2901 - Workforce and Succession Plan Requirements (Historical View)

Status: Active

Change Notes

Updated policy to align with legislative changes to GC 19797 including additional guidance for plan implementation and reporting.

Category

Workforce Planning

Audience List

• Administrative Chiefs
• Agency Secretaries
• Agency Undersecretaries
• Chief Deputy Directors
• Department Deputy Directors
• Department Directors
• Human Resources Chiefs
• Personnel Officers
• Recruitment Coordinators
• Workforce Development Coordinators
• Equal Employment Opportunity Officers

Synopsis

This policy applies to California state organizations that have civil service employees. This policy requires organizations to:

• Create and maintain workforce and succession management plan(s) that meet minimum requirements as stated in this policy.
• Conduct annual evaluation of workforce and succession management plan(s) strategies using key performance indicators.
• Obtain Director approval for plan(s) and mid-point report(s).
  • Mid-point report on plan implementation status to include progress of action plan and evaluation outcomes.
• Complete and submit the following to CalHR’s Statewide Workforce Planning Unit by August 1, of each year.
  • Survey response that includes the following:
    • Workforce and succession management plan status (complete or incomplete).
    • Substantiation regarding alignment with strategic goals, Annual Workforce Analysis (WFA) goals, any Underutilization Plan, and any workforce-related risk control identified in the organization’s Statewide Leadership Accountability Act Report (SLAA).
    • For organizations with active workforce and succession management plan(s), status report on action plan.

Introduction

CalHR requires state organizations with civil service employees to maintain and submit current workforce and succession management plan(s) and conduct annual evaluation of these plans. Moreover, CalHR requires state organizations respond to an annual compliance survey that reflects the status of their workforce and succession management plan(s), substantiation of how the plan(s) align with strategic and WFA goals, any Underutilization Plan, any workforce-related risk control identified in the organization’s SLAA report and provide a mid-point report on plan implementation status.

Organizations conduct an annual WFA that identifies any areas of significant underutilization which requires an Underutilization Plan to identify the recruitment and retention strategies to address the underutilizations. SLAA reports may also identify workforce-related risks and controls for those risks identified. Effective workforce planning requires accounting for the WFA, Underutilization Plan, and any workforce-related risks reported in SLAA when developing workforce planning or succession management strategies.

Workforce and succession management planning are critical to organizations’ ability to recruit and retain a well-skilled, diverse, and inclusive workforce. The WFA, Underutilization plans, and any workforce-related risks and controls included in the SLAA report help inform your workforce gaps and risks as well as the strategies to address them. Identifying and addressing potential gaps and risks will help ensure the necessary talent and skills needed to achieve organizational strategic objectives. In support of this policy, CalHR provides guidance and resources to develop and conduct effective workforce planning and succession management.

Statement

CalHR requires all state organizations with civil service employees to: 

• Maintain current workforce and succession management plans.
• Conduct regular and ongoing evaluation of workforce and succession management plan(s) strategies using key performance indicators.
• Respond to annual compliance survey indicating the status of plan(s), how plan(s) aligns with strategic and WFA goals, any Underutilization Plan, and any workforce-related risk controls identified in the department’s SLAA, status of action plan implementation, and plan evaluation outcomes.
• Mid-point report on plan implementation status to include progress of action plan and evaluation outcomes.
• Director approval for plan(s).

In support of this policy, CalHR will annually track the status of each organization’s workforce and succession management plan(s), submission of plans, and responses to annual compliance survey.

Application

State organizations are expected to understand how their strategic and WFA goals, Underutilization Plan, and any workforce-related risk controls in SLAA reporting align with workforce and succession management planning. They should also consider the workforce implications of their present and future business operations and have a workforce and succession management plan that includes annual evaluation of plan(s) to ensure a capable, diverse, and inclusive workforce.

Workforce Plan Requirements

To meet the minimum requirements a workforce plan must include the following (listed in order that they appear in the template, not in order of importance):

• Description of how plan(s) align with strategic goals and any workforce-related risk controls indicated in SLAA report.
• Identification of competency model.
• Identification of current and future gaps between the staff and competencies that exist (supply), and the staff and competencies needed (demand), and how each gap was determined and strategies to address the gaps identified.
• Underutilization plan for any areas of underutilization as defined in WFA.
• Implementation action plan with solutions for addressing current and future workforce gaps that includes the following:
  • Strategy description
  • Alignment with strategic, WFA, and any Underutilization Plan goals
  • Timeline for implementation
  • Key Performance indicators
  • Success Criteria
• Current plan covering no more than a five-year span, unless otherwise strategically aligned with enterprise goals.
• Signature of Department Director.

