Succession Planning Model Summary

Tab 1 - Introduction to Succession Planning

Tab 2 - Critical Position Identification

Tab 3 - Commitment Confirmation

Tab 4 - Potential Candidate Identification

Tab 5 - Potential Candidate Competency Assessment

Tab 6 - Potential Candidate Development Plan

IPS Succession Planning Tab 1.1

 Succession Planning at the Institute for Public Service
Introduction

Succession Planning is the process of identifying internal candidates for leadership or other key
roles with an organization (WhatIs.com, 2017). It is a Talent Management strategy that has
evolved to focus on critical, hard-to-fill positions in an organization. Generally, there are two
types of succession planning:

• Role-based, which focuses on helping employees compete for the roles they seek in the
organization and matching those interests with key positions that are difficult to fill
and/or are critical to business success.
• Pool-based, which focuses on building a leadership pipeline by identifying employees
with the potential to move into any of several positions within the organization.

The University has opted to pursue the pool-based plan. This involves engaging campus and
institute workgroups in the adoption of the latest succession planning practices that
complement and enhance existing actions to prepare internal candidates without
compromising sound and ethical hiring practices. It is strongly encouraged to review the
inventory of critical positions annually.
The process involves several steps:

• Identify Key Positions for Succession Planning

• Confirm Commitment to Succession Planning
• Develop and Validate Position Competencies for Each Position
• Identify Potential Successors for Each Position
• Assess Readiness of Each Potential Successor for Each Position
• Create Development Plan for Each Potential Successor
• Review Development Plan Action Completion/Readiness Periodically
Once the succession planning packet is complete for a function area, please submit to IPS
Human Resources Manager.

“Every organization has future leaders in its midst; if you don’t know who
they are, then you are not challenging them to lead.”

-Keith Michaelson and Markus Spiegel

IPS Succession Planning Tab 1.2

 Succession Planning
Critical Position Identification Guidelines

While any position can be considered for succession planning, a strong emphasis and
prioritization is suggested for the most ‘critical’ positions, otherwise known as ‘key positions.’
As a manager/leader at the University of Tennessee endeavoring to prepare possible successors
for one or more positions at UT, it is important to assess each position in the department or
work unit area to determine which positions are most critical.

This does not mean some positions are unimportant or less valuable, rather some are more
difficult to find replacements for, or may have a more significant impact on the mission of the
organization when suddenly vacated or left vacant for the period of time needed to effectively
fill those positions. Critical positions for which succession planning is conducted may also be
those for which the current incumbent is, or soon will be eligible for retirement.

Step 1: Use the Position Assessment for Succession Planning (Tab 2.2) worksheet to assess
each position within the department or work unit (1 sheet per position). Please follow these
guidelines:

a) Place the title of the position and agency at the top of the Position Assessment for
Succession Planning (Tab 2.2) worksheet.

b) The immediate supervisor/manager of the position should assess the position using the
worksheet, by indicating his/her level of agreement with each of the twelve items, keeping the
position job duties in mind.

c) Each response toward agreement should use the 6-point Likert scale: 0=Strongly Disagree,
1=Disagree, 2=Somewhat Disagree, 3=Somewhat Agree, 4=Agree, or 5=Strongly Agree.

d) Total all the agreement scores to reach a final criticality score. Record it in the blank beside
Criticality Score and circle the corresponding score range in that same row of the worksheet.

e) For most organizations, a Criticality Score above 45 would suggest a need for succession
planning prioritization.

IPS Succession Planning Tab 2.1A

Next, the Position Identifications List for Succession Planning (Tab 2.3) worksheet is used to
identify positions that should receive the highest priority in the succession planning strategy.

