SUCCESSION PLANNING
A Suggested Approach for Owens Community College
SUCCESSION PLANNING
CONTENTS
Succession Planning – Introduction ……………………………….. 1
Developing the Biographical Summary …………………………… 2
Developing the Succession Plan ……………………………………. 5
Employee Ranking Procedure ……………………………………... 6
Backup Chart ……………………………………………………….. 9
Worksheet …………………………………………………………… 10
SUCCESSION PLANNING – INTRODUCTION
As a component of the overall talent management process, succession planning involves
a number of objectives. One is identifying key positions. While all jobs presumably have
significance, some are particularly important for the operation of the College. A second focus is
having the right people in the appropriate job at the right time. A third objective is more
efficient use of personnel resources and HR budgets. Finally, such planning, properly
undertaken, should lead to improved productivity and effectiveness through higher
competencies.
In addition to the achievement of specific objectives, succession planning has additional
benefits for the organization. One is enhanced retention. A second is the effective utilization of
development resources. In other words, training programs become more purposeful. Another is
adding meaning to performance appraisal/performance management processes. And yet another
is to create a true identifiable nexus between individuals and organizational needs.
A requirement for an effective succession planning process is that senior leadership
appreciate its importance and commit to participating in the implementation and completion of
the process. Needless to say, it is those who are Vice Presidents at Owens Community College
who are, at least as an initial matter, in the best position to identify those key positions which, if
suddenly vacated, would present the most challenge to the organization. This challenge can
involve several aspects. One is the uniqueness of the functions involved in the position. A
second – related to the first – is the critical knowledge that the individual incumbent might have,
not just as to the duties of the position, but also the “history” of the role at the College. Finally,
it may well be that, in the case of a certain position, the skills, along with relevant experience, are
difficult to find outside in the recruitment marketplace.
What follows are suggestions as to undertaking succession planning at the College. First,
there is a description of an approach to compiling comprehensive biographical information on
incumbents. Then, the development of the plan itself is detailed. Finally, a procedure for
ranking employees is described, including certain key factors for rating performance and
potential.
1
DEVELOPING THE BIOGRAPHICAL SUMMARY
The Biographical Summary is the basis for succession planning at Owens Community
College. Its primary purpose is to provide information for the identification of the candidates for
the replacement of administrators, supervisors, and other key/critical positions within the
organization. If also serves as a basis for developing a training and development plan for those
employees identified as either replacement or backup candidates.
Needless to say, this is a process that all top executives/administrators must view as
valuable and to which each should contribute so as to accept ownership.
There are a number of ways to identify relevant information for the biographical
summary. One is personnel records. A survey of employees can also be used to help confirm
the information available in personnel documents – and “fill in the gaps”. In addition, one can
also ask employees to identify strengths, weaknesses, and next position (and ultimate position)
goals. The same employees might also be queried as to who is a potential successor to their
current assignment, in the event they are advanced to another one. Of course, any employee
provided data needs to be confirmed by department heads and unit leaders, and ultimately by
Human Resources before being included in the biographical summary and succession plan.
One caution is to not “force” a successor for every position under consideration. This is,
there might well be key positions for which there are no current viable candidates. In such cases,
there either should be a specific plan to develop one (or more) employees to be ready in a
reasonably short timeframe to assume the position, or a notation should be made in the final plan
that external recruitment will likely be necessary if there is turnover.
What follows is an outline of the approach that might be used to gather relevant
background information, to identify individual career objectives, and succession options with
respect to each position under consideration. Also included are a Development Plan section and
space for the inclusion of ratings data.
2
Biographical Summary
Name: ______________________________ Current Position: _________________________
Date of Hire: _________________________
Educational History
Dates
Major
Degree
1.
2.
3.
Employment History
Dates (from-to)
Position Held
Employer
1.
2.
3.
Career Objective
Short Term:
Long Term:
Succession Options
Next Possible Position
Readiness*
1.
2.
3.
Readiness*
A. Ready Now
B. 1-3 Years
C. More than 3 Years
3
Development Plan
Strengths:
Areas of Improvement:
Development Steps:
Ratings
Performance:
Potential:
Reviewer:
Date:
Performance:
Potential:
5 – Outstanding
4 – Very Good
3 – Good
2 – Needs Improvement
1 – Unsatisfactory
5 – High (beyond two levels)
4 – Two Levels
3 – One Level
2 – Emergency Replacement Only
1 – No Advancement Potential
4
DEVELOPING THE SUCCESSION PLAN
The following are steps – to be led by the applicable Vice President (or other appropriate
administrator) – for the identification of employees who might be considered for filling the
future opening of positions included in the succession plan.
1.
Identify current unit and/or department organizational chart.
2. Complete a Backup Chart (attached) as described below:




Enter the name of unit/department and organization head in top box.
In the second tier of boxes, insert titles of his/her direct reports. These are the initial
positions to be targeted for succession. In the lower left corner indicate each listed
incumbent’s date of hire and in the lower right corner the anticipated retirement date.
In the third tier, list employees identified as backups to each second-tier report, in
descending order or promotability.
On the left hand side of the slash indicate the candidate’s readiness as follows:
A. Ready Now
B. Ready in 1 – 3 Years
C. Ready in More than Three Years

On the right hand side of the slash indicate the candidate’s promotability as follows:
5. Unlimited
4. Two Levels
3. One Level
2. Emergency Replacement (only)

In the fourth tier of the Chart, list high-potential candidates.
3. Complete a Biographical and Succession Summary for all employees shown on the Chart,
including tier two incumbents.
4. Assemble all documents in a tabbed binder, including:





Unit/department Organization Chart
Backup Chart
Biographical Summaries for tier two incumbents
Biographical Summaries for tier two backups
Biographical Summaries for high potentials
5
EMPLOYEE RANKING PROCEDURE
The administrator/supervisor (led by the applicable Vice President or similar
administrator) should rank his/her employees. The ranking determination can be made by rating
each employee’s performance in the current position and rating their potential for longer-term
College-wide contributions in alternate assignments (typically involving a promotion but
possibly lateral assignments.) The latter rating can include considerations of additional
training/development steps.
This ranking process can help accomplish two objectives. First, it helps identify those
employees who might currently be candidates for re-assignment. Second, it aids in identifying
those whose current performance and potential are such that they should be encouraged to
undertake additional education or similar learning activities.
Rating Performance
For rating purposes, a “3” is the norm. Such a rating says that the employee is
performing at a competent (“Good”) level. Approximately 60% to 70% of employees in a
representative group would ideally be at this level. At either a “4” or “2” (“Very Good” or
“Needs Improvement”) would be 10% to 15%, and a “5” or “1” (“Outstanding” or
“Unsatisfactory”) between 5% and 10%.
Performance Ratings
5 – Outstanding – Employee’s performance is clearly superior. Demonstrates an exceptional
application of knowledge, skill, and/or ability. Highly motivated, self-directed. Consistently
makes good decisions. Achieves results that advance organization’s interests. Requires minimal
supervision.
4 – Very Good – Employee consistently meets (and often exceeds) expectations. Identifies and
applies appropriate solutions to problems and issues. Demonstrates initiative and drive to
achieve results. Requires little supervision.
6
3 – Good – Employee’s performance is what would be expected of one who is experienced and
qualified. Consistently achieves expected results. Displays positive attitude. Requires normal
supervision.
2 – Improvement Needed – Employee’s performance must improve to reach the level expected
of competent employee. May be new to the job, and in the process of developing skills and
competencies. Displays attitude of moving toward better performance. Requires more than
normal supervision.
1 – Unsatisfactory – Employee’s performance is not meeting expectations and no developmental
progress has been evidenced. Requires significant supervisory attention.
Performance Factors
Quantity -
Does the employee demonstrate the capacity to handle numerous tasks, balance priorities
effectively, and meet applicable deadlines?
Quality -
Does the employee consistently deliver a work product that is responsive to the
assignment which is accurate and timely?
Competence -
Does the employee demonstrate competence in his/her area of responsibility, as well as a
good understanding of the broader organization?
Dependability -
Can the employee be counted on in terms of results, even when working independently?
Integrity -
Is the employee honest in dealings with peers, subordinates, supervisors, as well as with
others who have dealings with the organization?
7
Potential Ratings
5 – High/Unlimited – Employee demonstrates very high potential such that – in at least
the longer term – he/she is promotable to Vice President (or equivalent level).
4 – Two Levels – Employee demonstrates potential to hold a higher-level position (up to
two levels advancement), including _____, _____, and _____.
3 – One Level – Employee demonstrates potential to hold a higher-level position (one
level advancement), including _____, _____, and _____.
2 – Current Level Only – Employee should not be considered for a different assignment
or only for lateral assignment, including ___________.
1 – Improve or Replace – Employee has not demonstrated ability to competently
perform the essential functions of his/her present position.
Potential Factors
Education -
Does the employee have sufficient academic or other training to prepare
him/her to perform duties requiring higher or more complex skills?
Supervision -
Does the employee demonstrate the ability to supervise and lead others and
the willingness to take initiative?
Communication -
Does the employee possess verbal and written communication skills to
express himself/herself effectively and “sell” point-of-view?
Organization -
Does the employee have the ability to appreciate the complexities of the
organization and its nuances?
Flexibility -
Is the employee flexible and comfortable with change?
8