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UNDERSTANDING SUCCESSION PLANNING AND MANAGEMENT EFFORTSAT MIDWESTERN UNIVERSITY:

A MIXED METHODS STUDY

Peter E. E. Mateso

A Dissertation

Submitted to the Graduate College of Bowling GreenState University in partial fulfillment of

the requirements of the degree of

DOCTOR OF EDUCATION

August 2010

Committee:

Judy A. Zimmerman, Advisor

Jennifer Gillespie,Graduate Faculty Representative

Paul Longenecker

Patrick D. Pauken

Rachel Vannatta Reinhart


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2010

Peter E. E. Mateso

All Rights Reserved


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ABSTRACT

Judy A. Zimmerman, Advisor

The purpose of this concurrent triangulation mixed methods study was to understand the

status of succession planning and management (SPM) efforts of the subject university as

perceived by the fulltime academic and fulltime administrative staff. Four research questions

guided this study: (1) how do fulltime academic staff and fulltime administrative staff generally

evaluate the status of the universitys SPM efforts? (2) How do fulltime academic staff and

fulltime administrative staff perceive eight SPM practices taking place at their respective

colleges and administrative units? (3) Do the perceived eight SPM practices differ by

occupational role, college, service years, and gender? (4) How do fulltime academic staff and

fulltime administrative staff evaluate some factors associated with SPM processes at the

university?

A survey was electronically administered to 1,530 participants, of whom 414 were

material respondents. Also, six participants were purposely selected and interviewed using a

semi-structured interview guide. Moreover, some policy documents of the studied university

were reviewed. Whereas quantitative methods were employed to analyze survey responses,

content analysis techniques were used to analyze qualitative data from interview transcripts,

open-ended survey responses, and documents reviewed.

Several findings emerge from this study. First, although the subject university seems to

informally implement a few SPM practices in certain administrative units and colleges, the status

of SPM efforts at the university is generally inadequate. Participants indicated the need for

improving SPM efforts through an urgent introduction of a systematic SPM program.


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Second, results suggest that the university does not adequately implement eight SPM

practices except for a few informal, individual-driven cases. Moreover, perception differences on

SPM practices were observed for some groups. For example, perception differences on some

practices were noted by groups representing occupational role, college, and service years.

Third, aside from findings related to three a priori factorsdiversity consideration on

SPM, impact of current economic recession, and impact of government policies and lawsstudy

results suggest several additional factors affecting SPM efforts at the studied university. These

factors include unsuitable organizational culture for SPM, organizational leadership challenges,

hindering hiring and promotion policies and practices, as well as budget and financial

limitations. Moreover, the subject university is likely to lose about 25% of its fulltime academic

and administrative members within the next five years.

Consequently, this study proposes general recommendations to policy makers,

practitioners, and researchers. For instance, researchers are encouraged to use this study as a

springboard to carry out follow-up inquiries at the Midwestern University, investigate SPM

efforts in other academic institutions, and conduct additional studies for refining and enriching

theoretical frameworks needed in the SPM field. Also, to address the prevailing SPM and

leadership challenges at the subject university, the study offers several specific

recommendations. The subject university, for example, is recommended to review its policy

framework in order to give SPM a high priority. Also, the university is urged to conduct further

research in order to determine a suitable SPM strategy. Moreover, the subject university needs to

cultivate the institutional culture that promotes effective succession planning and management

efforts.


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DEDICATION

This dissertation is dedicated to my two beautiful children, Anneliese and Billyosh. In

their own way, they played a part in encouraging me to pursue a doctoral degree. Regardless of

what might happen in your life journey, please continue to make efforts towards achieving the

best you can in your lives. Always strive to remain truthful, courageous, teachable, loving, and

God fearing. Hard work, faith, and patience often pay. Moreover, continue to remember that: It

is not good to have zeal without knowledge, nor to be hasty and miss the way (Proverbs 19: 2).


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ACKNOWLEDGMENTS

This work would have been impossible without the support from some people, who

assisted me in different ways such as through a word of encouragement, pieces of advice,

inspiration, technical support, sharing of insights and experiences, research skills, and reading

the drafts. To all of you, who in one way or another made this work a reality, I say thank you

very much. All your contributions will remain precious to me. Nonetheless, there are a few

people, who deserve to be mentioned here.

First of all, I feel deeply indebted to the members of my dissertation committee for their

profound support. My sincere gratitude should go to: The chair of the committee and my closest

advisor, Dr. Judy Zimmerman for her tireless effort in guiding and encouraging me in the whole

process; Dr. Rachel Vannatta Reinhart for her availability and support whenever requested; Dr.

Patrick Pauken for his gracious assistance in both dissertation and graduate program issues; Dr.

Jennifer Gillespie for her insightful comments; and Dr. Paul Longenecker for his generous help

throughout the dissertation work. I do not have enough words to thank them.

Also, I am grateful to many other individuals, who helped me in different stages of this

work. These include: Dr. William Knight, Dr. Hans Schmalzried, Dr. William Ingle, Jie Wu, and

Daniel Schellhas, to mention a few. Without their contribution, this work would have been

incredibly difficult to accomplish.

Moreover, my heartfelt thanks to all my cohort members, friends, and family members,

who constantly supported me in words and deeds, who remembered me in prayers and thoughts,

who provided ideas and critiques, and who kept my life warm through their frequent smiles.

Lastly but not the least, is my sincere thanks to almighty God, who has been the divine

source of my strength, joy, and hope amidst all life issues. To him be the glory and honor!!


