheet (part u)u Key Information and Responses

►Replace the red text below with the assignment title►Insert additional response columns as needed for each assignment►Insert additional rows to include further key information as appropriate►Input the response to each key information as applicable

Identify where assignment information is stored (e.g. shared drive location, file folder name, etc.)

Note: Proceed to the next page to complete the Production Schedule (Component - Part v). Sample assignment titles and tasks are included.


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls2. Assignments 14

Assignments / Tasks Status Start Date End Date Comments

Conduct Data Analysis Compile/provide procedures Not Started 8.00 02/08/10 02/09/10 Provide on the job training Not Started 2.00 02/15/10 02/15/10

Create Procedure Toolkit Provide tool kit overview Not Started 1.00 03/01/10 03/01/10 Assign senior staff as mentor Not Started 0.50 03/01/10 03/01/10 Discuss content information Not Started 1.50 03/02/10 03/02/10 Discuss review process Not Started 0.50 03/02/10 03/02/10






# of Hours Required


D23


F23


G23


H23


F50


G51


H51



file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls3. Deliverables 15


Workforce Analysis Report Departmentwide Contractsu Key Information Response Response

Describe the deliverable and its purpose

Identify your role

Identify how input is received (from who and/or where)

Identify frequency of deliverable

Identify timeframes (e.g. deadlines, schedules, etc.)

Identify reviewer(s)

Identify recipient(s) of the deliverable

Provide current status (e.g. in progress, under review, etc.)


and tasks are included.

Description: A list of tangible deliverables that are currently in progress or have not been started (e.g. reports, documents, plans, etc.).Purpose: The purpose of this component is to identify the tangible deliverables assigned to the position.(Note: Component has two parts to complete.)

Instructions: Completing the "Deliverables" worksheet (part u)u Key Information and Responses

►Replace the red text below with the deliverable title►Insert a separate response column for each additional deliverable title►Insert additional rows to include further key information as appropriate►Input the response to each key information as applicable

Identify where information on the deliverable is stored (e.g. shared drive location, file folder name, etc.)

Note: Proceed to the next page to complete the Production Schedule (Component - Part v). Sample deliverable titles


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls3. Deliverables 16

Deliverable Title / Tasks Status KT Start Date KT End Date Comments

Workforce Analysis Report Provide report overview Not Started 2.00 05/06/10 05/07/10 Assign senior staff as mentor Not Started 0.25 05/08/10 05/08/10 Discuss content information Not Started 1.00 05/19/10 05/19/10 Discuss report update process Not Started 0.50 05/20/10 05/20/10

Departmentwide ContractsProvide contracts overview Not Started 1.50 06/01/10 06/02/10Discuss process steps Not Started 2.00 06/03/10 06/04/10Discuss review process Not Started 1.75 06/08/10 06/09/10


TOTAL Effort Required 9.00Start/End Dates for KT 05/06/10 06/09/10

Name Date

Component Sign-Off Person Giving KT

Person Receiving KT


# of Hours Required


D24


G24


F50

Confirm that this is the earliest Start date for any task above

G50



file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls4. Activities 17


Knowledge MGMT Training Teambuilding Eventu Key Information Response Response

Describe the activity and its purpose

Identify frequency of activity

Identify activity due dates (if any)


Description: A list of activities that are not part of a deliverable or assignment. These are miscellaneous responsibilities that need to be transferred. Examples may include the following:• Coordinating social events• Back-up hard drive• Provide travel information for newcomers• Organize/present internal training sessions Purpose: The purpose of this component is to identify activities not directly part of the position's main/essential responsibilities, but support the organization's goals and objectives.(Note: Component has two parts to complete.)

Instructions: Completing the "Activities" worksheet (part u)u Key Information and Responses

►Replace the red text below with the activity title►Insert additional response columns as needed for each activity ►Insert additional rows to include further key information as appropriate►Input the response to each key information as applicable

Identify your role (e.g. coordinator, leadsperson, supervisor, etc.)Identify all parties involved (e.g. team members, participants, recipients, etc.)

Identify where activity information is stored (e.g. shared drive location, file folder name, etc.)

Note: Proceed to the next page to complete the Production Schedule (Component - Part v). Sample activity titles and tasks are included.