It is important to exercise care in developing a plan for selecting high-potential employees for
the candidate pool. The candidate pool is a list of high performing, high potential individuals
targeted for development for key/critical positions. There is no guarantee (commitment) to any
of the candidates that s/he will be the next person appointed/selected for that position, as a
consistent search process is necessary to maintain ongoing ethical hiring practices. The
following should be considered when identifying high-potential employees:

• IPS will be expending significant resources on the enhanced development of those in the
candidate pool.
• It is equally important to develop a process that ensures that every employee with
leadership potential is fairly and thoroughly considered for participation.
• The selection process should conform to the merit system standards of fair and open
competition or other policies for succession.
• IPS will want to ensure that the selection process results in a diverse group of
employees to include in the acceleration pool.
• If an employee is currently engaged in a Performance Improvement Plan or Needs
Improvement performance rating and desires to engage in the succession planning
process, a conversation should take place between the employee and supervisor about
the request. The employee must show a track record of improvement in their current
role before engaging in the succession planning process.

Step 2: Use the Position Identifications List for Succession Planning (Tab 2.3) worksheet to list
the agency and all positions assessed, along with Incumbent Name, Retirement/Vacancy Status,
Criticality Score, Number of Staff Who Most Likely Possesses KSAs of position assessed, and the
Priority Ranking. Decide on a priority (high, medium, low) for each position by assessing the
information listed. For example, a Retirement/Vacancy Status within a shorter time frame
coupled with a higher criticality score and few staff who currently possesses KSAs for the
position may suggest a higher prioritization.

IPS Succession Planning Tab 2.1B

Position Assessment for Succession Planning: IPS Agency:

Please indicate the extent to which you agree with the following statements using the Strongly Disagree Somewhat Somewhat Agree Strongly
Disagree Disagree Agree Agree
0-5 scale where 5 means that you Strongly Agree.
1. If this position were left vacant, it would cause serious difficulties in delivering on 0 1 2 3 4 5
organizational commitments and priorities.
2. If this position were left vacant, it would cause serious difficulties in achieving 0 1 2 3 4 5
operational and strategic goals at the senior level.
3. If this position were left vacant, it would cause serious difficulties in meeting 0 1 2 3 4 5
legislative or regulatory requirements.
4. If this position were left vacant, it would jeopardize the standing or status of grant- 0 1 2 3 4 5
funded programs.
5. The skills and competencies required to perform this position are highly sought after 0 1 2 3 4 5
in the labor market.
6. This position tends to have a high turnover rate. 0 1 2 3 4 5
7. This position would be difficult to fill because it requires specialized expertise and 0 1 2 3 4 5
experience that is not readily available internally.
8. This position would be difficult to fill because it requires specialized expertise and 0 1 2 3 4 5
experience that is not readily available in the labor market.
9. This position would be difficult to fill because of its location. 0 1 2 3 4 5
10. This position would be difficult to fill because of language requirements. 0 1 2 3 4 5
11. This position requires a high degree of specialized knowledge transfer to ensure 0 1 2 3 4 5
continuity in the performance of the function.
12. There is no IPS-wide pool for this position with candidates who could be ready to 0 1 2 3 4 5
step up if it becomes vacant.
13. There is no University-wide pool for this position with candidates who could be ready 0 1 2 3 4 5
to step up if it becomes vacant.
Criticality Score: ________ 0-10 11-20 21-30 31-40 41-50 51-65

IPS Succession Planning Tab 2.2

Position Identifications List for Succession Planning IPS Agency:

Position Title: Incumbent Name: Retirement/Vacancy Criticality Number of Staff Priority

Status: Score: Who Most Likely Ranking:
Possesses KSAs:

Retirement/Vacancy Status:
A: Retirement/vacancy likely within 1 year
B: Retirement/vacancy likely within 3 years
C: Retirement eligible/vacancy likely within 5 years
IPS Succession Planning Tab 2.3
 Succession Planning
Commitment Confirmation Checklist Guidelines
As a supervisor/manager at the Institute for Public Service (IPS) endeavoring to prepare possible
successors for one or more positions at IPS, it is important to first understand where you have the
necessary support to help ensure your planning efforts will be successful. Succession planning should be
viewed as an investment in the future of the university by the various stakeholders of the position(s) for
which you seek to prepare potential successors. There must be a commitment to effectively maintain
the professional development plan(s) for potential successors for at least 1-2 years.