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TABLE OF CONTENTS

Page

CHAPTER I. INTRODUCTION....................................................................................................1

The Research Problem .........................................................................................................1

Rationale for Study ..............................................................................................................4

Research Goal ......................................................................................................................6

Purpose of the Study ............................................................................................................7

Research Questions..............................................................................................................8

Theoretical Framework........................................................................................................9

The Background.......................................................................................................9

Description of the Conceptual Framework............................................................13

Significance of the Study...................................................................................................18

Definition of Terms............................................................................................................20

Delimitations and Limitations............................................................................................22

Limitations .............................................................................................................22

Delimitations..........................................................................................................23

Organization of the Remaining Chapters...........................................................................24

CHAPTER II. LITERATURE REVIEW .....................................................................................25

Introduction........................................................................................................................25

The Topic...............................................................................................................25

The Importance of the Topic..................................................................................25

Literature Search Strategies ...................................................................................27

Organization of the Rest of the Review.................................................................28


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Key Concepts of Succession Processes .............................................................................28

Continuum of Succession Processes......................................................................29

Succession Planning and Management..................................................................30

Replacement Planning ...........................................................................................31

Succession Planning...............................................................................................31

Succession Management........................................................................................32

Talent Management ...............................................................................................33

Theoretical Considerations ................................................................................................34

Relationship between Succession and other Variables..........................................36

Evolution of Succession Planning as a Field.....................................................................38

The Significance and Prevalence of Succession Planning.................................................40

The Aging Workforce, Retirements, and Succession Planning.........................................43

Succession Planning and Management versus Organizational Culture.............................44

Top Leadership Commitment to Succession Processes.....................................................45

Assessment of Organizational Leadership Needs..............................................................46

Talent Management Strategy in Succession Processes......................................................47

Application of Succession Plan Charts .............................................................................48

Identification and Development of High Potentials...........................................................48

Selection, Evaluation, and Rewarding the Groomed Candidates ......................................51

Prudent Replacement of the Outgoing Leaders .................................................................51

Internal Grooming versus External Sourcing ....................................................................53

CEO Succession and the Role of Governing Boards.........................................................54


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Succession Processes versus Internal Organizational Politics ..........................................55

Succession Management Approaches................................................................................56

Succession Planning and Diversity....................................................................................57

Status of Succession Planning in Higher Education..........................................................58

The Challenge ........................................................................................................58

Academia Called to Do Something........................................................................60

Obstacles to Succession Planning......................................................................................62

Succession Practices at Midwestern University ................................................................63

Chapter Summary ..............................................................................................................63

Implications........................................................................................................................64

CHAPTER III. METHODOLOGY ..............................................................................................66

Introduction........................................................................................................................66

Research Design.................................................................................................................66

The Concurrent Triangulation Design ...................................................................67

Brief Description of the Two Research Components ............................................68

Justification for Concurrent Triangulation Design for this Study .........................70

Brief Description of the Site ..............................................................................................71

Participants.........................................................................................................................74

Survey Participants ................................................................................................74

Interview Participants ............................................................................................75

Instrumentation, Interview Protocols, and Documents......................................................75

The Quantitative Component.................................................................................75

The Qualitative Component...................................................................................83


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Procedures for Collecting Data..........................................................................................86

Data Analysis Procedures ..................................................................................................87

Quantitative Data Analysis ....................................................................................89

Qualitative Data Analysis ......................................................................................92

Integration of Quantitative and Qualitative Findings ............................................94

Assumptions and Limitations ............................................................................................95

Assumptions...........................................................................................................95

Limitations .............................................................................................................95

Delimitations..........................................................................................................98

Ethical Issues .....................................................................................................................98

CHAPTER IV. SURVEY RESULTS.........................................................................................100

Introduction......................................................................................................................100

Samples Demographics and Response Rates .................................................................100

Demographics: Occupational Role, College, and Administrative Division ........100

Demographics: Gender, Age, Ethnicity, and Education .....................................102

Demographics: Current Position Years, Service Years, Retirement, and Moving

Possibility.............................................................................................................103

Quantitative Findings According to Research Questions................................................105

Research Question # 1 .........................................................................................105




Qualitative Results of Open-ended Survey Items............................................................127


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Emergent Sub-themes under a Priori Themes or Factors ....................................128

Emergent Additional Factors from Participants ..................................................135

Chapter Summary ............................................................................................................138

CHAPTER V. QUALITATIVE RESULTS ...............................................................................141

Introduction......................................................................................................................141

Results of Interview Transcripts ......................................................................................141

Sampling Method.................................................................................................141

Case Study Analysis Approach............................................................................142

Findings from Within-case Analysis ...................................................................143

Brief profile and analysis of Ben .............................................................144

Brief profile and analysis of Susie...........................................................147

Brief profile and analysis of Peggy..........................................................150

Brief profile and analysis of Ruth............................................................154

Brief profile and analysis of Richie .........................................................157

Brief profile and analysis of Daniel.........................................................160

Findings from Cross-case Analysis .....................................................................164

Understanding of succession planning.....................................................164

Evaluation of succession planning processes ..........................................164

Evaluation of the eight SPM practices.....................................................166

Other factors identified by interview participants ...................................169

Results of Document Review...........................................................................................169

Types of Documents Reviewed and Issues of Interest ........................................169

Findings from Document Review........................................................................171


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Qualitative Findings according to Research Questions ...................................................173




Chapter Summary ............................................................................................................178

CHAPTER VI. DISCUSSION, IMPLICATIONS, AND CONCLUSIONS..............................180

Introduction......................................................................................................................180

Integrated Summary of Results and Discussions.............................................................183

Imminent Loss of University Members...............................................................183


Inadequate SPM efforts at the university.................................................184

A systematic SPM program important and urgently needed ...................186

Internal leadership grooming mostly preferred........................................187


Most SPM practices lacking ....................................................................188

Some SPM practices occurring informally..............................................189


Perception differences by occupational role and by gender ....................190

Perception differences by college ............................................................191

Perception differences by years of service...............................................193


Diversity consideration in the SPM efforts..............................................194

Impact of the current economic recession ...............................................196


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Impact of government policies and laws .................................................200

Additional factors affecting SPM efforts.................................................201

Implications and Recommendations................................................................................213

Research Implications..........................................................................................213

Policy and Practice Implications..........................................................................219

Final Thoughts .....................................................................................................223

Concluding Remarks........................................................................................................225

REFERENCES ............................................................................................................................227

APPENDIX A. A Questionnaire for Assessing SPM Efforts at a University ............................241

APPENDIX B. An Interview Protocol for Determining SPM Issues at a University ................246

APPENDIX C. The Expert Panel Review Form for Content Validation ...................................248

APPENDIX D. Research Consent Form (for the survey)...........................................................250

APPENDIX E. Research Consent Form (for the interview).......................................................252


