Succession Planning 1 — 2 — 3

for Senior Executives and Pivotal Positions

STEP
IDENTIFYING RISK: Planned & Unplanned Attrition
1
Senior Executives Pivotal Positions
Tool 1A Tool 1B and 1C
• Identify senior executive positions • Identify pivotal positions and your
and your plans to fill any gaps in these plans to fill any gaps in these pivotal
senior executive positions, short or positions, short or long term, due to
long term, due to a planned or planned or unplanned vacancy (Step 2).
unplanned vacancy (Step 2).

The Senior Executive Succession Plan

(Tool 1A) and the Pivotal Position
Succession Plan (Tool 1B) are
recommended succession planning
documents and may be sent to
successn@mailbox.sc.edu or saved
internally within each college/campus/
division, for periodic review and audit. All
succession planning documents should be
reviewed and revised biannually or 6-12
Tools 1A &
1B are
months after a significant change in
recommended & personnel.
subject to
audit

Division of Human Resources

Office of Organizational and Professional Development
 SENIOR EXECUTIVE SUCCESSION PLAN
Identifying current succession options for senior executives
Return completed form to successn@mailbox.sc.edu
Division/
Date
College
Estimated Name(s) of
Departure Candidate(s)
ST
Senior Executive Date (if any) Identified for Potential Int.
Name of Incumbent Short Term (ST) Backup, LT
Position Ext.
Long Term (LT) Fill (or both) Both
Internal (Int.) to USC, or External
(Ext.)

SENIOR EXECUTIVE SUCCESSION PLAN | USC-HR Succession Planning Tool 1A|Rev 7.2019
 Track Major Action Items to Ensure Development of Potential Succession Candidates
Assigned To Manage
Action Item For Candidate Name Deadline Completed
(self/other)

Evaluate ongoing for changes in time to departure, successor availability and development schedule and organizational
needs that may affect succession planning.

SENIOR EXECUTIVE SUCCESSION PLAN | USC-HR Succession Planning Tool 1A|Rev 7.2019
 PIVOTAL POSITION SUCCESSION PLAN
Identifying current succession options for all pivotal positions
Return completed form to successn@mailbox.sc.edu
Division/
Planner Date
College
Estimated Name(s) of
Departure Date Candidate(s)
ST
(if any) Identified for Potential Int.
Pivotal Position Name of Incumbent Short Term (ST) Backup, LT
Ext.
Long Term (LT) Fill (or both) Both
Internal (Int.) to USC, or External
(Ext.)

PIVOTAL POSITION SUCCESSION PLAN | USC-HR Succession Planning Tool 1B | Rev 7.2019
 Track Major Action Items to Ensure Development of Potential Succession Candidates
Assigned To Manage
Action Item For Candidate Name Deadline Completed
(self/other)

Evaluate ongoing for changes in time to departure, successor availability and development schedule and organizational
needs that may affect succession planning.

PIVOTAL POSITION SUCCESSION PLAN | USC-HR Succession Planning Tool 1B|Rev 7.2019
 Pivotal Roles Assessment
Tool 1C

Employee Name: Department: Date:

Position Title: Division: Manager:

Please indicate the extent to which

you agree with the following
statements.
Strongly Disagree: 0
1. This role is essential to
organizational success for Disagree: 1
reaching goals and producing Disagree Somewhat: 2
results. Agree Somewhat: 3
2. This role directly impacts the Agree: 4
organization’s critical Strongly Agree: 5
relationships.
3. The loss of a person in this role
presents significant risk to the
organization.
HIGH Vital 41-50
4. It would be difficult to delegate
Mandatory Succession
the duties assigned to this role.
Plan
5. The skills & competencies
Significant 21-40
required to perform this
Succession Plan
position are highly sought after
Strongly
in the labor market.
Recommended
6. There is no internal pool for
Fundamental 11-20
this position of qualified
General succession
candidates who could step if it
plans as needed
becomes vacant.
LOW No urgent need for 0-10
7. This position tends to have a
succession plan
high turnover rate.
8. This position would be difficult
to fill because it requires highly
specialized expertise. A Critical Role significantly impacts the overall essential needs
9. It would take a long time for a of the organization.
new hire to become fully
functional in this position. A Critical Role may include hierarchical level, specialized
10. This position leverages long- knowledge, skills and abilities, external relationships,
term partner relationships. strategic change initiatives and leadership roles.
Total:
Source: University of Virginia
Manager Comments:

PIVOTAL ROLES ASSESSMENT | USC-HR Succession Planning Tool 1C|Rev 6.2019

Succession Planning 1 — 2 — 3
for Senior Executives and Pivotal Positions
STEP
IDENTIFYING POTENTIAL CANDIDATES
2
Short Term Tool 2 Long Term Tool 2
Back Up / Interim Potential Replacement
• Identify who has been trained to • Identify who has been developed to fill
perform their duties and most critical this role: duties, relationships,
tasks in the short term. Can be expectations, exposure, etc.? Can be
multiple people. multiple people.
• Identify who could be trained. (Step 3) • Identify who could be recruited and
developed. (Step 3)

The Vacancy of Pivotal Position Plan

facilitates assessment of risk, and
development of mitigation
strategies, for key positions.
Best practice for discussions and
reflection around key positions,
organizational structure and the
readiness of potential replacements.
Refer to policy HR 2.00 for post-
retirement employment options.

