Knowledge Transfer

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Knowledge Transfer RetentionConstellation Style
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Reason for Action

• KTR is one process within many that are being
  conducted to ensure the company has a strategic
  work force perspective rather than responding to
  emergent staffing losses.

Mentoring
Retiree Return Program
KTR
Work Force Development - College technical trade
offerings
New Grad Program
Work Force Optimization study for forward hiring
Strategic Work Force Management Process
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Reason for Action

• Why is this a concern?
• Losses due to retirements and market pull are
  removing knowledge and expertise from the
  stations.
• Calvert Cliffs could be loosing upwards of 70
  people in the next four years due to retirements
  alone.
• Market pull at Calvert Cliffs has resulted in
  lost knowledge in metallurgy, steam generator
  inspections, etc.
• As an example of consequences, Ginna received a
  yellow violation from the NRC for significant
  knowledge losses in the ERO.

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KTR PROCESS BIG PICTURE
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Risk Ranking
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KTR Risk Ranking- example

• PROGRAM CATEGORY
• /PROCESS CATEGORY RISK
  PROGRAM/PROCESS TURNOVER RISK TOTAL ADDITIONAL
  INFO
• Work Mgmt A 3 3
  5 30 P3, Nucleis database expert is
• Scheduling supervisor, Back-up available
  within the company
• Equipt Reliability B 2 3
  5 25
• Secondary Chem B 2 1 5
  15 SME retirement eligible, BU is 2
  SR tech, rest lt3 yrs
• ASME Sect XI A 3 1 3
  12 Developing long term program
• Welding Program owner
• Safety Tagging A 3 2
  2 10
• RP Training A 3 2 3
  15 Single point vulnerability

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ANNUAL RISK RANKING-Criteria

• Category
• A to meet regulatory (federal, state, local)
  requirements
• B required to support INPO Performance
  Objectives Criteria
• C required to support Business Plan
  objectives

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ANNUAL RISK RANKING-Criteria

• Program or Process Health
• Good no significant improvements necessary, 1
  point
• Work in Progress actions to improve are
  identified and working, 2 points
• Poor trends or gaps noted, action plans not yet
  developed or not enough progress made to claim
  work-in-progress, 3 points

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ANNUAL RISK RANKING - Criteria

• Turnover Risk Factor
• x5 Projected attrition within 1 year or high
  depth risk (for example, vacant critical position
  or inexperienced personnel)
• x4 Projected attrition within 1 to 2 years or
  medium depth risk
• x3 Projected attrition within 2 to 3 years or
  some depth risk
• x2 Projected attrition within 3 to 5 years
• x1 Projected attrition greater than 5 years
• Note consider local, regional and national
  market for the skill set under review. i.e.-
  Construction of new nuclear plants.

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RISK RANKING RESULTS to ACTIONS

• Concept Map (EPRI)
• Single Person Vulnerability or Turnover Risk (4
  or 5)
• Self-Assessment Checklist when program/process
  graded as Work in Progress (2)
• Program/process
• Snapshot Self-Assessment when program/process
  graded as Poor (3)
• Program/process

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KEY ROLES AND RESPONSIBILITIES

• HR
• Department Managers/Directors
• Site KTR Coordinator
• Performance Improvement Director
• KTR SME
• KTR Self-assessment team leader
• Well cover only some big picture
  responsibilities, refer to the procedure for
  details.

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Human Resources Responsibilities

• Annually provides each department with list of
  retirement eligible candidates a market pull
  analysis
• Assists in determining individuals that should
  have concept maps performed.
• 3. Assist departments to knowledge capture
  individuals leaving the company within the next
  30 days

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Department Heads

• Risk rank dept personnel and programs/processes
• Determines which processes will have
  self-assessments, KTR assessment checklists or
  concept maps
• Approves actions
• Present KTR assessment results to Fleet Peer
  Teams for corporate solutions, leveraged
  resources

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Site KTR Coordinator

• Coordinate the site or corporate process/program
  risk ranking annually prior to the business
  planning process
• 2. Maintains a schedule of
• KTR self assessments
• Knowledge-Loss Risk Assessment Checklists
• Concept Mapping

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Performance Improvement Directors