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LIST OF FIGURES

Page

1 Conceptual Framework for Succession Planning and Management..........................................13

2 Triangulation Mixed Methods Design .......................................................................................67

3 Research Flow Diagram.............................................................................................................71


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LIST OF TABLES

Page

1 Literature Support for the SPM Model Components/Practices ...............................................18

2 Continuum of Succession Processes........................................................................................29

3 The List of Items, Variables, and Measurements ....................................................................77

4 Literature Support for Survey Items ........................................................................................81

5 Documents Review Guide .......................................................................................................85

6 Research Questions, Analysis Methods, and Data Sources.....................................................91

7 Demographics: Occupational Role, College, and Administrative Division ..........................101

8 Demographics: Gender, Age, Ethnicity, and Education ........................................................103

9 Demographics: Current Position Years, Service Years, Retirement Expectation, and

Moving Possibility ................................................................................................................104

10 Status of SPM Efforts at Midwestern University ..................................................................106

11 Participants Perception on Eight SPM Practices ...................................................................107

12 Academic and Administrative Staff Perception Differences in Eight SPM Practices............109

13 Perception Differences in Eight SPM Practices by Occupational Role..................................110

14 Perception Differences in Eight SPM Practices by Gender....................................................111

15 College Differences in Perception of Assessment of Organizational Leadership Needs .......112

16 College Differences in Talent Management Processes...........................................................112

17 College Differences in Application of Succession Plan Charts..............................................113

18 College Differences in Identification and Development of Leadership Potentials.................114

19 College Differences in Selection, Evaluation, and Rewarding of Groomed Candidates........114


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20 College Differences in Internal Recruitment and Replacement of Outgoing Leaders ...........115

21 College Differences in Top University Leadership Commitment to SPM.............................115

22 College Differences in Integration of SPM practices in the Organizational Culture .............116

23 Perception Differences in Eight SPM Practices by Service Years .........................................117

24 Descriptive Statistics for the Three Factors............................................................................119

25 Frequency Table: Consideration of Women in Leadership Promotion ..................................120

26 Crosstabs by Gender: Consideration of Women in Leadership Promotion............................120

27 Frequency Table: Consideration of People of Color in Leadership Promotion......................121

28 Crosstabs by Ethnicity: Consideration of People of Color in Leadership Promotion ............121

29 Frequency Table: Recession Impact on Individual Employment/Retirement Plans ..............122

30 Crosstabs by Occupational Role: Recession Impact on Individual Employment/Retirement

Plans.......................................................................................................................................123

31 Frequency Table: Recession Impact on Succession Practices at the College/Unit Level ......123

32 Crosstabs by College: Recession Impact on Succession Practices at the College Level........124

33 Crosstabs by Administrative Division: Recession Impact on Succession Practices at the

Administrative Division Level...............................................................................................125

34 Frequency Table: Impact of Federal Policies and Laws on Succession Practices..................126

35 Frequency Table: Impact of State Policies and Laws on Succession Practices......................126

36 List of Open-ended Questions and Response Rates ..............................................................128

37 Emergent Sub-themes for each a Priori Theme/Sub-factors ..................................................129

38 Summary of Demographic Background of the Interviewees..................................................142

39 Clustered Sub-themes from Six Interviewees ........................................................................165

40 Succession Planning Practices Mentioned in University Policy Documents .........................170


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41 SPM Practices vs. Sub-themes Matrix ...................................................................................175

42 Additional Factors Affecting SPM Efforts .............................................................................202

43 Reorganized List of Additional Factors..................................................................................202

44 Four Possible SPM Organizational Formats in Academic Institutions .................................215

45 Eight SPM Administration Variants in Academic Institutions...............................................215


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CHAPTER I: INTRODUCTION

The Research Problem

Higher education is on the verge of losing a critical number of its key officials because a

significant portion of the higher education workforce is close to retirement age (Rothwell, 2002).

This massive retirement will not only lead to a loss of key officials in higher education, but will

also contribute to a leadership crisis in academia. For instance, Weisman and Vaughan (2002)

report that 79% of all community college presidents are expected to retire between 2001 and

2010. Also, the proportion of college presidents, who are 61 years and older, has increased from

14% in 1986 to 49% in 2006 (American Council on Education, 2007). Moreover, Rothwell

(2002) contends that in the near future, presidents, provosts, deans, and other key university

officials will be retiring at a staggering rate. In fact, some studies predict a possibility of

leadership crisis in community colleges to happen as soon as 2011 (American Council on

Education, 2007; Amey & VanDerLinden, 2002; Weisman & Vaughan, 2002).

Retirement due to aging is a real and a critical issue in all kinds of organizations in the

United States. Academic institutions especially need to pay close attention to this subject because

of their role in fostering science and technology and development of human capital. Several

authors emphasize that the best way to address the retirement problem and impending leadership

crisis is to introduce effective succession planning programs in higher education (Heuer, 2003;

Hull, 2005; Mackey, 2008; Rothwell, 2002). Yet, most higher learning institutions do not give

succession planning a top priority (Bisbee, 2005; Rothwell, 2002).

Higher education is not the only sector that is vulnerable to succession challenges in the

nation. Several studies reveal that most public and private organizations face leadership

succession issues. For example, it is estimated that 85% of organizations lack proper succession


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planning processes (Nink, Boyer, & Fogg, 2006). In fact, this crisis does not even spare the

federal government departments and agencies. The US federal government is faced with the

challenge of replacing about 80% of managers who will retire shortly (Nink et al., 2006).

Surprisingly, there exists no effort in developing future leaders or nurturing the talent in the

federal government departments (Kettl & Fesler, 2005), despite the fact that part of

government workforce is aging and many of the most experienced managers are nearing

retirement (Kettl & Fesler, 2005, p. 197). The Federal Aviation Administration is an example of

the federal agency that may lose half of its air-traffic controllers by the year 2010; and yet it has

not developed a plan to cope with the situation (Kettl & Fesler, 2005). The health sector is

another area that does not seem to take succession planning seriously, despite the impending

retirement of most leaders of the industry in less than six years (Schmalzried & Fallon, 2007;

Stephens, 2006).