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls4. Activities 18

Activity / Tasks Status Start Date End Date Comments

Provide Knowledge MGMT Training Discuss training overview Not started 4.00 07/10/10 07/10/10 Review material/handouts Not started 2.00 07/11/10 07/12/10 Discuss prep methods Not started 2.00 07/12/10 07/13/10

Plan Teambuilding Event Provide event overview Not started 2.00 07/01/10 07/02/10 Discuss roles Not started 1.50 07/01/10 07/02/10






# of Hours Required


E22



file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls5. Meetings 19


Weekly Team Meeting Workforce Ad Hocu Key Information Response Response

Identify meeting frequency (e.g. daily, weekly, etc.)

Specify set day/time and/or location (as applicable)

State meeting purpose or objectives

Identify your role

List the type(s) of input you provide

List the deliverables you provide (or feed into)

Identify chairperson/facilitator (name/contact information)

List attendees and their role

Identify meeting coordinator (name/contact information)

Identify scribe (name/contact information)

Provide meeting minutes storage location

Description: A list of meetings regularly attended and/or coordinated by the position (e.g. committees, ad hocs, taskforce, all staff, one-on-one, etc.). Purpose: The purpose of this component is to identify and provide a detailed schedule of the position's recurring meetings and responsibilities thereto.(Note: Component has two parts to complete.)

Instructions: Completing the "Meetings" worksheet (part u)u Key Information and Responses

►Replace the red text below with the meeting title►Insert a separate response column for each additional meeting►Insert additional rows to include further key information as appropriate►Input the response to each key information as applicable

Specify meeting format (e.g. face to face, conference call, online meeting, etc.)

Describe how to ensure actions are followed up and completed on time

Note: Proceed to the next page to complete the Production Schedule (Component - Part v). Sample meeting titles and tasks are included.


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls5. Meetings 20

Meeting Title / Tasks Status KT Start Date KT End Date Comments

Weekly Team Meeting Discuss meeting overview Not Started 2.00 01/02/10 01/03/10 Provide sample deliverables Not Started 1.00 01/05/10 01/05/10

Workforce Ad Hoc Discuss meeting overview Not Started 1.00 02/01/10 02/02/10 Provide debriefing process Not Started 4.00 02/03/10 02/03/10


TOTAL Effort Required 8.00 Dates & Totals in this box are auto-generatedStart/End Dates for KT 01/02/10 02/03/10

Name Date



# of Hours Required


C26


E26


F26


G26


E53


F54


G54



file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls6. Vital Information 21

Description & Purpose

u Technology Description & Purpose Information Source/Storage Location Comments

v Process Description & Purpose Information Source/Storage Location Comments

Description: A list of vital information pertinent to this position which includes the following subject areas: u technology, v processes, w performance enhancement mediums, and x resource tools. (Examples are provided within the instructions for each subject area.) Purpose: The purpose of this component is to identify information pertinent to this position and its source and/or storage location.

Instructions: Technology (related Information) u

►List all technologies used by this position aside from MS Office programs (e.g., software, applications, database, ABMS, PIE, MIRS, Adobe Photoshop, etc.)►Complete the description and purpose of information and its source location (e.g., file paths, intranet/internet site, etc.) ►Provide additional comments if needed (e.g., special instructions to obtain/access information, frequency of usage, etc.)

Instructions: Processes (related Information) v►List all documented processes used by this position (e.g., State Contracting Manual, SPB Policies [Pinkies], procedures, standards, etc.)►Complete the description and purpose of information and its source location►Provide additional comments if needed (e.g., special instructions to obtain/access information, frequency of usage, etc.)

Note: Proceed to the next page to continue with the "Vital Information" worksheet (subject areas w and x).



w Performance Enhancement Medium Description & Purpose Information Source/Storage Location Comments

x Resource Tools Description & Purpose Information Source/Storage Location Comments

and tasks are included.

Instructions: Performance Enhancement Medium (related information) w►List all performance enhancement mediums relative to the position (e.g., industry newsletters/articles, networking venues, webcasts/webinars, etc.)►Complete the description and purpose of information and its source location (e.g., online or physical archives of newsletters, etc.)►Provide additional comments if needed (e.g., special instructions to obtain/access information, frequency of usage, etc.)

Instructions: Resource Tools x►List all resource tools used in the position (e.g., SPB's Recruitment Sources Directory, toolkits, information maps or binders, etc.)►Complete the description and purpose of information and its source location►Provide additional comments if needed (e.g., special instructions to obtain/access information, frequency of usage, etc.)