Use the IPS Commitment Confirmation Checklist (Tab 3.2) to help determine the readiness of the
leader/group to begin succession planning.

a) Place the date, agency, and function area at the top of the checklist.

b) The responsible supervisor/manager of the position should complete the checklist and obtain the
required signatures.

If you answered “No’ to any of the questions on the IPS Commitment Confirmation Checklist, please see
the recommendations below:

1) Is the approving authority/agency leader aware and supportive of this succession planning effort?
Recommendation: Consult with the appropriate approving authority/agency leader about the
succession planning effort. Work together to garner support and buy-in for a positive succession
planning outcome.

2) Are the time and monetary resources available AND targeted for use in the professional development
of at least 1-2 potential successors who may be identified through this process?
Recommendation: Consult with the appropriate approving authority/agency leader about the
succession planning effort. Discuss options for funding professional development opportunities for
critical positions within the agency.

3) Has the Position Description been reviewed and/or updated to include all knowledge, skills, abilities,
and other characteristics of the position?
Recommendation: A Position Description should be reviewed and/or updated for the identified
position. The PD is available through the IPS Human Resources Manager. It is important to validate all
the content while reviewing and updating the document to ensure accuracy and consistency.

4) Are potential successors interested in and supportive of the succession planning process?
Recommendation: Please refer to Tab 4.1 – Potential Candidates Identification Guidelines of this
succession planning process which may help you identify any potential successors for the critical
position you have identified. In addition, find opportunities (e.g. annual performance review process) to
engage direct reports in conversations to determine interest and support.

IPS Succession Planning Tab 3.1

 Succession Planning Commitment Confirmation Checklist

Date: ___________________________________________________________________

IPS Agency/Function Area: _____________________________________________

(The agency and function area for which succession planning is being conducted)

Please consider the following to assess current commitment for the current succession planning
effort:
YES NO
1) Is the approving authority/agency leader aware and supportive of this
succession planning effort? C C

2) Are the time and monetary resources available AND targeted

for use in the professional development of at least 1-2 potential C C
successors who may be identified through this process?

3) Has the position description been reviewed and/or updated to include C C

all knowledge, skills, abilities, and other characteristics of the position?

4) Are potential successors interested in and supportive of the

C C
succession planning process?

Signatures:

Responsible Supervisor/Manager:
(Who is the supervisor/manager responsible for initiating and maintaining this succession plan?)

______________________________________________________________________________
(print) (signature)

Responsible Approving Authority/Agency Leader:

(Who is the agency director/executive director/vice-president approving and supporting this succession plan?)

______________________________________________________________________________
(print) (signature)

Please submit this form to IPS Human Resources Manager after completed.

IPS Succession Planning Tab 3.2

 Succession Planning
Potential Candidates Identification Guidelines

It is important to remember that assessment of a potential candidate is based on the future

potential of the employee, rather than their current capacity.

Approach: The approach to identifying potential candidates for the development pool shall be:
• Identification/nomination by the position’s supervisor
• Nominations by senior leaders in the same or surrounding organizations
• Nominations by the incumbent
• Self-nomination by interested employees
• Peer nominations

Criteria: The size, organizational structure, merit system regulations and culture will, in part,
determine the nomination criteria used. Requirements to consider include:
• Educational level/degrees
• Current or prior supervisory/management experience
• Proficiency demonstrated for related competencies/qualifications of the position

Step 1: Use the Succession Pool Potential Candidate Profile (Tab 4.2) form to collect
information from each nominated individual. Ask potential candidates to complete the
Succession Pool - Potential Candidate Profile as well. Information on the Succession Pool
Potential Candidate Profile form will provide a more complete picture of the persons’
background and capacity, as well as their interest.

Step 2: Selection: Establish a screening process for the candidates to the succession pool in
order to decide whom to select for development. The three-step screening process outlined
below should be used to aid in the decision.

• Initial screening: Review and compare the Succession Pool Potential Candidate Profiles
for each candidate. It may be helpful to scribe a summary of the information collected.
• Interview the potential candidates to better understand their goals and interest in
advancement and development.
• Decide on the individual(s) that are qualified, as a potential successor now, or the
individual you want to develop as a potential successor.