Furthermore, although the corporate world is doing relatively better in succession

processes, succession challenges are still notable in all kinds of businesses. For example, most

family firms do not have written succession plans, even when their CEOs are nearing departure

(Hutcheson, 2007). In the construction industry, many firms do not have adequate succession

plans that can cope with the large number of aging and retiring founders or executives (Rubin,

Powers, & Illia, 2007). These few examples depict how the business world is also confronted

with succession issues. Yet, it is known that the success of an organization is connected to the

adequacy of its leadership progression that stems from succession strategies such as talent

identification and internal leadership development (Sobol, Harkins, & Conley, 2007).

Returning to the education sector, studies indicate an impending leadership crisis that will

affect both the PreK-12 and the higher education systems; and yet succession planning processes


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are not given due attention. For example, leadership succession predicaments exist in the school

systems (Fink & Brayman, 2006; Fink & Brayman, 2004; Hargreaves, 2005). Also, a few studies

conducted on higher education portray shortages of sound succession planning processes as a

major issue that needs adequate attention (Campbell, 2002; Heuer, 2003; Hull, 2005; Mackey,

2008; Shults, 2001; Weiss, 2005). Even the resource-rich, private universities (known as the

Ivy-Plus group) do not practice formal succession planning (Heuer, 2003). The fact that 80%

of junior college presidents are to retire between 2002 and 2012 and that over a quarter of

college and university presidents depart annually (Quinn, 2007) compounds the magnitude of the

problem in the higher education system. Moreover, the mass retirement of baby-boomers (those

who were born between 1946 and 1964) is not the only threat to organizational leadership

continuity. There are possibilities of unexpected emergencies that can also cause colleges and

universities to lose key officials, like the unfortunate terrorist attack that happened in September

11, 2001 or some other natural calamities (Rothwell, 2002).

Surprisingly, despite the looming massive retirement of key officials in the higher

education system, academia pays little attention in studying and addressing this problem (Bisbee,

2005; Rothwell, 2002). As it stands now, the precise impact of the looming talent and leadership

shortage on the education system is not clearly known due to the scarcity of research. However,

since higher education is the backbone for human capital development, it is vital to address the

question of leadership succession, because deficient succession planning efforts may subtly

weaken the academic quality. Therefore, efforts should be increased in studying implications of

the workforce and leadership retirement as well as in investigating succession planning and

management processes in higher education.


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Rationale for Study

First of all, there is a limited body of research on the topic of succession planning. The

small body of literature available does not present sufficient coverage of all aspects of succession

processes and how different factors are interrelated. Only a few studies exist that indicate

connection between some factors. For example some association exists between succession

planning and lasting organizational performance and improvement (Huang, 1999; Hunte-Cox,

2004; Mandi, 2008, Rothwell, 2005). Also, a few studies shed light on certain leadership

succession themes such as CEO succession, the role of the board of directors, succession

process, external versus internal successors, and the politics related to succession issues (Berke,

2005; Giambatista, Rowe, & Riaz, 2005). Moreover, there is a small body of literature that

focuses on such issues as development of future leaders, high potentials and talent, and

succession system and design (Berke, 2005).

Another major challenge in this field of succession planning is the lack of a coherent

theoretical framework. According to Giambatista, Rowe, and Riaz (2005), the field of succession

planning is basically characterized by theoretical and methodological fragmentation that calls for

further research. For instance, several succession aspects are yet to be fully known, these

include: a variety of succession factors, how those factors are interrelated and how they impact

succession planning, as well as how succession planning affects the performance of public

organizations (Mandi, 2008). In brief, succession planning is a critical but neglected aspect of

organizational development (Barker, 2006).

Moreover, much of the succession studies in the United States were conducted in the

corporate world. There is a scarcity of research activities related to succession planning within

the public sectors, and particularly in higher education. According to Mandi (2008), whereas a


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small body of literature that focuses on succession issues of the corporate world exists, there is a

limited research on succession matters in the public sector and especially on the public higher

education system. This scarcity of literature and studies on succession planning in American

higher education is an issue that should not be ignored. Hence, there is a need to increase

research activities on succession issues in academia.

Furthermore, as mentioned earlier, universities in the United States are on the verge of

losing their key officials earlier than anticipated (Rothwell, 2002); yet, the concept of succession

planning is not familiar in higher education institutions. For instance, the University System of

Ohio seems to have given the subject of succession planning a low priority. This is evidenced by

the shortage of succession planning studies targeting academic institutions in that state and the

fact that leadership succession issues are not even mentioned in Ohios Strategic Plan for Higher

Education 2008-2017.

The present study is, therefore, one of the efforts to examine succession planning and

management at the institutional level in the Midwest. The interest to study this topic at the

Midwestern University (pseudonym) is in line with Rothwells (2002) call to address the

looming shortage of leaders in academia. The fear of losing organizations leaders through

unplanned ways and the inevitable aging of the current workforce constitute a part of the

rationale for the desire towards studying succession planning.

The situation, however, is that it is difficult to find any literature that reports succession

planning efforts taking place within the Midwestern University. The absence of such information

could prevent the university from realizing an opportunity to understand the staff retirement

pattern, and how that may impact the leadership succession at various institutional levels. More

to the point is lack of clarity about whether the university management is aware of and well


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prepared to cope with the looming succession challenges. Parallel to that, the subject university

experienced a change of its President in 2008. This change was accomplished through a certain

leadership search and identification procedures. It is, however, not known whether leadership

succession processes are integrated in the organizational strategy or culture of the university.

Finally, researchers, scholars, practitioners, and government policy makers need to be

informed about the essence of succession processes in higher education. For that purpose, there

is a need for academic institutions to conduct evaluation of their succession planning and

management efforts in order to establish the actual situation. Such evaluative study could help

institutions take appropriate measure to address emerging succession issues. The challenge,

however, is the shortage of tested assessment instruments suitable for higher education. This

study, therefore, is expected to contribute to the knowledge portfolio for the field of succession

planning and management in higher education, because it introduced a conceptual framework

and the survey instrument that was first applied in this inquiry. Also, by replicating this study,

patterns of succession issues in academia can become apparent leading to adequate solutions for

the emergent succession issues in academia. Study replication can as well contribute to the

improvement of the theoretical framework and the research methodology for the field.