Building our talent pool: over 1,800 LEAD

graduates and over 200 graduates in our
leadership development programs — The
Pipeline for Academy Leaders (PAL) and the
Emerging Leader Program (ELP)

Division of Human Resources

Office of Organizational and Professional Development
 VACANCY OF PIVOTAL POSITION PLAN
Use this form to facilitate assessment of risk, and development of mitigation strategies, for key positions.
Division/
Planner
College
Pivotal Position Title Name of Incumbent Today’s Date
PART 1 – Identify Pivotal Positions and Time to Departure

Specialized knowledge, skills and abilities (KSA):

How will vacancy affect the area in terms of operations and leadership (critical functions, relationships, future
trends, opportunities, challenges, vision and goals)?

Anticipated date or timeframe of ☐ Within the year ☐ 3-5 years

Date of departure, if known
departure: (consider retirement ☐ 2-3 years ☐ 5-10 years
eligibility, desire for transfer, etc.)
and note reason:
How long will it take to recruit for or replace this position?

How long will it take a qualified replacement to become fully functional?

How much critical institutional knowledge becomes unavailable with this departure? Does a procedure or
operational guide exist or need developing for this position? If so, please note your plan to accomplish.

Does this position need to be refilled/replaced as it currently exists or does this impending departure present an
REFLECT opportunity to restructure the position (PD), department or division to better meet the long-term vision and
strategic goals for this area and the university? Please consider future operations and leadership needs.
Brainstorm individuals, internally and externally, who may have the potential, below or on Tool 5:
PART 2 – Identify Potential Succession

Utilize: Tools 3A and 3B

Candidates

Use the following succession planning tools to assess the readiness of your selected individuals. To avoid bias,
work with members of your management team whenever possible to complete your assessments.
1.) Leadership Performance and Potential Assessment: Answer “yes” or “no” to questions and “score” your
individual employees in the areas of Leadership Performance and Leadership Potential. (Tool 3A)
2.) 9 Box-Model: After scoring each individual, plot your results on the 9-Box Model for a bigger picture view of
the readiness of each person. Review the traits to ensure you have accurately positioned each individual.
Note what you, or their manager, should provide each individual to prepare them for a future role. (Tool 3B)
Employees identified as candidates for THIS VACANCY move to Part 3.

REFLECT Reflect on career planning conversations with your staff and other potential candidates across the organization.

VACANCY OF PIVOTAL POSITION PLAN | USC-HR Succession Planning Tool 2 | Rev 2.2018
 Use the referenced tools, and the table below, to record the individuals selected as candidates for succession:
Short-Term Backup –Internal Candidate: Consider who could provide immediate, short-term backup for a
position vacated unexpectedly. If there is not one single individual, consider how you could divide the duties
temporarily. Do not limit yourself to those individuals in your immediate area. Consider others across the
organization in a role with similar skills and duties.
PART 3 – Designate Trained Back-ups and

Long-Term Fill - Internal Candidate: Consider high potential employees who are now, or may develop into
Top Assessed Succession Candidates

strong candidates who could compete for the position through the search and selection process. Consider those
who have demonstrated an interest in promotion, not fully challenged in their current position, and/or are
serving in functions that are becoming obsolete or less critical to operations. Look across the organization.
Long-Term Fill - External Candidate: Consider a candidate, external to the organization, who has specialized
skills or knowledge not found within the organization nor easily developed internally.
If the individual is not currently
Short-Term (ST) Backup
prepared, briefly note additional Date of
Long Term (LT) Fill or Both;
Name knowledge, skills and abilities Anticipated
Internal (Int.) or
(KSA) needed. Readiness
External (Ext.) Candidate
Capture details on IDP in Part 4.
☐ ST ☐ LT ☐ Int. ☐ Ext.

☐ ST ☐ LT ☐ Int. ☐ Ext.

☐ ST ☐ LT ☐ Int. ☐ Ext.

☐ ST ☐ LT ☐ Int. ☐ Ext.

☐ ST ☐ LT ☐ Int. ☐ Ext.
If the current manager(s) of the designated candidates are not in a position to develop and provide ongoing
support for these individuals in the necessary operational competencies and leadership behaviors outlined in their
REFLECT development plan - consider moving them under a different, proven leader or identify a mentor from elsewhere in
the organization.
Capture development goals in their Individual Development Plan (IDP). Individual Development Plans (IDPs) are
tools used to help employees develop their skills by setting goals and then organizing those goals into a cohesive
Part 4 – Create Individual
Development Plans (IDP)

plan with defined timeframes and expected results. Succession Planners, succession candidates and managers
will work together to tailor the IDP to ensure it meets the needs of the individual and the organization. There
Utilize: Tool 4

are four steps to developing an IDP:

1.) Analyze Development Needs 2.) Set Goals
3.) Identify Activities, Training and Experiences 4.) Define Success Criteria and Time Lines
Note: It is important to monitor and evaluate IDP results. IDPs evolve as individuals evolve (or not, due to the
unexpected, lack of support, opportunities, etc.). Employees, who are not on track with their development
goals, will need to be re-evaluated. You may need to accelerate the development of other identified potential
succession candidates to fill the gap.
1.) Pivotal Position: has anything changed in their departure date? Target
Evaluation Date
2.) Candidate: is their development on track; are they still employed and engaged; are
Evaluate
Part 5 -

they still interested in this role or a different role/career; motivations aligned?

