TABLE OF CONTENTS
Contents Page
Work declaration…………………………………………………………………………………………………….. ii
Abstract………………………………………………………………………………………………………………… iii
List of key terms…………………………………………………………………………………………………….. iv
Acknowledgements………………………………………………………………………………………………… v
List of acronyms……………………………………………………………………………………………………. vi
Table of contents………………………………………………………………………………………………….. vii
List of figures………………………………………………………………………………………………………… x
CHAPTER 1: GENERAL INTRODUCTION………………………………………………………….. 1
- Introduction……………………………………………………………………………………… 1
- Background and rationale of the study………………………………………………… 1
- Literature Review……………………………………………………………………………… 7
- Talent management and succession planning………………………………………… 9
CHAPTER 2: LITERATURE REVIEW………………………………………………………………… 15
- Introduction……………………………………………………………………………………. 15
- Human resource development and succession planning………………………… 23
CHAPTER 3: RESEARCH METHODOLOGY……………………………………………………… 32
CHAPTER 4: RESEARCH ANALYSIS AND INTERPRETATION………………………… 37
- Introduction……………………………………………………………………………………. 37
- Research analysis and interpretation…………………………………………………… 39
CHAPTER 5: FINDINGS, RECOMMENDATIONS AND CONCLUSION…………….. 63
- Introduction……………………………………………………………………………………. 63
REFERENCES……………………………………………………………………………………………………. 72
APPENDICES…………………………………………………………………………………………………….. 77
Appendix A: Questionnaire………………………………………………………………………………….. 78
Appendix B: Permission letter to conduct research at the Department of Science and Technology 83
LIST OF FIGURES Page
Figure 4.1 Organisational structure of the DST…………………………………………………… 38
Figure 4.2 Gender…………………………………………………………………………………………… 40
Figure 4.3 Marital status………………………………………………………………………………….. 40
Figure 4.4 Age group………………………………………………………………………………………. 41
Figure 4.5 DST programmes…………………………………………………………………………….. 42
Figure 4.6 Length of service…………………………………………………………………………….. 43
Figure 4.7 Succession planning…………………………………………………………………………. 44
Figure 4.8 Main purpose of succession planning…………………………………………………. 44
Figure 4.9 Importance of succession planning……………………………………………………. 45
Figure 4.10 Benefits of succession planning………………………………………………………… 46
Figure 4.11 Reasons for high turnover………………………………………………………………… 47
Figure 4.12 Expectations of a successful succession planning system………………………. 47
Figure 4.13 Self-nomination………………………………………………………………………………. 48
Figure 4.14 Performance management and development system…………………………….. 49
Figure 4.15 Team members………………………………………………………………………………… 50
Figure 4.16 Supervisor………………………………………………………………………………………. 50
Figure 4.17 Head of department………………………………………………………………………… 51
Figure 4.18 Human resource manager………………………………………………………………….. 51
Figure 4.19 Self-assessments…………………………………………………………………………….. 52
Figure 4.20 Performance evaluation ratings………………………………………………………….. 53
Figure 4.21 360 degree feedback………………………………………………………………………… 54
Figure 4.22 Interviews………………………………………………………………………………………. 54
Figure 4.23 Job rotation…………………………………………………………………………………….. 55
Figure 4.24 Job enrichment……………………………………………………………………………….. 56
Figure 4.25 Coaching………………………………………………………………………………………… 56
Figure 4.26 Mentoring………………………………………………………………………………………. 57
Figure 4.27 Training…………………………………………………………………………………………. 57
Figure 4.28 Stretch assignments…………………………………………………………………………. 58
Figure 4.29 Length of development period for potential successors………………………… 59
Figure 4.30 Use of personality tests…………………………………………………………………….. 59
Figure 4.31 Qualifications vs. working experience………………………………………………… 60
Figure 4.32 Value of learning and development…………………………………………………… 60
Figure 4.33 Effectiveness of the current promotion system in the DST……………………. 61
Figure 4.34 Fairness of performance appraisal system……………………………………………. 62
CHAPTER 1
GENERAL INTRODUCTION
INTRODUCTION
Middle managers are a critical link between senior and junior managers. On the one hand, they ensure that junior managers execute the institution’s goals and objectives, as well as execute orders from senior managers. On the other hand, they keep senior managers informed regarding the achievement of institutional goals and objectives. In short, they need to keep both junior and senior managers happy and content. Middle managers are the next core in line to take over from senior managers, therefore, it is necessary to assess the role of succession planning in developing high performing middle managers in the Department of Science and Technology (DST or Department).
This chapter highlights the background and rationale of the research, the problem, research objectives and research questions. It also explores the literature review and methodology, demarcation and limitations, as well as the structure of the research.
BACKGROUND AND RATIONALE OF THE RESEARCH
The DST’s policy initiatives are guided mainly by the White Paper on Science and Technology 1996, the National Research and Development Strategy 2002, and the Ten Year Innovation Plan 2008-2018. All these policies are aimed at assisting South Africa to modernise its economy through the use of science, technology and innovation. In order to achieve this, the DST needs to enhance the capacity of South African institutions, to ensure adequate infrastructure and the provision of skilled science, engineering and technology human capital to generate and exploit knowledge.