Research Goal

The research goal of this study was threefold. First, at the theoretical level, the study

aimed at applying the theoretical framework and its associated survey instrument that were

created by the researcher for evaluating succession planning efforts at a university level. Second,

at the practical level, the study sought to evaluate and understand succession planning and

management efforts of a particular university. Third, at the personal level, this study responded


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to the passion of the researcher towards understanding the essence of succession planning and

management in educational institutions.

Purpose of the Study

The purpose of this concurrent triangulation mixed methods study was to understand the

status of the subject universitys succession planning and management (SPM) efforts as

perceived by the fulltime academic staff (faculty and faculty administrators) and fulltime

administrative staff (professional administrative staff and administrative leaders) by converging

both quantitative and qualitative data. Moreover, the study aimed at identifying perceived issues

related to SPM processes at the subject university. In this concurrent triangulation approach, a

questionnaire designed by the researcher, known asA Questionnaire for Assessing Succession

Planning and Management Efforts at a University, was used to examine the status of the SPM

efforts of the Midwestern University. The researcher administered the instrument to a target

sample of 1,530 university participants, a sample which was composed of the following sub-

groups: faculty, faculty administrators, professional administrative staff, and administrative

leaders.

At the same time, two qualitative methods, interview and document review, were

employed in this study. The aim of conducting qualitative methods was to gather more

information that would help the researcher to better understand succession planning issues.

Using semi-structured interview guide, data were collected from six participants including two

leaders representing the Human Resources Division (HRD), two leaders representing the

Academic Affairs Division (AAD), one participant representing the University Faculty Senate,

and one participant representing the Administrative Staff Council.


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In addition to interviews, four types of documents were collected and analyzed: the

university charter, the administrative staff handbook, the strategic plan, and off-campus college

policies related to staff employment, retention, and development. Inclusion of college policies in

the review was to reflect the fact that colleges are more autonomous than other major units at the

university.

The reason for combining quantitative and qualitative methods was to better understand

the topic by converging both quantitative and qualitative data. The researcher believes that in this

kind of evaluative study, one form of data is not sufficient to comprehensively understand the

topic being investigated.

Research Questions

In order to have a broader picture of the SPM efforts at the subject university, this study

addressed four primary questions:

1. How do fulltime academic staff and fulltime administrative staff generally evaluate

the status of the universitys succession planning and management (SPM) efforts?

2. How do fulltime academic staff and fulltime administrative staff perceive eight

different SPM practices taking place at their respective colleges and administrative

units?

3. Do perceived eight SPM practices differ by the following groups?

o By occupational role:

Fulltime academic staff vs. fulltime administrative staff

Fulltime faculty vs. fulltime professional administrative staff vs.

Fulltime faculty administrators vs. fulltime administrative leaders

o By college


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o By service years

o By gender

4. How do fulltime academic staff and fulltime administrative staff evaluate some

factors associated with SPM processes at the university?

Theoretical Framework

The Background

The field of succession planning and management lacks one coherent theoretical and

methodological approach (Giambatista, Rowe, & Riaz, 2005). In fact, according to Giambatista

et al. (2005) different studies that examined relationships of various succession factors have

yielded mixed results. Nevertheless, some theoretical concepts have been advanced by different

authors on how succession planning and management efforts can be understood, established, and

evaluated in the organizations. For example, Rothwell (2005) posits that an effective succession

planning and management effort is that which is capable of building talent from within and

ensures leadership continuity. He contends that it is imperative for organizations to establish

formalized succession planning as part of organizational strategic and management tools. Based

on his research, Rothwell suggests that systemic succession planning and management can be

attained by following his seven-pointed star model that consists of the following steps: (1)

making commitment towards succession planning and management, (2) assessing present work

and people requirements, (3) appraising individual performance, (4) assessing future work and

people requirements, (5) assessing future individual potential, (6) closing the development gap,

and (7) evaluating the subsequent succession development program (p. 79).

Another way of understanding succession planning and management is by using the

concepts of Gandossy and Verma (2006), who advocate what they call five cornerstones for


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executing succession management: (1) alignment of current and future staffing needs, (2)

commitment of leaders in being accountable to the identification and development of talents, (3)

assessment of critical positions based on long term organizational perspectives resulting in the

identification of a pool of talents, (4) long term development of leadership potential candidates

using various programs, and (5) measurement of effectiveness of development programs as well

as tracking the achievement of the individual candidates.

Moreover, according to the model of Rubin, Powers, and Illia(2007), there are six basic

steps of succession planning: (1) establish skills and competencies needed at each leadership

level, (2) identify a pool of candidates for various leadership positions, (3) assess candidates for

respective leadership positions, (4) implement individual development plans using various

methods such as coaching, mentoring, formal training, on the job training, special assignments,

leadership workshops, and so forth, (5) select leaders as positions become available, and (6)

implement transition between the predecessor and the successor.

A body of literature also mentions core competence modeling as an approach that is

linked to talent management, which is an integral component of succession planning and

management. According to Grigoryev (2006), some organizations, aiming at attaining

competitiveness, employ a core competence modeling approach for the selection and

development of new talents who can fill key positions. This approach not only fosters success in

hiring decisions, but also improves talent management processes. Moreover, the model serves as

a tool for building bench strength for certain positions for which candidates are prepared.

Grigoryev provides eight steps for core competence modeling: (1) outline the expected outcomes

of the specific positions in alignment with organizational goals, (2) determine the behaviors that

drive success in those outcomes, (3) develop the model of core competencies surrounding those


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behaviors, (4) create a behaviorally-based customized interview protocol, (5) assess candidates

on the specific core competencies, (6) establish an on-boarding process and developmental plans

linked to the model, (7) institute a performance review system based on the model, and (8) build

bench strength around the position to develop and prepare successor candidates (pp. 17-18).

Furthermore, according to Harrison, McKinnon, and Terry (2006), effective succession

planning exhibits the following features: (1) identification of core leadership competencies, (2)

matching individual behaviors with organizational expectations, (3) assessment of the readiness

level of candidates, (4) employees willingness to carry responsibilities in the process, and (5)

evaluation of the succession planning progress. Other features include: (6) flexibility of

candidates development from early stages, (7) creating continuous leadership development and

succession plans, (8) passing both the authority and knowledge to successors, and (9) avoiding

practices that can create tensions among candidates (Murphy, 2006).