3.) Organization: has anything changed in the organization that could necessitate a
change in this plan (direction of organization, vision, goals, talent pool)?

PREPARE Develop plans to onboard the final, selected candidate; initiate strategic salary discussions with HR Class & Comp.

VACANCY OF PIVOTAL POSITION PLAN | USC-HR Succession Planning Tool 2 | Rev 2.2018
Succession Planning 1 — 2 — 3
for Senior Executives and Pivotal Positions
STEP ASSESSING & DEVELOPING POTENTIAL CANDIDATES
3
Identify & Assess Develop
9-Box Assessment Individual Development Plan (IDP)
9-Box Model Cross Training and Knowledge
Potential Talent Pool Worksheet Management Worksheet

The Office of Organizational and

Professional Development is
available to assist you with
developing your succession plans.
They have provided multiple tools to
spark impartial discussions,
reflection and thoughtful assessment
during this process. In addition,
roadmaps to cross train and develop
your potential candidates.
Please contact Nathan Strong (7-
3508) or Kim Pruitt (7-3529) to set
schedule an appointment.

Ongoing career development conversations,

planning and exposure are critical to the
development of our existing and future high-
potential successors.

Division of Human Resources

Office of Organizational and Professional Development

Rev. 06/2019
 PERFORMANCE-POTENTIAL ASSESSMENT
Worksheet for populating the Performance and Potential 9-Box Grid: Each succession planner should answer the following questions prior to placing individuals
on the 9-Box to ensure consistency and remove any bias in assessing your employees’ performance and potential.
Employee Name: College/Division & Position:

Med-1

Low-0
Defining Leadership Performance Defining Leadership Potential

Hi-2
Yes

No
1. Is self-motivated and results-focused with a solid history of high 1. Could the employee perform at a higher level, in a different position or
job performance and goal achievement take on increased responsibilities within the next year (consider the
☐ ☐ ☐ ☐ ☐
person’s ability only, not whether there is a position available to support
this growth)?
2. Respectfully challenges the status quo, displaying creativity, 2. Could the employee perform at a higher level, in a different position, or
innovation and progressive thinking; is open, and easily adapts to, take on increased responsibilities within the next three years (consider
new processes, perspectives and changes in business processes
☐ ☐ the person’s ability only, not whether there is a position available to
☐ ☐ ☐
and practices, even when generated by others support this growth)?
3. Is effective in resolving interpersonal conflict; displays an ability 3. Can you envision this employee performing two levels above his or her
to stay focused on the situation and negotiate effective solutions.
☐ ☐ current position in the next five to six years?
☐ ☐ ☐
4. Displays excellent verbal and written communication skills by 4. Is the organization likely to value growth of the skills and competencies
delivering clear, concise and convincing messages
☐ ☐ of this employee over the next several years?
☐ ☐ ☐
5. High standard of personal conduct: honest, trustworthy, 5. Could the employee learn the additional skills and competencies he or
accountable for their actions/responsibilities, and delivers on ☐ ☐ she needs to be able to perform at a higher or different level? ☐ ☐ ☐
their promises
6. Builds strong, positive relationships that create success for 6. Does the employee demonstrate leadership ability—by showing
themselves and those around them; effective at mobilizing ☐ ☐ initiative and vision, delivering on promised results, communicating ☐ ☐ ☐
resources to respond to problems and opportunities as they arise effectively, and taking appropriate risks?
7. Has a positive attitude, is inspiring and inclusive; collaborates and 7. Does the employee display an ability to interact comfortably with people
communicates respectfully and exemplifies a selfless, team- ☐ ☐ at a higher level or in different areas? ☐ ☐ ☐
approach in accomplishing our mission
8. Thinks strategically-understands and pursues opportunities that 8. Does the employee demonstrate comfort with a broader organization
fit with broader strategy; applies good judgment in problem ☐ ☐ perspective than his or her job currently requires? ☐ ☐ ☐
analysis and critical thinking
9. Eager to learn and grow, actively seeks personal development 9. Does the employee demonstrate flexibility and motivation to move into
opportunities and excels at rapidly developing new skills ☐☐ a job that might have different requirements than any they have held ☐ ☐ ☐
necessary to successful job performance previously?
10. Actively solicits feedback, responds openly without 10. Does the employee welcome opportunities for learning and
defensiveness, and learns from feedback and alters behavior
☐ ☐ development?
☐ ☐ ☐
To evaluate this employee’s performance, calculate the number of To evaluate this employee’s potential, calculate the number of checked boxes
“yes” responses (yes=1 pt.), check the score box below and find in each column (Hi=2 pts., Med=1 pt., Low=0 pt.), check the score box below
corresponding box on Tool 3B (9-Box) and record name. TOTALS and find the corresponding box on Tool 3B (9-Box) and record name. TOTALS
0-3 = Low  4-7 = Medium  8-10 = High  0-6 = Low  7-13= Medium  14-20 = High 
9 BOX ASSESSMENT | USC-HR Succession Planning Tool 3A|Rev 2.2018
 Division/College: Planner: Date:

Solid Performer, Trusted, High Professional Strong Performer, Current Star Future Leader, Star Performer - Ready

High/Outstanding (8-10)
Exceeds Expectations
High Performance/Low Potential High Performance/Moderate Potential High Performance/ High Potential
Leadership Performance - Ability