The White Paper on Science and Technology (1996:70) describes human resources as a national asset. It defines human resource development as a process whereby people, either individually or collectively, acquire the knowledge and skills necessary for specific occupational tasks as well as for other social, cultural, intellectual or political roles associated with a vibrant democratic society. Also, the ability to access and utilise information resources, give expression to theoretical concepts and their innovative
application. Succession planning involves identifying and preparing suitable employees to assume core managerial and leadership positions through interventions such as mentoring, training and job rotation (Guidelines on Mentoring and Coaching, 2006a:3).
The reasons for the importance of this research is the observations made since 2005 in the DST, that succession planning does not exist at the DST to prepare or plan for the future in case the Department loses senior managers unexpectedly. Lack of succession planning in the DST leads to the problems listed in the statement below like cost and time involved when replacing an official who resigned, retired or passed on (such as advertisements and training), loss of institutional memory, demoralised high-performing middle managers and ultimately, turnover. This research will, therefore, explore how succession planning can be used as a tool in developing high-performing middle managers in the DST.
A few concepts have been identified in the problem review of this research which include succession planning, leadership, strategic planning, human resource development and talent management. In this chapter, these concepts will be further unravelled, academically. It is critical to identify pivotal managing positions that impact the institution. It’s equally important to assess and identify the players in terms of change response and versatility. In today’s highly competitive and volatile environment, talented staff can come and go with precedent-setting speed if the work environment is not conducive to support balanced personal and professional growth (Hunter, 2012:8).
Unexpected departures of key personnel can cripple the operations of an institution faster than anything, especially if there is no adequate backup. It’s important to anticipate the pivotal staff or leaders who might leave, and take steps to prevent it, or make sure that replacements are in place should this happen. According to Hunter (2012:8), other important sources for succession planning are the newcomers with talent. This is the staff grouping who demonstrate potential talent to become future leaders. They possess the knowledge, skills, abilities and talent to lead and influence change and innovation in a positive way. With an appropriate development or education, action plan and mentoring, these groups can often reveal startling insights or provide information that can assist supervisors and mentors to fine-tune a development plan and ensure its effectiveness.
PROBLEM STATEMENT
The DST has a high staff turnover rate especially at senior management level because of the shortage of scientists in South Africa and also because of the low remunerations in the public service compared to the private sector. It usually takes a long time to fill a vacant senior position due to the scarcity of competent managerial skills and the readily available human resources to succeed the manager who has resigned his/her position.
When high performing individuals in middle management positions are not considered for promotion, they end up seeking better opportunities outside the DST or even outside the public service and leave. In the DST, it is not common practice to counter-offer an individual who has been offered a position elsewhere. The Department would rather appoint new people, from other government departments or the private sector, and this practice leads to loss of institutional memory, moreover, the new person must still get acquainted with the job, procedures and protocol. The new person should also receive on- the-job-training to understand the culture of the DST. Hiring a new employee from outside the Department can also lead to conflict and tension between the existing middle manager who was not considered for a senior management position, and the newly appointed manager.
Therefore, the problem statement is to investigate to what extent succession planning can be used as a tool to develop high performing middle managers that are competent to function on the next higher level of management in the DST. This would allow the DST to not only develop and nurture its own human resources but, to also build its capacity to enable the Department to deal with any unexpected human resources turnover such as resignations or death.
RESEARCH OBJECTIVES
The objectives of the research will be to:
- Explore the literature on succession planning.
- Investigate how succession planning can prepare the next generation of middle managers to be competent and able to function on the next higher level of management.
- Explore how succession planning can promote the preservation and transfer of institutional knowledge management.
- Investigate how succession planning can inculcate institutional cultural values and norms in middle managers.
- Explore how succession planning can be used as a developmental tool in developing high performing middle managers.
- Explore how succession planning can be used to retain talented middle managers.
- Determine how the DST institutes succession planning.
RESEARCH QUESTIONS
To achieve the above objectives, the following research questions will be answered:
- What does the literature express on succession planning?
- How can succession planning prepare the next generation of managers to be competent and able to function on the next higher level of management?
- How can succession planning promote the preservation and transfer of institutional knowledge management?
- How can succession planning inculcate institutional cultural values and norms in middle managers?
- How can succession planning be used as a developmental tool in developing high performing middle managers?
- How can succession planning retain talented middle managers?
- How the DST institutes succession planning?
METHODOLOGY
Relevant literature including published books, unpublished dissertations and theses, as well as articles in accredited journals, questionnaires, white papers, strategic plans, and guidelines were reviewed for this research.
Research approach
This part of the research explains the role, purpose and type of research design applicable to this research. The appropriate choice and research method is both a qualitative and quantitative approach. The research intends to mainly describe and explain how succession planning would impact on staff turnover. The research firstly explores the theories and concepts of successive planning and interprets the findings thereof. The nature of the research question is such that there are multiple possible realities to be constructed from the participants; hence the appropriateness of a qualitative research approach.
