18Public Management șJanuaryFebruary 2005Agreat many members of ICMA grew up playing music on vinyl, wearing bell- [628287]

18Public Management șJanuary/February 2005Agreat many members of ICMA grew up playing music on vinyl, wearing bell-
bottom jeans, and thinking car phones were a sign of affluence. They are, ofcourse, the members of the baby boomer generation, which covers persons bornbetween the years 1945 and 1964. Trends, fads, and styles all come and go, butone thing is certain: the upcoming “brain drain” of a large number of retiring em-
ployees in upper and middle management positions, mostly baby boomers, will be chilling.
About 80 percent of senior and middle managers in the federal government are eligible for
retirement now. The percentage of those eligible for retirement in state and local governmentsis unknown, but it is expected to be alarmingly high. In fact, 46.3 percent of government work-ers are aged 45 or older. Compared with the private sector, where just 31.2 percent are 45 yearsold and older, this fact indicates that the government sector is at the forefront of this trend.
There are those presenters and authors who believe that the talent wars of the late 1990s, be-
fore the dot-bombed, are over and done with. Not so fast! By the year 2010, the United Stateswill have 10 million more jobs than skilled workers to fill them. Along with the “brain drain,”this projection demonstrates the urgency with which local governments must begin to system-atically replace talent, as a way of sustaining the performance of their organizations.
The most popular and effective approach is succession planning, which contributes to an or-
ganization’s continued survival and success by ensuring that replacements have been preparedto fill key vacancies on short notice, that individuals have been groomed to assume greater by Patrick IbarraSUCCESSION
PLANNING:
An Idea Whose
Time Has Come

19Public Management șJanuary/February 2005responsibility , and that they have been
prepared to increase their proficiencyin their work.
Some observers bandy about the
notion that the systematic, mass exo-dus of seasoned professionals willsimply be a minor blip on the radarscreen. They speculate that many ofthose employees who will retire willreturn as contract employees and thatno disruption in service will be no-ticed. A risky assumption, and a clearmessage to your still-working em-ployees that promotional opportuni-ties will be limited.
Identifying and developing the best
people for key leadership roles is basicto future organizational success. Toensure that success is indeed contin-ued, organizational leaders:
●Need the excellent performance intheir organizations preserved, ifnot enhanced.
●Need important leadership posi-tions identified.
●Want to strengthen individual ad-vancement.
●Want to have the right leaders pre-pared for the right positions at theneeded time.
Today , succession planning re-
quires more than just an organizationchart that shows who holds what jobwithin the local government. Bestpractice organizations use successionplanning to develop and maintainstrong leadership and to ensure thatthey address all the competencies re-quired for today’s and tomorrow’swork environment.
Best practice examples include
Henrico County , Virginia; Anaheim,California; and Phoenix, Arizona, thelatter two having implemented an ex-tensive strategy to develop the nextgeneration of leaders and home-grown talent. In practice, these casesexemplify the principle that effectiveplanning engages managers at all lev-els of the organization and is not justanother HR-driven initiative.
YOUR ORGANIZATION
Effective organizations do not pas-sively wait for the future; they createit by investing their time, thoughts,
and planning to ensure the continuityof their talent, both their leaders andtheir front-line employees. An excel-lent first step toward the adoption of asuccession planning process, and amethod that will truly reveal yourown organization’s situation with re-spect to the aging of the workforce, isto collect data.
Use Figure 1 as an indicated work-
sheet on which to enter the number ofemployees in each of the categorieslisted. You may want to consideradding another column for the agegroup of 45–49, especially for policeand fire personnel, since many ofthese employees may be eligible forretirement at 50 years of age.
Gathering and analyzing these
types of data (a process often referredto as workforce analytics) will permityour jurisdiction to grasp the currentsituation and begin to recognize itssignificance. You may want to takethe analysis one step further to amore “micro” level, by job classifica-tion, for example. These types ofsolid data can be used to convinceothers, like senior executives andpolicymakers, not only of the gravityof the situation but also, more impor-tant, of the fact that resources mustbe provided to address it.
Unfortunately , planning for succes-
sion is often overlooked or occurswhen it is too late, after key people
have left the organization and no in-ternal candidates remain to fill theleadership positions. If your organiza-tion executes succession planningcorrectly , it will have fully preparedfront-line and management staff tostep into positions left vacant becauseof retirement and general attrition.
It is imperative to recognize that
the process of establishing systematicsuccession planning is the equivalentof making a long-term culture change.It can be a major shift in an organiza-tion whose decisionmakers have beenaccustomed to filling one vacancy at atime. Succession planning requires acommitment to a longer-term, strate-gic view of talent needs, and it fea-tures these benefits:
●Having identified leadership“bench strength” in place. This willhelp the jurisdiction meet bothlong-term and emergency leader-ship needs at all levels.