Questionable Performer, Effective, Grinders Solid Performer, Key Player, Core Employee Strong Performer, Emerging Leader
Moderate Performance/Low Potential Moderate Performance/Moderate Potential Moderate Performance/High Potential
Meets Expectations
Medium/Good (4-7)

Under/Low Performer, Icebergs, Talent Risk Questionable Performer, Inconsistent Solid Performer, Enigmas, Rough Diamonds
Low Performance/Low Potential Low Performance/Moderate Potential Low Performance/High Potential
Needs Improvement
Low (0-3)

Low (0-15) Medium/Moderate(15-22) High (23-30)

9-Model Limited Growth Mastery
Fillable Leadership Potential - Aspiration

9-BOX MODEL | USC-HR Succession Planning Tool 3B |Rev. 2.2018

 Solid Performer, Trusted, High Professional Strong Performer, Current Star Future Leader, Star Performer - Ready
High Performance/Low Potential High Performance/Moderate Potential High Performance/ High Potential

High/Outstanding (8-10)
Exceeds Expectations
Traits: accomplishes all important work; seen as a Traits: accomplishes all important work; acts as a leader Traits: accomplishes all important work; exhibits
technical leader, a subject matter expert (SME) and a and role model; may exhibit capability and competencies capability and competencies beyond current role; excels
resource for others; has reached their potential; good fit in beyond current role; leadership development still at relationship building and has wide spread influence
their role; necessary in some areas; tactical focus beyond current role
Goal(s): retention, capture/document their knowledge; Goal(s): engage and develop for next level up Goal(s): retention, prepare and utilize for succession
use as a lead or trainer for others Provide: a career progression conversation and Provide: a career progression conversation; accelerated
Provide: recognition, continue developing them in their opportunities for them to display leadership in their leadership development to include stretch assignments;
area current role: job enlargement, special project, lead a recognize and reward their efforts
Leadership Performance - Ability

team; may need lateral transfer if existing manager

unable to provide leadership development and
opportunities

Questionable Performer, Effective, Grinders Solid Performer, Key Player, Core Employee Strong Performer, Emerging Leader
Moderate Performance/Low Potential Moderate Performance/Moderate Potential Moderate Performance/High Potential
Meets Expectations
Medium/Good (4-7)

Traits: accomplishes most important things; is not viewed Traits: accomplishes most important things; displays Traits: accomplishes most important things;
as a leader in their area; proficient in their current role some executive competencies, leadership and ability as acknowledged as a leader and role model displaying
Goal(s): help employee be successful in their current role; a role model executive competencies; displays capability one level
coach to improve their performance; may be a candidate Goal(s): retain in current role and continue development above current role; strategic focus
for a lateral move for future potential; may be considered for job Goal(s): prepare and develop for promotion
Provide: training and development; coaching; recognize enlargement Provide: coaching and feedback to improve
their improvement efforts Provide: more time and development performance; identify career goals and support with a
development plan and opportunities to learn and grow
(team, project)

Under/Low Performer, Icebergs, Talent Risk Questionable Performer, Inconsistent Solid Performer, Enigmas, Rough Diamonds
Low Performance/Low Potential Low Performance/Moderate Potential Low Performance/High Potential
Needs Improvement

Traits: not accomplishing most important things; not Traits: not accomplishing most important things; capable Traits: not accomplishing most important things;
meeting the standards of their current role; not capable of of making higher contributions displays executive competencies and acknowledged as a
Low (0-3)

making higher contributions Goal(s): determine what is lacking for success in current team player and role model
Goal(s): help them be successful in their role or move role and focus on improving performance, likely to have Goal: determine and address the root cause(s) of their
them to a more appropriate position (laterally or demotion) range to move up one level/challenge. performance problems to maximize their potential; worthy
or consider an exit plan Provide: Provide coaching, training and development of development
Provide: diagnose causes (bad hire, lack of information, and frequent and specific feedback; recognize efforts Provide: diagnostic conversation to identify any
competencies & skills) and provide: coaching, feedback, frustrations and necessary interventions: job fit, manager
performance plan or exit fit, career aspirations; develop in needed areas
Low (0-15) Medium/Moderate (15-22) High (23-30)
9-Model Limited Growth Mastery
Key Leadership Potential - Aspiration

9-BOX MODEL | USC-HR Succession Planning Tool 3B |Rev. 2.2018

 Reset Form

Individual Development Plan (IDP)

Employee Name: Period From: To:

DEVELOPMENTAL
MANAGER’S ROLE RESULTS
CRITICAL CONTRIBUTION TO ACTIVITIES/ACTION STEPS TARGET DATES/
(or involvement of MEASURES (manager and/or
BEHAVIORS/GOALS ORGANIZATION (assignments, coaching, MILESTONES
others, if applicable) employee comments)
formal training)
What do I want? What do I How have I succeeded in
What steps will I take to What resources or
need to learn? What How does this help the adapting my behavior or
achieve this? Remember to support will I need? What will my success What is my target
specific behaviors do I need college or department learning new skills?
use SMART goals. Potential costs criteria be? completion date?
to model or exhibit in this meet its needs?
involved?
competency or skill?
Goal 1 (long-term):

Goal 2:

Goal 3:

Goal 4:
Supplemental
Worksheets &
Sample Forms
 POTENTIAL TALENT POOL WORKSHEET
REFLECT: Does this worksheet reflect a robust and diverse talent pool? Have you considered other talent resource needs (or excess) across the
university to address succession-planning university-wide and engage and retain our top talent?
POSITION/
TITLE
CURRENTLY
HELD BY:

CANDIDATES
MOST READY
TODAY:

NEAR TERM
CANDIDATES
(Potential in
1-3 years)

FUTURE
CANDIDATES
(Potential in
5+ Years)

POTENTIAL TALENT POOL WORKSHEET | USC-HR Succession Planning Tool 5 | Rev. 2.2018
 Knowledge Management and Transfer (Cross-Training) – Worksheet
For tasks and activities (not entire roles) that need to be captured and cross-trained for continuity of operations.
1.) Capturing knowledge that otherwise would exit with the employee and missing, could impede business operations
Critical

2.) Continuity of business operations during expected/unexpected absences and vacancies: FMLA, Succession, Turnover, Promotion, etc.
To

3.) Onboarding and training new hires more efficiently and effectively through documented processes

Date Division or College Manager

Area

Employee Position

Complete this worksheet with the employee to rank activities in order of importance and designate people for cross training.
Instructions

• What core activities do you do at work? Each process name should have a verb (action word). Each process should relate to only one delegable job role.
o Examples: conduct performance reviews, conduct interviews, perform monthly reports, reconcile weekly finance statements, schedule all class
schedules, reserve all rooms, facilitate a conference, enter all payments, etc.
• Rank each activity in order of critical business operation importance and supply the amount of time you spend on this task each week.
Est. Hours
Process
Spent Backup 1 Backup 2 Assigned
Assigned Documented
Rank Core Work Activity Weekly Primary Name & Name & to
Trainer (Y/N) &
on Deadline Deadline Document
Deadline
Rank and Note Each Core Work Activity

Activity
1
2
3
4
5
6
7
8
9
10

KNOWLEDGE MANAGEMENT AND TRANSFER (CROSS-TRAIN) WORKSHEET | USC-HR Succession Planning Tool 6 | Rev 2.2018
 Core Work Activity / Business Process - Documentation Guidelines
Purpose: When designating an activity as a critical business operation process and assigning it for cross training, create a business process document to
define/outline all aspects of this activity for successful training and to capture as part of your knowledge management strategy. Below is just a sample of the
things necessary to document a process for effective sharing of activity knowledge.
Activity/Business Purpose of the Activity and the Scope of work.
Process What is the intention/objective of the process (why do it?) and when and where does it apply?
Roles Roles of all involved in process and their functions to ensure role clarity
External contact information – special phone numbers, email addresses for the customer/client/end-user. (ex. special 800# or ext.?)
Contacts
Internal contact information - for those involved in the process.
Definitions & Acronyms Consistent operational definitions; acronyms should be defined to ensure proper interpretation
 Standards & Guidelines (any standards, policies, rules governing this process)
 Process (show a flowchart where necessary)
 Procedures (step 1, step 2, step 3) Consider that many people who perform the same activity, may go about it a different way.
Agree on a common process for training, assisting others and reduction of errors.
• Entry Criteria: what is required before this process can begin - time, an event, receipt, etc.
Process Flow
• Input Actions: by owner and all involved parties that have a role in this process
• Output: What deliverables or other output are required of this process and how should they be formatted/delivered?
• Metrics: Where are measurements captured or automatically entered?
• Exit Criteria: What is the condition required before the process is declared complete - filed, saved, sent to someone
else, etc.?
 Templates (any standardized templates, forms, web links, etc. that will need to be shared to perform this process)
 Checklists (any checklists that will need to be shared to perform this process)
Tools
 Training (any specialized training, skills or certifications necessary to perform this process)
 Equipment/Software necessary to those performing this activity/process

Who needs to review, approve or verify this data to consider it completed? Is there a checklist to fill out or an approval form? Is this
Approvals/Verifications
process monitored or audited, and filed a certain way or sent to others?

Deadlines What is the start to finish timeframe of this process? It is due daily, weekly, monthly or annually?

KNOWLEDGE MANAGEMENT AND TRANSFER (CROSS-TRAIN) WORKSHEET | USC-HR Succession Planning Tool 6 | Rev 2.2018
 PIVOTAL POSITION SUCCESSION PLAN
Identifying current succession options for all pivotal positions
Return completed form to successn@mailbox.sc.edu
Division/
Planner Date
College
Estimated Name(s) of
Departure Date Candidate(s)
ST
(if any) Identified for Potential Int.
Pivotal Position Name of Incumbent Short Term (ST) Backup, LT
Ext.
Long Term (LT) Fill (or both) Both
Internal (Int.) to USC, or External
(Ext.)
Director of Students Sally Jones 6/30/18 Jim May ST Int.

Director of Students Sally Jones 6/30/18 Sammie North ST Int.

Director of Students Sally Jones 6/30/18 Maggie Smith LT Int.

Director of HR Tim West 12/31/17 Cleo Capable LT Int.

Director of HR Tim West 12/31/17 Betty Focus LT Int.

Director of HR Tim West 12/31/17 James Able LT Int.

Director of Finance Barbara Case 4/27/18 Bill Sugar ST Ext.

Director of Finance Barbara Case 4/27/18 Maggie Trainor ST Int.

Director of Housing Jerry Lexar 12/31/17 Kelly Baker ST

Director of Housing Jerry Lexar 12/31/17 Larry James ST Int.

