William J. Rothwell - Effective Succession Planning (2005)(3-e)(en)

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A C K N O W L E D G M E N T S

Writing a book resembles taking a long journey. The researching, drafting, and repeated revising requires more time, effort, patience, and self-discipline than most authors care to admit or have the dedication to pursue. Yet no book is written in isolation. Completing such a journey requires any author to seek help from many people, who provide advice—and directions—along the way.

This is my opportunity to thank those who have helped me. I would therefore like to extend my sincere appreciation to my graduate research assistants, Ms. Wang Wei and Ms. Yeonsoo Kim, for their excellent and able assistance in helping me to send out and analyze the survey results, and for helping me to track down and secure necessary copyright permissions.

I would also like to thank Adrienne Hickey and other staff members at AMACOM, who offered numerous useful ideas on the project while demonstrating enormous patience with me and my busy schedule in consulting and presenting around the world.

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A D VA N C E O R G A N I Z E R

F O R T H I S B O O K

Complete the following assessment before you read this book. Use it to help you assess the need for an effective succession planning and management (SP&M) program in your organization. You may also use it to refer directly to topics in the book that are of special importance to you now.

Directions: Read each item below. Circle Y (yes), N/A (not applicable), or N (no) in the left column next to each item. Spend about 15 minutes on this. Think of succession planning and management in your organization as you believe it is—not as you think it should be. When you finish, score and interpret the results using the instructions appearing at the end of this Advance Organizer. Then be prepared to share your responses with others in your organization as a starting point for planning. If you would like to learn more about one item below, refer to the number in the right column to find the chapter in this book in which the subject is discussed.

Circle your response in the left-hand column for each response below.

			Has your organization:		Chapter
Y	N/A	N	1.	Clearly defined the need for succession	1
				planning and management (SP&M)?
Y	N/A	N	2.	Distinguished succession planning and	1
				management from replacement, workforce
				planning, talent management, and human
				capital management?
Y	N/A	N	3.	Made the business case by showing the im-	1
				portance of succession planning and man-
				agement?
Y	N/A	N	4.	Clarified the reasons (goals) for the succes-	1
				sion planning and management program?
Y	N/A	N	5.	Investigated best practices and approaches	1
				to succession planning and management?
Y	N/A	N	6.	Considered the drivers of change and the	2
				trends that may influence succession plan-
				ning and management?

1

2 EFFE CTI VE SU CCE SS ION PL ANN IN G

Y	N/A	N	7.	Clarified how trends, as they unfold, may	2
				influence succession planning and man-
				agement in your organization?
Y	N/A	N	8.	Investigated the characteristics of effective	3
				succession planning and management pro-
				grams?
Y	N/A	N	9.	Thought about how to roll out a succes-	3
				sion planning and management program?
Y	N/A	N	10.	Set out to identify, and try to avoid, com-	3
				mon problems with succession planning
				and management?
Y	N/A	N	11.	Considered integrating whole-systems	3
				transformational change into the succes-
				sion planning and management program?
Y	N/A	N	12.	Considered integrating appreciative in-	3
				quiry into the succession planning and
				management program?
Y	N/A	N	13.	Planned for what might be required to es-	3
				tablish a state-of-the-art approach to the
				succession planning and management pro-
				gram?
Y	N/A	N	14.	Defined competencies as they might be	4
				used in your organization?
Y	N/A	N	15.	Considered how competency models	4
				might be used for your succession plan-
				ning and management program?
Y	N/A	N	16.	Explored new developments in compe-	4
				tency identification, modeling, and assess-
				ment for the succession planning and
				management program?
Y	N/A	N	17.	Identified competency development strat-	4
				egies to build bench strength?
Y	N/A	N	18.	Specifically considered how values might	4
				impact the succession planning and man-
				agement program?
Y	N/A	N	19.	Determined organizational requirements	5
				for the succession planning and manage-
				ment program?
Y	N/A	N	20.	Linked succession planning and manage-	5
				ment activities to organizational and
				human resource strategy?
Y	N/A	N	21.	Benchmarked best practices and common	5
				business practices in succession planning

and management practices in other organizations?