Step 3: Communicate Selection: Once potential candidates are selected for development,
contact each one to convey the selection and set up a time to convene for initial development
planning. Be certain to contract those candidates who were not selected to participate in
development planning with rationale. Provide a summary of the selection to the IPS Human
Resources Manager.

IPS Succession Planning Tab 4.1

 Succession Pool
Potential Candidate Profile
Position:__________________________________________________________

Employee Information

Name:

Title:

Job Classification:

Length of Service:

Time in Current Job:

Current Supervisor:

Career Goals
1 to 3 Years:
3 to 5 Years:
Beyond 5 Years:

Educational History
Institution: Degree: Area of Study: Years:
Institution: Degree: Area of Study: Years:
Institution: Degree: Area of Study: Years:

Special Skills/Expertise
Languages:
Technology:
Professional Expertise:
Other:

Developmental Experiences - Past 3 Years

Formal Training: Competencies/Skills Developed:

Special Assignments: Competencies/Skills Developed:

Graduate of IPS Leadership Academy? Yes? No? If yes, completed when?

Other: Competencies/Skills Developed:

There is an online option to upload resume.

IPS Succession Planning Tab 4.2

 Succession Planning
Potential Candidate Competency Assessment Guidelines

At this point, potential candidate(s) have been identified and selected to participate in the
development phase. To assist with the development planning phase, it is important to assess
the perceived readiness level of the potential candidate relative to the position competencies
documented on the Position Description. Clarity on proficiency levels will enable prioritization
on development actions/activities.

Step 1: The Potential Candidate Competency Assessment (Tab 5.2) is used to assess perceived
proficiencies. The initiating leader is responsible for completing all assessments based on
feedback/conversations with selected sources (see below). Place the position title at the top of
the template form and transpose the Competencies/Qualifications (Knowledge, Skills, and
Abilities) from the Position Description for the position. While it is not critical to include all the
competencies for the position, including the most significant or important ones are most
helpful to the development process.

Assessment/Sources for Competency Assessment: Completing the Potential Candidate

Competency Assessment (Tab 5.2) entails making an estimated evaluation of proficiency level
of each competency/qualification. It is not an exact science, only an estimation of one’s
competency to perform the related duties, and only used to assist in the development of the
individual to improve selected agreed upon proficiencies.

The approach to using the assessment should be one of caution, only to collect perception
information on behalf of the potential candidate. As part of a mutual planning process for
development, completion of the assessment will include the following sources:

• The leader initiating the development for the position (required)

• The potential candidate for the position (required)
• Current supervisor of the potential candidate (required, if different from leader)

Other sources that may be feasible and beneficial are listed below. The IPS HR Manager or the
initiating leader can meet with the potential candidate and decide on possible respondents to
the one-page assessment. Once the respondents have been identified, a request should be sent
to each asking them to provide their perceptions by a decided date.

• Work peers of the potential candidate (peer must have access to position description)
• Other organizational leaders familiar with the potential candidate’s competencies
• Internal 360-degree feedback tool

IPS Succession Planning Tab 5.1A

Step 2: Results: Completed assessments should be compiled and summarized onto the Position
Development Planning - Potential Candidate Pool Summary (Tab 5.3) form to help determine
possible areas for more focused development, if applicable. The sole purpose of the results are
for mutual planning of development to enhance one or more competency proficiencies for the
potential candidate. All anonymous compiled results should be shared with the potential
candidate and initiating leader.

IPS Succession Planning Tab 5.1B

 Potential Candidate Competency Assessment

POSITION TITLE:

Potential Candidate (Name): Work Location:

# of Current Direct Reports: Current Budget Responsibilities ($$)

Currently Reports to: Years of Related Work Experience:

Background: (Please state in 2-3 sentences how the potential candidate’s experience demonstrates a strong readiness level for this
position)

Competencies/Qualifications Assessment: (Please assess the potential candidate’s proficiency in each competency for this
position)
Knowledge, Skills, and Abilities (Required): (From Position Description for this position) Current Proficiency
(1=low, 10=high)

Knowledge, Skills, and Abilities (Preferred): (From Position Description for this position) Current Proficiency
(1=low, 10=high)

Required Education, Experience, and Training

Education Met? Not Met?