Director of Housing Jerry Lexar 12/31/17 Rachel Moore ST

PIVOTAL POSITION SUCCESSION PLAN | USC-HR Succession Planning Tool 1B|Rev 2.2018
 Track Major Action Items to Ensure Development of Potential Succession Candidates
Assigned To Manage
Action Item For Candidate Name Deadline Completed
(self/other)
Include Betty at all leadership meetings Betty Focus AVP of HR
and ask her to present and represent the
group for her area
Include Betty in higher-level decision- Betty Focus AVP of HR
making opportunities. Ask for her
suggestions.
Cleo should meet with 3 key institutional Cleo Capable Cleo
partners in finance, provost and HR to 06/2018
learn more about our processes
Cleo should work on her skills in the areas Cleo Capable Cleo
06/2018
of reporting and analysis
James should complete LEAD training James Able James 12/2018
James to become a lead in his area with 1 James Able Director of HR
12/2018
full time employee and 2 student workers
Involve James in problem solving; ask for James Able Director of HR
12/2018
his opinion, coach

Evaluate ongoing for changes in time to departure, successor availability and development schedule and organizational
needs that may affect succession planning.

PIVOTAL POSITION SUCCESSION PLAN | USC-HR Succession Planning Tool 1B|Rev 2.2018
 VACANCY OF PIVOTAL POSITION PLAN
Use this form to facilitate assessment of risk, and development of mitigation strategies, for key positions.
Division/
Division of Education Planner Frank Dustin
College
Pivotal Position Title Name of Incumbent Today’s Date
Director of HR Tim West 5/1/17
PART 1 – Identify Pivotal Positions and Time to Departure

Specialized knowledge, skills and abilities (KSA):

15 years or more experience in strategic business operations and human capital planning
Large organizations, higher education,

How would vacancy affect the area in terms of operations and leadership (critical functions, relationships, future
trends, opportunities, challenges, vision and goals)?

Anticipated date or timeframe of ☒ Within the year ☐ 3-5 years

Date of departure, if known
departure: (consider retirement ☐ 2-3 years ☐ 5-10 years
eligibility, desire for transfer, etc.)
and note reason: 12/31/17
How long would it take to recruit for or replace this position? 4-6 months

How long would it take a qualified replacement to become fully functional? 1-2 years
How much critical institutional knowledge becomes unavailable with this departure? Does a procedure or
operational guide exist or need developing for this position? If so, please note your plan to accomplish.
Situational and institutional knowledge, Precedence

Does this position need to be refilled/replaced as it currently exists or does this impending departure present an
REFLECT opportunity to restructure the position (PD), department or division to better meet the long-term vision and
strategic goals for this area and the university? Please consider future operations and leadership needs.
Brainstorm individuals, internally and externally, who may have the potential, below or on Tool 5:
Betty Focus Marcus Pan
PART 2 – Identify Potential Succession

Bonita South Flora Present

Bob Lawyer
Utilize: Tools 3A and 3B

James Able
Candidates

Cleo Capable

Use the following succession planning tools to assess the readiness of your selected individuals. To avoid bias,
work with members of your management team whenever possible to complete your assessments.
1.) Leadership Performance and Potential Assessment: Answer “yes” or “no” to questions and “score” your
individual employees in the areas of Leadership Performance and Leadership Potential. (Tool 3A)
2.) 9 Box-Model: After scoring each individual, plot your results on the 9-Box Model for a bigger picture view of
the readiness of each person. Review the traits to ensure you have accurately positioned each individual.
Note what you, or their manager, should provide each individual to prepare them for a future role. (Tool 3B)
Employees identified as candidates for THIS VACANCY move to Part 3.

REFLECT Reflect on career planning conversations with your staff and other potential candidates across the organization.

VACANCY OF PIVOTAL POSITION PLAN | USC-HR Succession Planning Tool 2 | Rev 2.2018
 Use the referenced tools, and the table below, to record the individuals selected as candidates for succession:
Short-Term Backup –Internal Candidate: Consider who could provide immediate, short-term backup for a
position vacated unexpectedly. If there is not one single individual, consider how you could divide the duties
temporarily. Do not limit yourself to those individuals in your immediate area. Consider others across the
organization in a role with similar skills and duties.
Long-Term Fill - Internal Candidate: Consider high potential employees who are now, or may develop into
PART 3 – Designate Trained Back-ups and

strong candidates who could compete for the position through the search and selection process. Consider those
Top Assessed Succession Candidates

who have demonstrated an interest in promotion, not fully challenged in their current position, and/or are
serving in functions that are becoming obsolete or less critical to operations. Look across the organization.
Long-Term Fill - External Candidate: Consider a candidate, external to the organization, who has specialized
skills or knowledge not found within the organization nor easily developed internally.
If the individual is not currently
Short-Term (ST) Backup
prepared, briefly note additional Date of
Long Term (LT) Fill or Both;
Name knowledge, skills and abilities Anticipated
Internal (Int.) or
(KSA) needed. Readiness
External (Ext.) Candidate
Capture details on IDP in Part 4.
Betty Focus ☐ ST ☒ LT ☒ Int. ☐ Ext. More exposure to executives and 12/31/17
high-level decision making
Cleo Capable ☐ ST ☒ LT ☒ Int. ☐ Ext. Institutional specific knowledge, 12/31/18
reporting and analysis
(performance)
James Able ☐ ST ☒ LT ☒ Int. ☐ Ext. Leading others, exposure to 06/30/18
difficult situations and problem
solving at a leadership level
☐ ST ☐ LT ☐ Int. ☐ Ext.