●Ensuring continuity of management.
●Growing your own leaders. Thispractice sends a positive messagethroughout your workforce. Pro-moting people from within is goodfor morale and essential to a posi-tive organizational culture. Peoplewill want to join and stay withyour organization because it devel-ops its own people. And promoting
www.icma.org/pmwww.icma.org/pmT otal
Number of Age Age Age T otal
Department Employees 50–54 55–59 60+ 50–60+
Administration
Clerk
Community Services
Finance
Fire
Human Resources
Human Services
Police
Public Utilities
Public Works
Department
Other
T otalsFigure 1. Attrition Data and Retirement
Projections:A Worksheet

20Public Management șJanuary/February 2005from within is consistent with an
empowerment philosophy that en-courages people to take on respon-sibility , assume risks, measure out-comes, and grow through theirachievements.
●Clarifying a sense of each internalcandidate’s strengths and opportu-nities for improvement, as well asoffering access to more and betterdata on that person’s performancethan you would have with outsidecandidates. In this way , you will beable to make more informed andaccurate selection decisions.
●Helping to align human resourceswith the strategic directions of theorganization.
HOW TO IMPLEMENT
SUCCESSION PLANNINGThe primary task of succession plan-ning is to outline a sequence of per-sonnel moves so that candidates forkey positions are known in advance ofactual need. Several factors are pres-ent in many city and county organiza-tions that are barriers to effective suc-cession planning, including:
●The assumption that your employ-ees’ retirement options are a don’t-ask, don’t-tell issue.
●The perception that predetermin-ing the best candidate for a posi-tion resembles favoritism.
●The principle of seniority as theprimary factor in promotions inboth union and nonunion environ-ments . An agency that uses time in
grade (i.e., seniority) as its funda-mental criterion for getting aheadis encouraging organizationalhardening of the arteries.
Realizing that these factors might
be embedded in your particular or-ganization, you should assess eachand establish a consensus in favor ofminimizing its influence. One op-tion to consider is revising policiesor negotiating new terms in collec-tive bargaining agreements for allnewly hired employees after a partic-ular date. While not generatingshort-term results, this approachwill bring structural, long-term ben-efits that unbind the hands of future
leaders.
A comprehensive strategy for insti-
tuting succession planning involves aseries of strategies and tactics that, to-gether, make up an overall projectplan. After completing the attritiondata and retirement projection analysisintended to reveal your level of needfor succession planning (as shown inFigure 1), your organization would dowell to execute eight steps as part ofthis project plan (see Figure 2).
Involved in each of the eight steps
are several sequential actions. Choos-ing only those actions that are the eas-iest to implement or most politicallyexpedient, so-called cherrypicking, isdiscouraged, as it can lead to a frag-mented process and less-than-opti-mum results.
Briefly described, here are the eight
steps:
1. Assess future service needs. A
strategic plan identifies current andfuture priorities that are the essenceof building a succession plan. Fre-quently , organizations concentratetheir short- and long-term planningprocesses on capital improvements,and occasionally on operations,without fully integrating the im-pacts on the development needs ofthe employees responsible for de-
livering the services. A strategicplan, when adopted, is powerful, asit outlines how the organizationwill reach the measurable goals andobjectives that support its missionand vision, both of which should bedriving forces in the more tradi-tional capital-improvements plan-ning process.
2. Identify critical positions and
high-potential employees. Criti-
cal positions are those that are es-sential for the organization, depart-ment, division, work unit, or teamto achieve the necessary work re-sults. A high-potential employee issomeone who has the capability toadvance to one of the following: 1)a critical position; 2) a higher levelof responsibility; or 3) a higherlevel of technical proficiency . Thisidentification step should be com-pleted at the department level bysenior management and by the ex-ecutive management team for theentire organization.
3. Identify competencies. A sub-
ject that generates its own quota ofconcern and frustration is that ofjob descriptions and the continuedeffort to revise them so they reflect
Figure 2. Succession Planning: A Project Plan

22Public Management șJanuary/February 2005today’s workplace. As an alterna-
tive, a jurisdiction could slowlyphase out job descriptions withtheir often-narrow sets of dutiesand tasks that in the wrong handsbecome shields, and instead movetoward the use of competenciesthat cut across job classifications,departments, and even organiza-tional boundaries. Examples ofcompetencies include coaching,decisionmaking, initiating action,managing conflict, and tenacity .Competencies should be inte-grated into the organization’s per-formance management system,into training and development,and into the compensation system.The point of identifying compe-tencies as part of succession plan-ning is to choose those abilitiesthat are necessary for today’s andtomorrow’s workplace.
