APEX 29 Case Study
DoD Succession Management
September 2009
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
The purpose of this “Succession Management”
Executive Roundtable Discussion is to . . .
 Stimulate Thinking – to stimulate your thinking about the requirement in
DoD Directive 1403.03 (“The Career Lifecycle Management of the Senior
Executive Service Leaders within the Department of Defense” (October
25, 2007)), to develop talent management and succession planning within
the DoD Components
 Examine Proposed Changes and Potential Retirement Data – to
examine and assess current and proposed talent management
processes, as well as data describing the potential for exodus of
significant numbers of senior leaders from the DoD workforce through
retirement
 Solicit Suggestions – to solicit your proposed suggestions for how
senior DoD leaders could develop and implement a viable Talent
Management and Succession Planning System
2
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
Overview – the framework for DoD Talent
Management and Succession Planning is shaped
by the following considerations
 DoD is transitioning to…
• A systematic, enterprise-wide, proactive approach to executive talent management
and development designed for rapid reaction and satisfaction of the SECDEF’s
needs for the right executive, in the right position, at the right time
 Directive 1403.03 requires the Department to develop talent management and
succession planning within the Components
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•
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Diagnose individual executive talent for development and assignment.
Manage positions using a comprehensive strategic planning process.
Identify where additional resources should be directed to fill capability gaps
 The Department is responsible for ensuring that the 21st Century executive
workforce is agile and adaptable – can respond to changes in the mission quickly
• Assign executives where they would be most effective in accomplishing the
agency’s mission and best application of their talents
 An integrated talent management and succession planning model can support
the identification of existing talent and development of an adaptable workforce
•
Ensuring availability of the highest quality of executive leadership in a changing environment.
3
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
Characteristics of the current DoD talent
management and succession planning
environment include . . .
 SES Members Receive Little Career Planning Assistance
•
•
Little visibility of opportunities beyond employing organization
No systematic opportunity to broaden experience/quals through rotation
 Long Lead Time Needed to Fill SES Vacancies
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•
No identified “bench strength” for positions or projects
Lengthy, complex recruitment and approval processes
 SES Demographics Drive Need for Deliberate Planning
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50% of the SES Corps is retirement eligible in less than 5 years
FERS reduces incentive to remain with government
 Strong Top-level Interest in SES Career Management (Deputy
Secretary)
Clear Direction / Need for More Agile SES Management
4
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
Talent Management and Succession Planning
are NOT …
 Simply a slating system
 Another overly burdensome system and process
 A system that is owned by and seen as the sole responsibility
of the Human Resources function
 A performance management review
5
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
Outcomes from the Succession Management
Process include …
 Comprehensive individual career plans for all career SES
 Assessment of potential for all career SES
 Identification of bench strength for Tier 2/3 SES positions (Slates)
 Visibility of SES talent across the Department (Dashboard)
 Deliberate communication between leadership and Executives
 Standardized Executive records across the Department
 Overview of Executive talent and “health” of key functional domains
for the Deputy Secretary of Defense
6
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
Senior Executives will receive “Readiness Ratings”
 Reflect Executive’s “readiness” for greater responsibility now
 One of four ratings may be assigned
•
READY FOR INCREASED CHALLENGE: Member is ready now for a position of
equivalent or greater scope, impact, complexity, responsibility, or institutional
importance
•
READY FOR CAREER BROADENING: Member is ready now to move laterally into a
position of roughly equivalent scope, impact, complexity, responsibility, and authority
that offers different challenges, growth, and or broadening opportunities
•
BUILD TENURE/EXPERIENCE: On track or recently assigned. Member requires
additional time to affect positive change or deliver results
•
CONTRIBUTE IN PLACE: Member should remain in place because: 1) Member
occupies a highly specialized, unique or niche position creating a need for continuity. 2)
imminent retirement (less than 2 years) or other impending departure from SES corps,
with short-term movement considered only if mission requirements change
7
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
Talent Management and Succession Planning
--- Framework Overview
Career Histories
Master Talent List with
Succession “Bench
Strength”
SES Member Executive Summary
(BIO/Resume and Career
Preference Input)
DATA INPUT
Management
(Supervisor and Endorser
Readiness Rating Assessments)
Talent
Management
and Succession
Planning Panel
Assignment Discussion
and Recommendations
Executive and Leadership
Feedback
Annual Performance
Evaluations
Position Inventory &
Individual Career Preference
(1-3, 3-5, 5-7 years)
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Mobility Considerations
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
Succession Planning Process – An Example
VACANT POSITION
GROOMING PIPELINE
(3-5 YEARS)
READY PIPELINE
INCUMBENT 1
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POSITION TITLE
COMMAND
TIER
RETIREMENT ELIG. DATE
INCUMBENT 1
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POSITION TITLE
COMMAND
TIER
RETIREMENT ELIG. DATE
INCUMBENT 2
POSITION TITLE
INCUMBENT 2
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COMMAND
TIER
INCUMBENT
RETIREMENT ELIG. DATE
POSITION TITLE
COMMAND
TIER
RETIREMENT ELIG. DATE
INCUMBENT 3
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POSITION TITLE
COMMAND
TIER
RETIREMENT ELIG. DATE
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POSITION TITLE
COMMAND
TIER
RETIREMENT ELIG. DATE
INCUMBENT 3
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POSITION TITLE
COMMAND
TIER
RETIREMENT ELIG. DATE
INCUMBENT 4
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POSITION TITLE
COMMAND
TIER
RETIREMENT ELIG. DATE
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
Here is the retirement eligibility data for DoD
Senior Executives
 Average Retirement eligibility by age and years of service for DoD
10
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
In advising senior DoD leaders, how would you
answer the following questions?
 What factors should be considered for a successful talent
Management and Succession Planning Model?
• Diagnose individual executive talent for development and assignment
• Standardize an approach across the Department to identify where
additional resources should be directed to fill capability and succession
gaps
• Ensure transparency, fairness, and equitability in processes and support
merit principles
 How do we instill “change” among senior leaders to support
evaluations of “readiness” and opportunities for career
broadening?
11
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
And, finally …

Should the Department’s succession planning model identify
individuals by name for each SES position or should the
model provide for a high quality and ready “pool” of 21st
Century Leaders who possess certain competencies?
•
•
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What approach do you recommend ?
What are the key considerations to ensure equity and fairness of
“pool?”
How do we ensure process is not used by supervisors to move
Executives they no longer want?
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Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)
What Do You Think About...

How do you facilitate the visibility and sharing of talent across the
Components/ government to develop joint, enterprise perspectives and a
portfolio of experiences?
•
How do we ensure fairness and equitability in that process?
•
To what extent do processes have to be standardized?
•
What process can be used for inter-agency assignments?
•
For outside Component assignments, what are the issues that must be addressed by
Components?
o
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How do we manage executives and ensure Executives captured in parent organization PRBs
and Succession plans?
Should we have common business rules for maintaining affiliation with a single
component when assigned outside that component?
o
o
o
What are ideas on how to maintain talent visibility and management when assigned outside
the Component?
What are ideas on who should pay the Executive that maintains component affiliation when
assigned outside the component?
Should affiliation be maintained only when being assigned to “tour limited” positions?
13
Excellence in Executive Leadership
UNCLASSIFIED – For Official Use Only (FOUO)