☐ ST ☐ LT ☐ Int. ☐ Ext.

If the current manager(s) of the designated candidates are not in a position to develop and provide ongoing
support for these individuals in the necessary operational competencies and leadership behaviors outlined in their
REFLECT development plan - consider moving them under a different, proven leader or identify a mentor from elsewhere in
the organization.
Capture development goals in their Individual Development Plan (IDP). Individual Development Plans (IDPs) are
tools used to help employees develop their skills by setting goals and then organizing those goals into a cohesive
Part 4 – Create Individual
Development Plans (IDP)

plan with defined timeframes and expected results. Succession Planners, succession candidates and managers
will work together to tailor the IDP to ensure it meets the needs of the individual and the organization. There
Utilize: Tool 4

are four steps to developing an IDP:

1.) Analyze Development Needs 2.) Set Goals
3.) Identify Activities, Training and Experiences 4.) Define Success Criteria and Time Lines
Note: It is important to monitor and evaluate IDP results. IDPs evolve as individuals evolve (or not, due to the
unexpected, lack of support, opportunities, etc.). Employees who are not on track with their development
goals, will need to be re-evaluated. You may need to accelerate the development of other identified potential
succession candidates to fill the gap.
1.) Pivotal Position: has anything changed in their departure date? Target
Evaluation Date
2.) Candidate: is their development on track; are they still employed and engaged; are
Evaluate
Part 5 -

they still interested in this role or a different role/career; motivations aligned?

3.) Organization: has anything changed in the organization that could necessitate a 12/31/17
change in this plan (direction of organization, vision, goals, talent pool)?

PREPARE Develop plans to onboard the final, selected candidate; initiate strategic salary discussions with HR Class & Comp.

VACANCY OF PIVOTAL POSITION PLAN | USC-HR Succession Planning Tool 2 | Rev 2.2018
 PERFORMANCE-POTENTIAL ASSESSMENT
Worksheet for populating the Performance and Potential 9-Box Grid: Each succession planner should answer the following questions prior to placing individuals
on the 9-Box to ensure consistency and remove any bias in assessing your employees’ performance and potential.
Employee Name: Betty Focus College/Division & Position: Asst. VP of Staff

Med-1

Low-0
Defining Leadership Performance Defining Leadership Potential

Hi-2
Yes

No
1. Is self-motivated and results-focused with a solid history of high 1. Could the employee perform at a higher level, in a different position or
job performance and goal achievement take on increased responsibilities within the next year (consider the
☒ ☐ person’s ability only, not whether there is a position available to support ☒ ☐ ☐
this growth)?
2. Respectfully challenges the status quo, displaying creativity, 2. Could the employee perform at a higher level, in a different position, or
innovation and progressive thinking; is open, and easily adapts to, take on increased responsibilities within the next three years (consider
new processes, perspectives and changes in business processes ☒ ☐ the person’s ability only, not whether there is a position available to ☒ ☐ ☐
and practices, even when generated by others support this growth)?
3. Is effective in resolving interpersonal conflict; displays an ability 3. Can you envision this employee performing two levels above his or her
to stay focused on the situation and negotiate effective solutions.
☒ ☐ current position in the next five to six years? ☐ ☒ ☐
4. Displays excellent verbal and written communication skills by 4. Is the organization likely to value growth of the skills and competencies
delivering clear, concise and convincing messages
☒ ☐ of this employee over the next several years?
☒ ☐ ☐
5. High standard of personal conduct: honest, trustworthy, 5. Could the employee learn the additional skills and competencies he or
accountable for their actions/responsibilities, and delivers on ☒ ☐ she needs to be able to perform at a higher or different level? ☒ ☐ ☐
their promises
6. Builds strong, positive relationships that create success for 6. Does the employee demonstrate leadership ability—by showing
themselves and those around them; effective at mobilizing ☒ ☐ initiative and vision, delivering on promised results, communicating ☒ ☐ ☐
resources to respond to problems and opportunities as they arise effectively, and taking appropriate risks?
7. Has a positive attitude, is inspiring and inclusive; collaborates and 7. Does the employee display an ability to interact comfortably with people
communicates respectfully and exemplifies a selfless, team- ☐ ☒ at a higher level or in different areas? ☐ ☒ ☐
approach in accomplishing our mission
8. Thinks strategically-understands and pursues opportunities that 8. Does the employee demonstrate comfort with a broader organization
fit with broader strategy; applies good judgment in problem ☒ ☐ perspective than his or her job currently requires? ☒ ☐ ☐
analysis and critical thinking
9. Eager to learn and grow, actively seeks personal development 9. Does the employee demonstrate flexibility and motivation to move into
opportunities and excels at rapidly developing new skills ☒ ☐ a job that might have different requirements than any they have held ☒ ☐ ☐
necessary to successful job performance previously?
10. Actively solicits feedback, responds openly without 10. Does the employee welcome opportunities for learning and
defensiveness, and learns from feedback and alters behavior ☐ ☒ development?
☒ ☐ ☐
To evaluate this employee’s performance, calculate the number of To evaluate this employee’s potential, calculate the number of checked boxes
“yes” responses (yes=1 pt.), check the score box below and find in each column (Hi=2 pts., Med=1 pt., Low=0 pt.), check the score box below
corresponding box on Tool 3B (9-Box) and record name. TOTALS and find the corresponding box on Tool 3B (9-Box) and record name. TOTALS
0-3 = Low ☐ 4-7 = Medium ☐ 8-10 = High ☒ 0-6 = Low ☐ 7-13= Medium ☐ 14-20 = High ☒

