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EFFECTIVE SUCCESSION PLANNING THIRD EDITION Ensuring Leadership Continuity and Building Talent from Within William J. Rothwell American Management Association New York • Atlanta • Brussels • Chicago • Mexico City • San Francisco Shanghai • Tokyo • Toronto • Washington, D.C.
Special discounts on bulk quantities of AMACOM books are available to corporations, professional associations, and other organizations. For details, contact Special Sales Department, AMACOM, a division of American Management Association, 1601 Broadway, New York, NY 10019. Tel.: 212-903-8316. Fax: 212-903-8083. Web site: www.amacombooks.org This publication is designed to provide accurate and authoritative information in regard to the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. Library of Congress Cataloging-in-Publication Data Rothwell, William J. Effective succession planning : ensuring leadership continuity and building talent from within / William J. Rothwell.— 3rd ed. p. cm. Includes bibliographical references and index. ISBN 0-8144-0842-7 1. Leadership. 2. Executive succession—United States. 3. Executive ability. 4. Organizational effectiveness. I. Title. HD57.7.R689 2005 658.4092—dc22 2004024908 2005 William J. Rothwell. All rights reserved. Printed in the United States of America. This publication may not be reproduced, stored in a retrieval system, or transmitted in whole or in part, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of AMACOM, a division of American Management Association, 1601 Broadway, New York, NY 10019. Printing number 10 9 8 7 6 5 4 3 2 1
Page 2 and 3: EFFECTIVE SUCCESSION PLANNING THIRD
Page 6 and 7: TO MY WIFE MARCELINA, MY DAUGHTER C
Page 8 and 9: CONTENTS List of Exhibits Preface t
Page 10 and 11: Contents ix Linking Succession Plan
Page 12 and 13: Contents xi Where to Apply Technolo
Page 14 and 15: LIST OF EXHIBITS Exhibit P-1. Age D
Page 16 and 17: List of Exhibits xv Exhibit 8-2. A
Page 18 and 19: PREFACE TO THE THIRD EDITION A coll
Page 20 and 21: Preface to the Third Edition xix co
Page 22 and 23: Preface to the Third Edition xxi Ex
Page 24 and 25: Preface to the Third Edition xxiii
Page 26 and 27: Preface to the Third Edition xxv Th
Page 28 and 29: Preface to the Third Edition xxvii
Page 30 and 31: Preface to the Third Edition xxix
Page 32 and 33: ACKNOWLEDGMENTS Writing a book rese
Page 34 and 35: ADVANCE ORGANIZER FOR THIS BOOK Com
Page 36 and 37: Advance Organizer for This Book 3 Y
Page 38 and 39: PART I BACKGROUND INFORMATION ABOUT
Page 40 and 41: C H A P T E R 1 WHAT IS SUCCESSION
Page 42 and 43: What Is Succession Planning and Man
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What Is Succession Planning and Man
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C H A P T E R 2 TRENDS INFLUENCING
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Trends Influencing Succession Plann
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Moving to a State-of-the-Art Approa
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F G Established a written policy st
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S T U V W X Y Z Established a means
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Competency Identification and Value
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PART II LAYING THE FOUNDATION FOR A
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C H A P T E R 5 MAKING THE CASE FOR
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Making the Case for Major Change 97
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C H A P T E R 6 STARTING A SYSTEMAT
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Starting a Systematic Program 127 r
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Starting a Systematic Program 129 E
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Starting a Systematic Program 131 W
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Starting a Systematic Program 135 1
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Starting a Systematic Program 143 i
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Starting a Systematic Program 145 c
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Starting a Systematic Program 149 c
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Starting a Systematic Program 155 S
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Refining the Program 157 ▲ Where
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Refining the Program 159 bad, good
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Refining the Program 161 (The coord
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Refining the Program 163 3. When sh
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Refining the Program 165 ▲ How sh
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Refining the Program 167 Outline—
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Refining the Program 169 IV. Review
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Refining the Program 171 ▲ Ask an
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Refining the Program 173 3. Keep th
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Refining the Program 175 competenci
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PART III ASSESSING THE PRESENT AND
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C H A P T E R 8 ASSESSING PRESENT W
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Assessing Present Work Requirements
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C H A P T E R 9 ASSESSING FUTURE WO
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Assessing Future Work Requirements
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PART IV CLOSING THE ‘‘DEVELOPME
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C H A P T E R 1 0 DEVELOPING INTERN
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Developing Internal Successors 229
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Exhibit 10-8. Methods of Grooming I
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C H A P T E R 1 1 ASSESSING ALTERNA
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Assessing Alternatives to Internal
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273 C LOSING THE ‘‘DEVELOPMENTA
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5. Able to provide the kind of repo
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Using Technology to Support Success
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Exhibit 12-4. A Worksheet for Brain
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Evaluating Succession Planning and
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Exhibit 13-2. Guidelines for Evalua
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The Future of Succession Planning a
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3 Have a global impact. □ □ 4 B
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Exhibit 14-2. A Worksheet to Struct
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13 Trading needed talent, temporari
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A P P E N D I X I FREQUENTLY ASKED
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Frequently Asked Questions (FAQs) A
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Frequently Asked Questions (FAQs) A
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A P P E N D I X I I CASE STUDIES ON
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Case Studies on Succession Planning
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NOTES Preface 1. Warren Bennis and
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Notes 369 18. Norman H. Carter, ‘
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Notes 371 12. Peter Cappelli, ‘
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Notes 373 Chapter 3 1. This paragra
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Notes 375 Competency Identification
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Notes 377 3. ‘‘Choosing Your Su
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Notes 379 ship Perspective,’’ H
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Notes 381 Management of Human Resou
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Notes 383 Mentoring Process,’’
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Notes 385 Personnel Today, June 15,
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WHAT’S ON THE CD? Selected Worksh
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What’s on the CD? 389 Also: ▲ E
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INDEX ABCD model, 118-121 accomplis
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Index 393 elderly people, 318 e-lea
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Index 395 job description, 184, 283
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Index 397 Rhodes, Frank, 12, 13 rif
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ABOUT THE AUTHOR William J. Rothwel
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