Advance Organizer for This Book	3

Y	N/A	N	22.	Obtained and built management commit-	5
				ment to systematic succession planning
				and management?
Y	N/A	N	23.	Clarified the key role to be played by the	5
				CEO in the succession effort?
Y	N/A	N	24.	Conducted a risk analysis?	6
Y	N/A	N	25.	Formulated a mission statement for the	6
				succession effort?
Y	N/A	N	26.	Written policy and procedures to guide the	6
				succession effort?
Y	N/A	N	27.	Identified target groups for the succession	6
				effort?
Y	N/A	N	28.	Set program priorities?	6
Y	N/A	N	29.	Addressed the legal framework affecting	6
				the the succession planning and manage-
				ment program?
Y	N/A	N	30.	Established strategies for rolling out the	6
				program?
Y	N/A	N	31.	Prepared a program action plan?	7
Y	N/A	N	32.	Communicated the action plan?	7
Y	N/A	N	33.	Conducted succession planning and man-	7
				agement meetings?
Y	N/A	N	34.	Trained on succession planning and man-	7
				agement?
Y	N/A	N	35.	Counseled managers about succession	7
				planning problems in their areas?
Y	N/A	N	36.	Identified key positions?	8
Y	N/A	N	37.	Appraised performance and applied per-	8
				formance management?
Y	N/A	N	38.	Considered creating talent pools?	8
Y	N/A	N	39.	Thought of possibilities beyond talent	8
				pools?
Y	N/A	N	40.	Identified key positions for the future?	9
Y	N/A	N	41.	Assessed individual potential for promot-	9
				ability on some systematic basis?
Y	N/A	N	42.	Considered using assessment centers?	9
Y	N/A	N	43.	Considered using work portfolios to assess	9
				individual potential?
Y	N/A	N	44.	Tested bench strength?	10
Y	N/A	N	45.	Formulated internal promotion policy?	10
Y	N/A	N	46.	Prepared individual development plans?	10
Y	N/A	N	47.	Developed successors internally?	10
Y	N/A	N	48.	Considered using leadership development	10
				programs in succession planning?

4 EFFE CTI VE SU CCE SS ION PL ANN IN G

Y	N/A	N	49.	Considered using executive coaching in	10
				succession planning?
Y	N/A	N	50.	Considered using mentoring in succession	10
				planning?
Y	N/A	N	51.	Considered using action learning in suc-	10
				cession planning?
Y	N/A	N	52.	Explored alternative ways to get the work	11
				done beyond succession?
Y	N/A	N	53.	Explored innovative approaches to tap-	11
				ping the retiree base?
Y	N/A	N	54.	Investigated how online and high-tech	12
				methods be applied?
Y	N/A	N	55.	Decided what should be evaluated?	13
Y	N/A	N	56.	Decided how the program can be evalu-	13
				ated?
Y	N/A	N	57.	Considered how changing conditions may	14
				affect the succession planning and man-
				agement program?

Scoring and Interpreting the Advance Organizer

Give your organization one point for each Y and zero for each N or N/A. Total the number of Ts, and place the sum in the line next to the word TOTAL.

Then interpret your score as follows:

50 or more Your organization is apparently using effective succession planning and management practices.

40 to 49 Improvements could be made to succession planning and management practices. On the whole, however, the organization is proceeding on the right track.

30 to 39 Succession planning and management practices in your organization do not appear to be as effective as they should be. Significant improvements should be made.

28 or less Succession planning and management practices are ineffective in your organization. They are probably a source of costly mistakes, productivity losses, and unnecessary employee turnover. Take immediate corrective action.

P A R T I

BACKGROUND INFORMATION ABOUT

SUCCESSION PLANNING AND MANAGEMENT

Part I

Background Information About

Succession Planning and Management

Part IV

Closing the “Developmental Gap”:

Operating and Evaluating a Succession

Planning and Management Program

Part II

Laying the Foundation for a Succession Planning and Management Program

		•Defines SP&M.
		•Distinguishes SP&M from replacement planning.
		•Describes the importance of SP&M.
		•Lists reasons for an SP&M program.
		•Reviews approaches to SP&M.
		•Reviews key trends influencing SP&M and explains their implications.
		•Lists key characteristics of effective SP&M programs.
		•Describes the life cycle of SP&M programs.
Part III		•Explains how to identify and solve problems with various approaches to SP&M.
Assessing the Present and the Future		•Lists the requirements and key steps for a fifth-generation approach to SP&M.
		•Defines competencies and explains how they are used in SP&M.
		•Describes how to conduct and use competency identification studies for SP&M.

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C H A P T E R 1

W H AT I S S U C C E S S I O N P L A N N I N G

A N D M A N A G E M E N T ?

Six Ministudies: Can You Solve These Succession Problems?

How is your organization handling succession planning and management (SP&M)? Read the following vignettes and, on a separate sheet, describe how your organization would solve the problem presented in each. If you can offer an effective solution to all the problems in the vignettes, then your organization may already have an effective SP&M program in place; if not, your organization may have an urgent need to devote more attention to the problem of succession.

Vignette 1

An airplane crashes in the desert, killing all on board. Among the passengers are top managers of Acme Engineering, a successful consulting firm. When the vice president of human resources at Acme is summoned to the phone to receive the news, she gasps, turns pale, looks blankly at her secretary, and breathlessly voices the first question that enters her mind: ‘‘Now who’s in charge?’’

Vignette 2

On the way to a business meeting in Bogota, Colombia, the CEO of Normal Fixtures (maker of ceramic bathroom fixtures) is seized and is being held for ransom by freedom fighters. They demand 1 million U.S. dollars in exchange for his life, or they will kill him within 72 hours. Members of the corporate board are beside themselves with concern.

Vignette 3

Georgina Myers, supervisor of a key assembly line, has just called in sick after two years of perfect attendance. She personally handles all purchasing and

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