PERFORMANCE-POTENTIAL ASSESSMENT | USC-HR Succession Planning Tool 3A|Rev 2.2018

 Division/College: Planner: Date:

Solid Performer, Trusted, High Professional Strong Performer, Current Star Future Leader, Star Performer - Ready

High/Outstanding (8-10)
Exceeds Expectations
High Performance/Low Potential High Performance/Moderate Potential High Performance/ High Potential

James Able Betty Focus

Leadership Performance - Ability

Questionable Performer, Effective, Grinders Solid Performer, Key Player, Core Employee Strong Performer, Emerging Leader
Meets Expectations
Medium/Good (4-7)

Moderate Performance/Low Potential Moderate Performance/Moderate Potential Moderate Performance/High Potential

Flora Present Cleo Capable

Under/Low Performer, Icebergs, Talent Risk Questionable Performer, Inconsistent Solid Performer, Enigmas, Rough Diamonds
Needs Improvement

Low Performance/Low Potential Low Performance/Moderate Potential Low Performance/High Potential

Low (0-3)

Low (0-15) Medium/Moderate(15-22) High (23-30)

Limited Growth Mastery
9-Model Leadership Potential - Aspiration
Fillable

9-BOX MODEL | USC-HR Succession Planning Tool 3B |Rev. 2.2018

 Solid Performer, Trusted, High Professional Strong Performer, Current Star Future Leader, Star Performer - Ready
High Performance/Low Potential High Performance/Moderate Potential High Performance/ High Potential

High/Outstanding (8-10)
Exceeds Expectations
Traits: accomplishes all important work; seen as a Traits: accomplishes all important work; acts as a leader Traits: accomplishes all important work; exhibits
technical leader, a subject matter expert (SME) and a and role model; may exhibit capability and competencies capability and competencies beyond current role; excels
resource for others; has reached their potential; good fit in beyond current role; leadership development still at relationship building and has wide spread influence
their role; necessary in some areas; tactical focus beyond current role
Goal(s): retention, capture/document their knowledge; Goal(s): engage and develop for next level up Goal(s): retention, prepare and utilize for succession
use as a lead or trainer for others Provide: a career progression conversation and Provide: a career progression conversation;
Provide: recognition, continue developing them in their opportunities for them to display leadership in their accelerated leadership development to include stretch
area current role: job enlargement, special project, lead a assignments; recognize and reward their efforts
Leadership Performance - Ability

team; may need lateral transfer if existing manager

unable to provide leadership development and
opportunities

Questionable Performer, Effective, Grinders Solid Performer, Key Player, Core Employee Strong Performer, Emerging Leader
Moderate Performance/Low Potential Moderate Performance/Moderate Potential Moderate Performance/High Potential
Meets Expectations
Medium/Good (4-7)

Traits: accomplishes most important things; is not viewed Traits: accomplishes most important things; displays Traits: accomplishes most important things;
as a leader in their area; proficient in their current role some executive competencies, leadership and ability as acknowledged as a leader and role model displaying
Goal(s): help employee be successful in their current role; a role model executive competencies; displays capability one level
coach to improve their performance; may be a candidate Goal(s): retain in current role and continue development above current role; strategic focus
for a lateral move for future potential; may be considered for job Goal(s): prepare and develop for promotion
Provide: training and development; coaching; recognize enlargement Provide: coaching and feedback to improve
their improvement efforts Provide: more time and development performance; identify career goals and support with a
development plan and opportunities to learn and grow
(team, project)

Under/Low Performer, Icebergs, Talent Risk Questionable Performer, Inconsistent Solid Performer, Enigmas, Rough Diamonds
Low Performance/Low Potential Low Performance/Moderate Potential Low Performance/High Potential
Needs Improvement

Traits: not accomplishing most important things; not Traits: not accomplishing most important things; capable Traits: not accomplishing most important things;
meeting the standards of their current role; not capable of of making higher contributions displays executive competencies and acknowledged as a
Low (0-3)

making higher contributions Goal(s): determine what is lacking for success in current team player and role model
Goal(s): help them be successful in their role or move role and focus on improving performance, likely to have Goal: determine and address the root cause(s) of their
them to a more appropriate position (laterally or demotion) range to move up one level/challenge. performance problems to maximize their potential;
or consider an exit plan Provide: Provide coaching, training and development worthy of development
Provide: diagnose causes (bad hire, lack of information, and frequent and specific feedback; recognize efforts Provide: diagnostic conversation to identify any
competencies & skills) and provide: coaching, feedback, frustrations and necessary interventions: job fit, manager
performance plan or exit fit, career aspirations; develop in needed areas
Low (0-15) Medium/Moderate (15-22) High (23-30)
9-Model Limited Growth Mastery
Key Leadership Potential - Aspiration

9-BOX MODEL | USC-HR Succession Planning Tool 3B |Rev. 2.2018