• Ensure Performance Improvement Coordinators
  (PICs)are coding condition reports for KTR
  trends- trend codes or keywords
• 2. Ensure department PICs incorporate KTR data
  into Trend Reports
• 3. Periodically assess effectiveness of KTR
  process

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KTR Subject Matter Expert

• Assigned within departments depending on need
  can be multiple people
• For KTR Self-assessments
• 1. Helps develop self-assessment plans for KTR
  SA teams
• 2. Assist in assembling KTR assessment teams
  with internal/ external support
• 3. Provide oversight to SA teams knowledge
  retention efforts
• For Concept Mapping
• Conduct KTR interview
• For Both
• Enter actions into the corrective action program
• Perform effectiveness evaluations of completed
  KTR actions

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KTR Self-Assessment Team Leader

• Assembles Team
• Collect SA data, procedures, QA report, etc
• Coordinate team logistics, Room, directions, etc
• Conduct SA
• 5. Prepare snapshot SA reports
• 6. Present results to Department Manager and KTR
  SME
• 7. Provide detailed and specific corrective
  actions for identified areas for improvement

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KTR

• PROCESS

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Critical Task Definition

• Tasks vital to safety, security and/or
  reliability
• Tasks performed infrequently
• Tasks performed on or depending on obsolete
  systems or equipment
• Tasks requiring specialized skills to perform

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Process or Program Impacted
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KTR Checklist Purpose

• Knowledge-Loss Risk Assessment Checklist
• The intent of this checklist is to provide the
  assessment team with standard information
  typically common to all program/processes. There
  will be specific program/process information
  needed which may be added to each review.
  (Complete checklist is included in the
  attachments)

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Questions to Consider

• Documentation-
• Is there documentation associated with this
  program/process? E.g. procedure, guideline,
  system notebooks, tech manuals, training
  qualification program materials.
• When was the procedures last approved? Are there
  defined roles responsibilities?
• What, if any, industry guidance is used in
  maintaining standards of the program/process?
  Examples NRC, INPO, NEI, EPRI, ASME,
  Certification programs, etc.
• What regulatory requirements, if any, does this
  program/process satisfy?
• How regulatory (e.g. NRC, FEMA, State) or
  industry (e.g. INPO) commitments to this program
  are basis captured. How are they tracked for
  adherence?

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Questions to Consider cont

• Program Use and Maintenance
• Is this program/process infrequently performed or
  used? For example only during outages.
• Who is responsible for maintaining the
  program/process?
• Is there support personnel involved in
  maintaining the program/process?
• Who are your customers for this program/process
  and how are they involved?
• What is the process for feedback to improve the
  program/process? E.g. work order history,
  post-job critiques, training feedback forms.
• How is industry experience factored into
  program/process maintenance?

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Questions to Consider- cont

• History and Data Maintenance
• Is there an associated computerized database to
  maintain data? a. Database name b. Software and
  version used c. Administrators name d. Data
  stored on what drive e. Who has access to edit
  data f. How often is data verified g. Who
  verifies the integrity of the data h. How often
  is data backed up i. Is there a disaster
  recovery plan in place j. What, if any, training
  is available for this program/process k. Does
  the computerized process interface with any other
  databases l. Is there a process flow map for
  data input and output
• Is there any other unique information relative to
  this program or process? Provide specific
  details.

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Questions to Consider- cont

• Oversight of Quality and Performance
• What is the frequency of audit or self-assessment
  of the program/process and who performs them?
• Is there management involvement in the
  program/process?
• How are changes that effect program/process
  managed and documented?
• What performance monitoring is associated with
  program/process? a. Are there documented
  thresholds (target goals) for each indicator? b.
  Who prepares the performance data? c. Who
  reviews performance indicators for accuracy?
• What is the cost or effect of doing nothing with
  this program/process?