In addition, several authors suggest that succession planning, especially for large

organizations, cannot effectively operate in isolation. It has to be integrated into the overall

organizational strategy, strategic plan, or culture (Harmon, 2007; Rothwell, 2005; Stephens,

2006). For that matter, succession planning must always stick to an organizations definition of

the critical leadership capability as well as be aligned to the necessary organizational behaviors

(Harrison, McKinnon, & Terry, 2006). Since most organizations strive to be perpetual,

succession planning should be an ongoing process that is constantly linked to organizational

learning capacity (Hunte-Cox, 2004). Once integrated into an organization, succession planning

will continuously guide the assessment of candidates competencies and guide the process of

developing each individual candidate. Since managing succession processes is a vast work, it is

advisable to have a competent person, committee, or section in an organization that will be


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responsible for coordinating all succession endeavors (Huang, 1999, Hunte-Cox, 2004; Rothwell,

2005).

For small firms, however, leadership succession can be occasionally guided by competent

consultants so as to avoid the cost of establishing a unit in the firm. Nevertheless, the following

tips can help small private firms achieve successful leadership succession: (1) early starting, (2)

constant recruitment, (3) information sharing, (4) judicial assignment and delegation, (5)

feedback provision and accountability, (6) regular communication of interests and intentions, and

(7) continuous mentorship (Harmon, 2007).

In summary, different approaches to succession planning and management exist. Some

approaches exhibit common aspects, but others depict distinct aspects of succession planning and

management. Based on the analysis of several approaches described above, this study proposes a

new conceptual framework, as displayed in Figure 1, consisting of three main components: (1)

component A, leadership commitment and involvement in SPM, is at the core of this framework;

(2) component B entails six basic SPM practices, which are numbered 1-6 according to this

model; and (3) component C, the organizational culture or strategy, depicts the context within

which succession planning processes can be continually promoted. These components are

distinguishable, but they are not necessarily separable because some elements under different

components tend to overlap, which also indicates the interactive nature of the succession

processes. In fact, even the six practices outlined under component B are, to certain degree,

interactive. According to this framework, while component A expresses the role of leadership in

SPM, component B exhibits the mechanism and technicalities of the SPM process. Component

C, on the other hand, underscores the significance of SPM processes to be a part of the

organizational culture. The next section describes the model in detail.


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C

65 B

4 A 1

3 2

Figure 1. Conceptual framework for succession planning and management.

Description of the Conceptual Framework

The first component (A) of the framework represents the need for commitment and

involvement of the top organizational leadership in succession processes. This component is

considered as the heart of any succession planning and management effort, which is why it is

placed at the center of the model. Top organizational leadership has to play a vital role in

succession matters (Gandossy & Verma, 2006; Rothwell, 2005). In fact, top leaders should

support managers who promote internal leadership growing, promote behaviors that encourage

attracting and retaining talent, devise and foster succession planning policies, and create a

position or a section that will administer succession management matters (Rothwell, 2005).


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To underline the significance of the leadership role, component A is connected to the six

practices comprising component B. Calabrese (2002) underscores the importance of leadership in

creating and managing change. Succession planning and management is a significant and

continuous organizational change issue. Similarly, Kouzes and Posner (2007) stress the value of

exemplary leadership in causing extraordinary things to happen in organizations; and indeed,

effective management of succession processes requires exemplary leadership.

Component B comprises six different SPM practices. The first practice is the assessment

of current and future organizational leadership requirements. This practice entails the assessment

of both the current and the future requirements of work and competency of the key positions of

an entity (Grigoryev, 2006; Rothwell, 2005; Rubin, Powers, & Illia,2007). The aim of this

practice is to identify existing gaps between the actual situation and the desired work and

competency needs for leadership positions (Rothwell, 2005). Actually, in order to know how to

prepare future leaders, skills and competencies for each leadership level and position need to be

identified (Rubin et al.,2007). Moreover, it is vital to compare the current and the expected

future performance of individual workers, because such assessment helps to uncover their hidden

potentials for future application in key positions (Rothwell, 2005).

The second practice under component B,establish or improve talent management

procedures for key positions, is about the identification of the talent from within or outside,

talent which is vital for different important positions in the organization (Gay & Sims, 2006;

Hughes & Rog, 2008; Loftus, 2007; Rothwell, 2005). Moreover, this practice depicts the need

for an organization to have continuous and explicit procedures for assessing individuals talent

for different future applications with the aim of executing retention schemes and developing each

talent (Gay & Sims, 2006; Rothwell, 2005). Eventually the organization has to create talent


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pools, groups of workers who are prepared for horizontal or vertical career advancement

(Rothwell, 2005; Sobol et al., 2007).

The third practice comprises the actual exercise of establishing or reviewing succession

plan charts based on the available key positions and the available talent to be groomed into future

candidates. These charts consist of the name of the leadership position and the names of possible

candidates who can replace the incumbent (Sobol et al.,2007). The succession charts guide

responsible administrators in monitoring progresses made by the identified high potentials who

are being groomed for the anticipated leadership positions (Rothwell, 2005; Sobol et al.,2007). It

should be noted that two different terms are used to mean the same thing. Whereas Rothwell

(2005) calls them replacement charts, Sobol, Harkins, and Conley (2007) use a term succession

plan charts. Management meetings of an organization can be used for reviewing succession

charts and discussing the progress of the high potentials being groomed according to the charts

(Sobol et al.,2007). Most important is that the individual development plans of high potentials,

which are reflected in the succession charts, should be based on the individual development

needs (Rothwell, 2005).

The next practice entails the process of identifying and developing groups or pools of

high potentials in the organization. High potentials are individuals identified as capable of

becoming leaders for specific key positions (Rothwell, 2005). Identification and development of

high potentials or future leaders is the heart of succession planning (Berke, 2005; Rothwell,

2005). Due to variation of competency needs that each individual high potential might have,

capacity building should be customized to individual development plans (Krauss, 2007;

Rothwell, 2005). Krauss asserts that a combination of leadership development strategies can be

used. In fact, as a part of development strategy, incumbent leaders have to take part in mentoring


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or coaching those who appear to be potential candidates (Groves, 2007; Rothwell, 2005; Sobol et

al.,2007). Identification and development of future leaders has to be guided by the philosophy of

promoting internal leadership growth (Rothwell, 2005).