4. Do a complete gap analysis.
Conduct a gap analysis to deter-mine the existence or extent of agap in the competencies for eachposition.
5. Select training and develop-
ment activities. A variety of re-
sources is available for individualsand groups to close the gaps andbuild stronger competencies in em-
ployees (see Figure 3).
While training can be an effec-
tive solution, there tends to be anoverreliance on it in many organi-zations, a belief that it’s the un-equivocal “silver bullet.” Manyareas in which employees need toimprove their capabilities cannotbe solved by a training workshopbut can instead be enhancedthrough such means as on-the-jobcoaching, rotation of assignments,and task force assignments, toname a few. This step of the succes-sion planning process provides forthe selection and design of thesedevelopment strategies.
Frank Benest, city manager of
Palo Alto, California, along withthe California League of Cities andICMA, has undertaken an aggres-sive approach to developing thenext round of local governmentprofessionals. Frank served as edi-tor for the development of ICMA ’sPreparing the Next Generation re-
source guide, which discusses sev-eral effective strategies designed atbuilding capabilities.
Beyond the employee develop-
ment and training options avail-able, a range of solutions should beconsidered during this stage of thesuccession plan, including recruit-
ment and selection, retention, andorganizational interventions likeprocess improvement, structure/possible reorganization, and meas-urement systems.
6. Conduct management training.
Managers should participate intraining focused on augmenting theskills and expanding the knowl-edge necessary to develop the talentof their direct reports. They shouldfully engage in the agency’s succes-sion plan. As a contributor to suc-cession planning, each managermust work in concert with othersin the organization to do the fol-lowing: identify key replacementneeds and the high-potential peo-ple and critical positions to includein the succession plan; clarify pres-ent and future work activities andwork results; compare present indi-vidual performance and future indi-vidual potential; and establish indi-vidual development plans (IDPs) toprepare replacements and develophigh-potential employees.
7. Implement development strat-
egies and tactics. Managers ought
to determine when strategiesshould be implemented, but beforethey begin implementation, theyshould communicate the plan to allemployees. Use the intranet, pay-roll stuffers, large group/town hallmeetings, and labor/managementcommittees as means to communi-cate the varied aspects of the suc-cession plan and its accompanyingbenefits. Be sure to obtain feedbackfrom employees to determine howwell the communication plan isworking.
8. Monitor and evaluate. Once
local government managers haveimplemented their successionplans, they should monitorprogress, evaluate the implementa-tion, and revise their plans asneeded. Review progress at prede-termined times and include com-ponents like the program scheduleand interim results.
Figure 3. Employee Development Strategies

23Public Management șJanuary/February 2005A CASE STUDY
Recently , a local government that was
experiencing unprecedented growthalso recognized the pending “braindrain” that would place the organiza-tion at a critical juncture. Its need forseasoned professional staff membershad never been greater yet the trendshowed that these organizationalmembers were the ones most likely tobe leaving in the near future. The lo-cality’s past efforts at succession plan-ning had been inconsistent, and it wasinterested in adopting a prescribed
methodology .
No one involved presumed that
the need for succession planningwas realized equally by each mem-ber of the senior management team.Therefore, it was decided that twooff-site meetings of the senior man-agers would be the forum at whichto introduce the concept of succes-sion planning and to adopt its implementation.
To address possible reservations by
key decisionmakers about the per-ceived need for this kind of planning,
a segment of the first off-site meetingcontained exercises to reveal data onpertinent trends, to draw out the dif-ferent perspectives held by managers,and to discuss them constructivelyand candidly . Some of these exerciseswere:
●“What-if” scenario planning, withministudies designed to illustratethe need for succession planningwithin each department.
●A brief questionnaire about succes-
www.icma.org/pmFigure 4. Essential Components of Succession Plans
What Is It?
An organization chart that depicts internal
successors for each critical position in the organization.
Similar to a job description, a critical-position
profile is a list typically written on a single page.
Similar to a resume, a high-potential profile is
usually written on a single page and lists impor-tant biographical information about the key jobincumbent and any individuals identified on re-placement charts as a possible successor.
Rates the individual’s performance on their pres-
ent job. (Advancement usually depends on anemployee’s performing at least competently ontheir present job.)
Rates the individual’s potential for advancement,
either to one critically important position or to higher levels of responsibility or technicalproficiency.
A plan to narrow the developmental gap be-
tween what the individual currently knows ordoes on their current job and what they need to know or do to advance to a future, criticallyimportant position or to a higher level of responsibility.Component
Replacement chart
Critical-position profile
High-potential profile
Employee performance
appraisal
Individual potential
assessment
Individual development
plans (IDPs)What Purpose Does It Serve?