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KTR Self-Assessments

• A KTR SA should use the input from a KTR
  Assessment Checklist
• Additionally, the scope includes
• Review program/process documentation
• procedures, guidelines, process flows, health
  reports
• 2. Review various station documents relating to
  the program/process
• AFIs or Program Deficiencies, Open and closed
  CRs, Open commitments, Management Observation
  data, past SA data
• Performance indicators and trending documentation
  
• Operating experience and benchmarking data
• 3. Observe meetings , presentations, committees
  that implement or monitor process or program
• Conduct interviews with program/process owner and
  others involved in the program/process

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KTR Process Concept Mapping
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Concept Mapping-Example
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KTR Process - Results
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KTR Outcomes

• Results are captured in one or more of five
  results (Five Buckets)
• Action Plan Required
• Back-up Candidates
• Functions transferred to Corporate (coordinate
  with CFAM and CSAM)
• HR hiring strategies
• No action needed
• In general, back-up candidate and hiring strategy
  results are developed from concept maps only.
• The KTR SME reviews the actions with the
  Department leaders to finalize
• The KTR SME enters actions identified into CAP
  or other action tracking system

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KTR Consideration for Actions Toolkit
Assessments, Checklist Assessments and Concept
Maps

• TOOL KIT
• Documentation
• Procedures
• Flowcharts
• Job Familiarization Guides
• Training
• Qualifications Process
• Initial Training
• Refresher Training
• CRC review/modify schedules
• People Development
• Coaching / Mentoring
• Benchmarking / INPO Assists
• Clarify Roles Responsibilities

• DISCOVERY
• Documentation
• Lack of documentation
• Lack of detail in procedures
• Procedures not at Industry Standards
• No PM for maintaining equipment
• Lack of process flow documentation
• Training
• Training Plan insufficient
• Training material outdated
• Lack of Qualification process
• Timing of training on new processes
• No Training or familiarization plan
• People Development
• New / less-experienced personnel
• New Leadership
• Lack of industry exposure

Findings ? Actions
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KTR Outcome Examples

• Actions Required
• Revisions to Procedures
• Creation of a new procedure
• Development of a process flow chart
• Development of a desk-top guideline or job aid
• Updates to a training plan
• Creation of training or a qualification process
• Benchmarking
• Others

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KTR Outcome Examples

• Back-up Candidate
• Someone that may have prior experience in
  position
• Someone from elsewhere in the fleet or corporate
  that has knowledge of program or process
• Someone that supports program or process during
  outage periods
• A new employee that has the educational
  background. (May require training, shadowing or
  mentoring may be needed to become proficient)
• Current employee who has voiced an interest in
  learning the program or process. (May require
  training, shadowing or mentoring may be needed to
  become proficient)

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KTR Outcome Examples

• Transfer Task to a Corporate Functional Area
• Development of a program (e.g., protective
  coatings)
• Development of a new Fleet Procedure
• Change to a CNO Policy
• Assessment / Oversight recommendations

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KTR Outcome Examples

• Hiring Strategies
• Identifying shadowing/mentoring opportunity
• Retiree willing to return as a mentor
• Succession planning consideration
• Forward-hiring
• Replacement recommendation (internal/external)

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KTR Outcome Examples

• No Action Required
• Documentation is clear and concise for a
  less-experienced worker
• No training gaps identified
• Backup candidates are named and proficient
• Hiring strategies in place for replacement
• In effect this defines what good looks like in
  the KTR world!

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KTR Trend Codes

• KTA Lack of documentation (e.g., no procedure or
  guidance on process)
• KTA1 Station-specific
• KTA2 Corporate (e.g., fleet procedure)
• KTB Document deficiency not at industry
  standards
• KTB1 Station specific (e.g., not in accordance
  with INPO best practices)
• KTB2 Corporate
• KTC Lack of Training available on process (e.g.,
  Training Request required)
• KTD Lack of Trained or Skilled and Experienced
  personnel (e.g., mentoring)
• KTD1 Single person vulnerability
• KTE Strategic Staffing (e.g., forward hiring)

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KTRs Challenges

• Problem
• Companies spend millions of dollars developing
  people that can leave at any time for many
  reasons. Retirement is not the only threat.
• Conditions
• Current process is a finger in the dike approach
  that although helpful, attempts to capture
  knowledge that has been gained by many
  experiences throughout the years.
• The challenge to retain workers will increase
  with new construction and operating sites and a
  more mobile workforce.
• Vision
• Gather plant, process and program knowledge and
  experience on a continuous basis that is readily
  available to any successor. Knowledge and
  experience are company assets that need to be
  preserved. Employee development and retention
  are only part of the solution. To the extent
  practical that knowledge and experience should
  captured for their successor.
• Understand what knowledge is experience based and
  synthesize that information in a way that will
  help the user recognize the conditions when they
  exist.