Special Training Met? Not Met?

Certification / Met? Not Met?

Designation

Date Completed: Completed by:

Date Completed: Completed by:

IPS Succession Planning Tab 5.2

 Position Development Planning
Potential Candidate Pool Summary

Position Title:_______________________________________________________________

Potential Potential Potential

Candidate A Candidate B Candidate C
(Name) (Name) (Name)

Competencies:
(from Position Description)

Competencies/
Qualifications

Knowledge,
Skills, and
Abilities
(Required)

Competencies/
Qualifications

Knowledge,
Skills, and
Abilities
(Preferred)

S = Strength
P = Proficiency
D = Developmental Need

IPS Succession Planning Tab 5.3

 Succession Planning
Potential Candidate Competency Development Plan Guidelines

The Potential Candidate Competency Development Plan (Tab 6.2) is used to plan development
activities for the highest priority positions in the succession planning strategy. Each potential
candidate selected for development should have a development plan created and maintained
for the agreed upon period. For some organizations, this may be for one year, some for two,
and others for three years or more based on the critical need and difficulty in filling a specific
position. The development period may also change due to one or more of the following:
• Organizational need changes – i.e.: reorganization, etc.
• Potential candidate interest or availability changes
• Competency proficiencies are reached
• Budgetary constraints are incurred which limit the development investment

Step 1: Complete the Potential Candidate Competency Development Plan (Tab 6.2) for the
candidate. The position title is placed at the top of the document, and should be consistent
with the title used on the Position Description. The potential candidate’s name, work location,
reports to, and years of related work experience should be added to the form. Any agreements
between the initiating leader and the potential candidate, including time commitment,
development cost coverage, development period and who will be involved in the development
should be included.

Based on the Competency Assessment compiled results, a determination should be made as to

one or more competencies to work on. Each competency agreed upon for development should
be transposed from the Position Description to the Competency Development Plan. One or
more actions/activities for development should be decided and documented beside the
associated competency. A completed by month and year for each development action should
also be discussed and documented. In addition, any actions related to required education,
experience, and training should be documented as well.

Step 2: Review: Development of potential candidates for key/critical positions should be a

matter of priority. When discussing the development plan, development activities should tie
into the development planning part of the regular performance review. It is important to plan
and conduct regular meetings with the potential candidate for mentoring purposes and to
ensure the development investment is achieving the desired results. It is also important to
incorporate an annual assessment and update as part of the annual performance review
process, with documentation that is shared with the IPS Human Resources Manager. The IPS
Human Resources Manager will use a summary worksheet to keep track of each position for
which there are existing or potential successors. This will provide an institutional perspective.

IPS Succession Planning Tab 6.1

 Potential Candidate Competency Development Plan

POSITION TITLE:

Potential Candidate (Name): Work Location:

Currently Reports to: Years of Related Work

Experience:
Development Agreements: (Establish agreements on time commitment, development period, source of payment for associated costs, parties involved, etc.)

Competency Development:(Select 1-3 competencies for proficiency enhancement; Decide on one or more development actions toward higher proficiency of each)
Competencies/Qualifications: Knowledge, Skills, and Abilities Development Action/Activity: Complete by:
(Required) (List course, project assignment, mentoring sessions, etc.) (Month/Year)
(From Position Description for this position)

Competencies/Qualifications: Knowledge, Skills, and Abilities Development Action/Activity: Complete by:

(Preferred) (List course, project assignment, mentoring sessions, etc.) (Month/Year)
(From Position Description for this position)

Required Education, Experience, and Training Development Action/Activity: Complete by:

(Required) (Month/Year)
(From Position Description for this position)

IPS Succession Planning Tab 6.2

 Acknowledgement/Agreement: (Acknowledge and agreement depicted by leader initiating the planning, the potential candidate for the future position, and IPS HR Manager)
Initiated by: Date: Signature:
Potential Candidate: Date: Signature:
IPS HR Manager: Date: Signature:

IPS Succession Planning Tab 6.2