The Workforce Plan Checklist, found in the “Evaluate Workforce and Succession Plan” section of the Workforce Planning Toolkit, offers a comprehensive overview of the Workforce Plan requirements. Additionally, the “Guides & Templates” section includes a structured Workforce Plan template to ensure all crucial components are incorporated.

Succession Management Plan Requirements

To meet the minimum requirements a succession management plan must include the following (listed in order that they appear in the template, not in order of importance):

• Description of how plan aligns with strategic goals and any workforce-related risk controls reported in SLAA.
• Identification of key positions. Key positions are defined as leadership, highly technical, and other mission-critical positions.
• Methodology to identify and prioritize key positions and the pipeline(s) to potentially succeed them.
• Competency model identification.
• Current and future competencies of key positions.
• Methodology for assessing the pipeline’s current competencies and overall readiness for succession to key positions.
• Identification of current and future gaps between the pipeline’s existing competencies (supply) and the competencies needed (demand) to perform duties of key positions, and targeted strategies for addressing the pipeline’s competency gaps.
• Underutilization plan for any key positions that are in areas of underutilization as defined in WFA.
• Development strategies to position the organization’s pipeline for career advancement readiness.
• Implementation action plan with solutions for addressing current and future succession management gaps that includes the following:
  • Strategy description
  • Alignment with strategic, WFA, and any Underutilization Plan goals
  • Timeline for implementation
  • Key Performance indicators
  • Success Criteria
• Process and timeline to evaluate the succession management plan’s effectiveness for accomplishing planned outcomes using key performance indicators and benchmark data.
• Current plan covering no more than a five-year span, unless otherwise strategically aligned with enterprise goals.
• Signature of Department Director.

The Succession Plan Checklist, found in the "Evaluate Workforce and Succession Plan" section of the Workforce Planning Toolkit, offers a comprehensive overview of the Succession Management Plan requirements. Additionally, the "Guides & Templates" section includes a structured Succession Management Plan template to ensure all crucial components are incorporated.

Annual Reporting Instructions

The process for organizations to report on the status of plans, submit completed plan(s), and plan updates to CalHR is as follows:

1. CalHR distributes an annual compliance survey to department directors in July.
2. Organizations complete the survey indicating the status of plan(s) and substantiation of how plan aligns with strategic and WFA goals, any Underutilization Plan, any workforce-related risks and controls included in SLAA report, and any mid-point report on implementation status.
3. CalHR posts statewide results on the Current Workforce and Succession Management Plan Status webpage.

Additional information is detailed on the Current Workforce and Succession Management Plan Status webpage (link under Resources below).

Authorities

• Government Code section 19815.4(b)
• Government Code section 19995.4
• Government Code section 19790
• Government Code section 19791
• Government Code section 19797

Resources

Web Pages

• CalHR Succession Management Plan Checklist: CalHR Succession Management Plan Checklist
• CalHR Succession Management Plan Template: CalHR Succession Management Plan Template
• CalHR Workforce Plan Checklist: CalHR Workforce Plan Checklist
• CalHR Workforce Plan Template: CalHR Workforce Plan Template
• Current Workforce and Succession Plan Status : Current Workforce and Succession Plan Status
• State of California Succession Planning Model: State of California Succession Planning Model
• State of California Workforce Planning Model: State of California Workforce Planning Model
• Workforce Planning and Succession Planning Programs: Workforce Planning and Succession Planning Programs
• Workforce Planning Forum: Workforce Planning Forum
• Workforce Planning Statistics: Workforce Planning Statistics
• Workforce Planning Toolkit: Workforce Planning Toolkit

Authorized By

Sarah Gessler
Chief, Workforce Development Division, Workforce Development Division

Contact Person

Sarah Gessler
Chief, Workforce Development Division,
Phone: 916-324-9391
Fax: 916-322-8376
Email: sarah.gessler@calhr.ca.gov

Superseded Policies