Note: Proceed to the next page to complete the Production Schedule (Component - Part v). Sample vitial information titles



Vital Information / Tasks Status Start Date End Date Comments

Technology Related Information Provide overview 0.50 05/01/10 05/01/10 Provide hands-on demonstrations 1.50 05/01/10 05/01/10

Process Related Information Provide overview 1.00 06/08/10 06/11/10 Provide procedures manual 0.50 06/12/10 06/12/10

Performance Enhancement Provide overview 2.50 07/05/10 07/07/10 Discuss best practices 1.25 07/08/10 07/08/10

Resource Tools Discuss available tools 0.50 08/06/10 08/06/10






# of Hours Required


D51


F51


G51


H51


F77

Confirm that this cell is a sum of the hours listed in the cells above

G78


H78



file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls7. Issues & Risks 24


Untimely Quarterly Report Resources Improperly Allocatedu Key Information Response Response

Specify if this is an issue or risk

Provide background information

Describe the issue or risk

Describe who and/or what is affected (include impact/loss)

Identify resolution/mitigation actions taken

Identify the current status

Identify your role (e.g., supervisor, lead analyst, team member, etc.)

Provide recommendations to resolve/mitigate (if any)

Provide additional comments or input (if any)

Description: A list of active issues/risks inherent with this position defined as:● Issue – An unresolved or disputed matter that has a critical impact or importance to the organization.● Risk – An unresolved or disputed matter that harms or exposes the organization to potential litigation or negative public scrutiny.

Purpose: The purpose of this component is to provide an understanding of the active issues/risks inherent with this position. (Note: Component has two parts to complete.)

Instructions: Completing the "Issues and Risks" worksheet (part u)u Key Information and Responses

►Replace the red text below with the topic title►Insert additional response columns as needed for each topic►Insert additional rows to include further key information as appropriate►Input the the response to each key information as applicable

Identify where subject information is located (e.g., shared drive location, file folder, email, etc.)

Note: Proceed to the next page to complete the Production Schedule (Component - Part v). Sample issue/risk titles and tasks are included.


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls7. Issues & Risks 25

Issues & Risks/Tasks Status Start Date End Date Comments

Untimely Quarterly Report Provide overview Not Started 1.00 02/08/10 02/08/10 Discuss concerns Not Started 2.00 02/08/10 02/08/10

Resources Improperly Allocated Provide overview Not Started 1.50 02/15/10 02/15/10 Discuss concerns Not Started 2.50 02/16/10 02/16/10





Production Schedule (Component - Part v)*# of Hours Required


D24


F24


G24


H24


F50


G51


H51



file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls8. Lessons Learned 26


Construction Projectu What went well? What needs improvement? Suggestions for Improvement Lessons Learned

Data AnalysisWhat went well? What needs improvement? Suggestions for Improvement Lessons Learned

(Insert Topic Title)What went well? What needs improvement? Suggestions for Improvement Lessons Learned

Description: An exercise conducted by the individual (in the position) to identify successes and failures at the completion of a project, activity or while performing ongoing work. The individual evaluates the process used (and its results) and then identifies what was done right and what could be done better the next time. Results can be shared and used in future projects or work activities.Purpose: To record and share the lessons learned from the individual while in the position. (Note: Component has two parts to complete.)

Instructions: Completing the "Lessons Learned" worksheet (part u)

u Lessons Learned► Replace the red text below with the topic title (Note: topics may include projects, special assignments, processes, significant role experiences, etc.)► Provide a response for each column header► Insert additional rows to include further subtopics

Note: Proceed to the next page to complete the Production Schedule (Component - Part v). Sample topic titles and tasks are included.


file:///tt/file_convert/5aba32897f8b9ad13d8e8d39/document.xls8. Lessons Learned 27

Topic Title / Tasks Status # of Hours Required KT Start Date KT End Date Comments

Construction ProjectCompile project information Not Started 1.00 02/15/10 02/15/10Provide overview Not Started 1.50 02/16/10 02/16/10Discuss concerns Not Started 2.00 02/17/10 02/17/10

Data AnalysisCompile data samples Not Started 2.00 04/05/10 04/06/10Provide overview Not Started 1.00 04/06/10 04/07/10Discuss concerns Not Started 2.25 04/07/10 04/08/10


TOTAL Effort Required 9.75Start/End Dates for KT 02/15/10 04/08/10

Name Date

Component Sign-Off Person Giving KT

Person Receiving KT



D33


E33


F33


G33


F58

Confirm that this is the earliest Start date for any task above

G58


role transition plan - - / · xls file · web view · 2011-12-23specify...

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