Selection, evaluation, and adequate rewarding of groomed candidates constitute the fifth

practice of this component. Not all people in a pool of high potentials might be considered for

leadership candidacy. Thus, it is vital to conduct proper assessments of performance and

leadership readiness of the high potentials (Rothwell, 2005; Sobol et al.,2007). Eventually, a few

capable candidates have to be selected from the pool for further preparation that will enable them

take key positions when opportunities arise. However, potential candidates have to be adequately

motivated through adequate rewards and incentives so as to mitigate attrition (Krauss, 2007;

Towers & Perrin, 2005). Workers are more interested in instant rewards for job well done

(Rothwell, 2005).

The sixth practice is labeled as prudent recruitment of a new successor and replacement

of the outgoing leader. A number of points should be considered here. First, the successors

appointment process must be adequate enough to bring in a capable leader and minimize

unnecessary friction between the groomed candidates (Conger & Nadler, 2004). Second, once a

successor is carefully recruited out of a group of groomed candidates, an organization has to

consider providing ample time for the outgoing leader to mentor the new successor (Khumalo &

Harris, 2008; Vancil, 1987). This practice helps the incoming leader to become familiar with the

new internal and external leadership environments of his/her organization. Another issue to

consider in this component is the nature of the leadership transition. For the best interest of an

organization and its stakeholders, the leadership transition should be void of unnecessary friction

(Conger & Nadler) and take a relatively short period. In leadership transition times, a


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management team or a governing board has to support a new successor so as to mitigate any

political disruptiveness that might affect the image or operations of an organization (Berke,

2005; Cannella & Shen, 2002).

The final and third component of this model, component C, is the integration of

succession planning and management processes in the overall organizational culture or strategy

(Rothwell, 2005; Stephens, 2006). This kind of integration is critical since it provides the context

within which succession processes will remain continuous (Cantor, 2005; Hunte-Cox, 2004;

Stephen, 2006). If an organization wants to maintain a lasting improvement and organizational

vitality, the practices of attracting, grooming internally, retaining talent, and growing leaders

from within should be embedded in its organizational policies and strategies (Rothwell, 2005).

In concluding this section, it is important to note that the proposed model (Figure 1) is

fairly different from others because it has incorporated elements from a variety of sources. Also,

the model accentuates two notions: (1) the role of the leadership that is placed at the core of the

model, and (2) the integration of succession processes into the organizational culture, which is

displayed as the surrounding or enabling context of the continual succession processes. Besides

these vital notions, this model attempts to merge succession planning and talent management

aspects, the two major concepts which are related to succession processes. Moreover, this model

incorporates the need to execute prudent recruitment and replacement of leaders to prevent

political abrasions connected to leadership changes in organizations. Although this conceptual

framework is open for improvement, this study did utilize it. The list of some sources of ideas

and concepts applied in this model is presented in Table 1.


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Table 1

Literature Support for SPM Model Components/Practices

SPM Model Components & PracticesAuthors

A B1 B2 B3 B4 B5 B6 CCannella & Shen (2002) X

Cantor (2005) X

Cunningham (2007) X

Eastman (1995) X X X

Fink & Brayman (2006) X

Gandossy & Verma (2006) X X X

Gay and Sims (2006) X X

Grigoryev (2006) X X X

Harrison, McKinnon, & Terry (2006) X X X

Hunte-Cox (2004) X

Huang (1999) XHughes &Rog 2008 X

Khumalo & Harris (2008) X

Krauss (2007) X X X

Lockwood (2006) X

Loftus (2007) X

Rothwell (2005) X X X X X X X

Rubin, Powers, & Illia(2007) X X X XShen & Cannella (2002) X

Sobol, Harkins, & Conley (2007) X

Stephens (2006) X

Towers & Perrin (2005) X

Vancil (1987) X

Wiersema (2002) X

Note. X indicates authors ideas or concepts are included in the component/practice.

Significance of the Study

Several authors suggest the existence of a certain relationship between leadership

capacity and succession planning (Fink & Brayman, 2006; Hargreaves, 2005; Lambert, 2003,

2006). Also, studies indicate that effective succession planning and management requires the

commitment and the involvement of the top leadership of the organization (Rothwell, 2005).

Thus, this study will inform the subject university community, practitioners, and leaders about

the employees perception about the universitys succession planning and management efforts.


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Eventually, the subject university leaders could choose to use this information to adjust their

leadership styles with regard to succession planning and management practices.

Moreover, this study may specifically help the subject university to move toward the

creation or adoption of appropriate strategies for timely identification, development, and

placement of leadership talents at various levels. Since it is important for any organization to

have its succession planning and management efforts integrated into the organizational strategy

(Rothwell, 2005; Sobol et al.,2007; Stephens, 2006), the university can take advantage of this

study to adjust its policies, current strategic plan, and human resource development initiatives.

Furthermore, the findings of this study can trigger the university to seek and implement best

succession planning and management approaches for the purpose of improving the universitys

performance and institutional image nationwide.

In addition, the findings of this study, although focused on one university, might shed

some light on the succession planning condition of other Midwestern academic institutions. The

results of this study may trigger similar studies that can eventually lead to some improvement in

academic institutions. Improving higher education was also underscored by the Governor of

Ohio, for instance, in his state of the state speech of 2007. But, it must be noted that the

improvement of the performance of colleges and universities cannot be divorced from the

imperatives of improving institutional leadership capacities through adequate succession

practices.

In brief, this study is considered to be significant due to the following reasons:

(1) Succession challenges in corporate and public organizations are too critical to be ignored;

(2) The body of literature indicates that succession planning as a discipline has a fragmented

theoretical framework; hence more research is encouraged;


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(3) There is a deficiency of research activity devoted to succession issues in higher education,

hence this study will contribute to scholarly literature and provoke more similar studies;

(4) A leadership succession crisis is looming in academia, but very few higher education

policy makers seem to be aware of the situation, this study is thus expected to inform and

generate interest among policy makers both at the university and regional levels; and

(5) Especially at the subject university, this study may trigger strategies for introducing or

improving succession planning and management policy and practices.