Shows possible internal successors for each crit-
ical position, describes how ready they are toreplace the key job incumbent, and predicts howlong it will likely take to prepare each successorfor advancement.
Lists key responsibilities, duties, and activities for
each critical position in the organization.
Lists an individual’s education, work experience,
performance rating, career goals (when possi-ble), and other important work-related informa-tion that has a bearing on advancement potentialand/or present performance.
Assesses an individual’s present work
performance.
Assesses an individual’s potential for advance-
ment or for exercising increased technical profi-ciency in their current position.
Although individuals are sometimes promoted
on the strength of their performance on a previ-ous job, an IDP assumes that higher-level posi-tions demand special preparation.An IDP , thoughusually updated annually, is typically long-term(covering several years) and may include varioustraining and work assignment requirements tohelp an individual quality for a succession,achieve a higher level of responsibility, or exer-cise increased technical proficiency.

24Public Management șJanuary/February 2005sion planning efforts within the or-
ganization.
●Review and discussion of the bene-fits of systematic succession plan-ning and of the components neces-sary to implement it.
●Identification and discussion of theforces driving and barriers prevent-ing the undertaking of successionplanning.
●Decision making among groupmembers to choose which barriersto succession planning should beresolved.
The outcome of this first meeting
was a strong consensus about the ur-gent need to start succession plan-ning.
Building on the work of the first
meeting, the purpose of the secondmeeting was to draft a successionplanning program and to assemble anoversight task force to monitor its im-plementation. The work completed atthis second meeting resulted in:
●A draft succession planning pro-gram, including steps, milestones,and responsible parties.
●Securing of management commit-ment. Succession planning will be
effective only when it enjoys sup-port from its stakeholders, and ob-taining and building managementcommitment to such planning isessential before a systematic pro-gram can work.
●Assembly of an oversight task forcecomposed of a cross-section of em-ployees and positions. This body isresponsible for monitoring the im-plementation of the successionplan and ensuring that successionplanning maintains its proper visi-bility within the organization. Thetask force also demonstrates to thecity or county organization thatsuccession planning is not strictlyan initiative of the human re-sources department.
The outcome was a robust and
well-crafted succession plan, fullysupported by executives.
KEY POINTS TO REMEMBER
Several critical elements required foreffective succession planning in yourorganization are:
●A commitment by the city orcounty manager and senior man-
agers, and alignment with organi-zational strategy .
●Full use of the eight-step approach(as illustrated in Figure 2).
●Competency models that serve as ablueprint for high-performers nowand in future.
●A functioning performance man-agement system that measures in-dividuals against the competencymodels.
●Assessment methods that measurehow well prepared an individual isto assume additional, or special-ized, responsibility .
●An individual development plan-ning process that helps to narrow1) the present gap between currentcompetencies and current perform-ance, and 2) the future gap be-tween future competencies neededand potential.
●Employee development and train-ing strategies that are aligned withbuilding the competencies neces-sary to achieve organizational re-sults.
●A measurement method that as-sesses how well the overall succes-sion program is functioning overtime.
To determine the current state of
your organization’s succession plan-ning efforts, visit www.gettingbetter-allthetime.com, and download Succes-
sion Planning: Where Are We? —a free,
20-question self-assessment tool.
PM
SELECTED READINGSCenter for Organizational Research.2003. The Aging-and-Retiring Govern-
ment Workforce. Burlington, Massa-
chusettes. Linkage, Inc.
Hastings, Sandra. 2004. Succession
Planning: T ake T wo. Alexandria, Vir-
ginia. American Society for Trainingand Development.
Rothwell, William. 2001. Effective
Succession Planning. New York, N.Y.
American Management Association.
Patrick Ibarra (patrick@gettingbetterall
thetime.com) is cofounder and partner,Mejorando Group, Phoenix,Arizona. He is aformer city manager.Mobile Medical Unit
The town of Farmville,Virginia (7,000), set up a mobile medical tactical unit that
can respond to hazardous-materials spills and bioterrorist attacks, as well asmajor emergencies.The unit is staffed by trained emergency-management teamvolunteers who are on call 24 hours a day, as well as a volunteer physician.Whenhazardous materials are involved in an event, the team can begin overseeing offi-cer and civilian safety within minutes while the hazmat team mobilizes, which cantake up to two-and-a-half hours.
The unit has all the equipment needed to identify potantially hazardous materi-
als and to carry on decontamination procedures until the hazmat unit is ready totake over.The unit can also provide emergency medical attention, including minorsurgery.The vehicle for the mobile medical tactical unit is a donated ambulancewith $100,000 worth of equipment, some of it donated and some provided bythe town.
Source: Ideas in Action:A Guide to Local Government Innovation, copyright 2004,
published by ICMA,Washington, D.C.Ideas In ActionPM