Definition of Terms

This study used certain terms; these are defined in this section for the purpose of clarity.

Administrative staff Is a group of workers who are basically employed for doing

administrative, non-faculty activities at the university. This study will involve two sub-groups

under this category:professional administrative staffadministrative staff with certain

professional portfolios; and administrative leadersadministrative staff with managerial roles.

Administrative unit Is any entity or level within the structure of the administrative wing

of the university at which most employment, promotion, retention, and staff development

decisions for the administrative officials (non-faculty members) are usually made.

Academic staff Constitute a group of workers who are basically implementing academic

activities within different colleges of the university. This study distinguishes two kinds of these:

faculty, are those academic staff engaged mainly in teaching and research activities; andfaculty

administrators are those faculty members who have administrative roles.

High potentials - Comprises those individuals who, at different levels of their careers, are

considered as potential candidates for filling higher positions in the organization; they are de

facto viewed as potential successors of incumbent leaders (Berke, 2005).


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Higher education - Comprises all educational institutions that provide postsecondary

degree education. They include universities and community colleges.

Leadership crisis - An anticipated phenomenon characterized by an acute shortage of

leaders in an organization mainly due to massive retirements of baby-boomers and the lack of an

adequate supply of candidates prepared to replace the retirees (Mackey, 2008).

Replacement planning - Any effort that focuses on the identification of replacements of

the key positions, usually at the top two or three levels of an organization (Berke, 2005, p. 1).

Often, this process does not deliberately develop and prepare candidates for the earmarked

positions (Berke, 2005). Replacement planning is the simplest form of the succession process

(Rothwell, 2005).

Succession planchart- A tangible document, chart, or schedule that shows when leaders

are expected to retire and which, when, and how groups of candidates should be developed for

filling different key leadership positions (Sobol et al.,2007).

Succession planning and management (SPM) - Any effort designed to ensure the

continued effective performance of an organization, division, department, or workgroup by

making provision for the development, replacement, and strategic application of key people over

time (Rothwell, 2005, p. 10). SPM is, in essence, a combination of succession planning and

succession management. According to Rothwell (2005), the succession planning and

management effortcan be a formal or an informal process.

Talent management- is the process of and strategies for recruiting, retaining, and

developing talent or high potentials, those employees who are viewed as strategically important

for the future of an organization (Rothwell, 2005).


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Delimitations and Limitations

Limitations

Limitations constitute potential weaknesses that may threaten the internal validity of the

study (Creswell, 2009, Maxwell, 2005). This study employed a concurrent mixed method;

therefore, two types of limitations were foreseen. First, the quantitative component of the study

utilized a survey instrument. This data collection method tends to face limitations that normally

center on the construction and interpretation of the survey questions; and in most cases the

problem is about ambiguous questions (Creswell, 2009). To mitigate this problem, the survey

instrument underwent content validity procedures. Reliability test was, however, not conducted

due to a small number of items that formed composite variables.

Another validity threat for the quantitative component was the mortality. This could

happen due to participants dropping out during data collection phase thus endangering the

response rate. In order to mitigate this threat, the researcher recruited a large sample (Creswell,

2009) and served three more reminders to survey participants.

The second component of the study utilized semi-structured interview and document

review methods. The common limitations of the interview method are related to researchers

biases and reactivity. While bias denotes a researchers subjectivity in the form of individual

beliefs and perceptual lens, reactivity entails the influence of the researcher on the participants or

the setting of the study (Maxwell, 2005). Thus the researcher was careful in data collection and

analysis processes to avoid misrepresentations. Also, the researcher employed different methods

to enhance the trustworthiness and consistency of qualitative findings. The strategies included:

(1) respondent validation through member checking, (2) triangulation by comparing data from


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different sources and methods, (3) peer reviewing, and (4) peer debriefing (Maxwell, 2005,

Creswell, 2009).

An additional limitation was that in this concurrent triangulation study, the sample size

for the qualitative component was small compared to that of quantitative component (Creswell &

Clark, 2007). This limitation is attributable to time and resource constraints for this dissertation

work. Nevertheless, results from these two groups validated each other. Furthermore, another

minor limitation is that these six interview participants were not excluded from the survey due to

the fear of reduced response rate. Hence, there is likelihood that some interviewees were biased

by the survey or vice versa (Creswell & Clark, 2007), if they decided to complete the survey as

well.

Besides exploring and evaluating the SPM at the institutional level, this study for the first

time applied the newly proposed conceptual framework and its associated survey instrument.

However, the results of this study do not guarantee a completeness of the proposed model and its

survey instrument. The researcher foresees room for improvement of both the model and the

survey instrument for the benefit of future inquiries.

Lastly, the timing of this study might have impacted participants responses and

subsequent findings. The inquiry took place during the critical period of the subject university

due to budgetary shrinkage linked to economic recession, a voluntary separation plan for

university employees, and the universitys top leadership transition.

Delimitations

The purpose of this study was to understand the status and issues of succession planning

and management efforts of one institution, the Midwestern University. Although the findings can

inform policy-makers, practitioners, researchers, and scholars in academia, they may not be used


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for generalization to other populations, institutions, or the entirety of the higher education

systems in the Midwest.

Moreover, not all employees of the subject university were involved in this study. For

example, classified staff and part-time faculty were excluded from the study; hence, the findings

do not necessarily reflect perceptions of all university members.

Organization of the Remaining Chapters

The remaining five chapters in this inquiry are organized as follows: Chapter II:

Literature Review - includes the theoretical framework for the subject matter, the literature

review on the significance and various aspects of succession planning and management. Chapter

III: Methodology, discusses the research design, participants, instrumentation, and data analysis

of this study. The next chapter, Chapter IVSurvey Results, presents quantitative findings

supplemented by some qualitative findings from open-ended survey questions. This is followed

by Chapter V: Qualitative Results, which offers qualitative findings emerging from interviews

and document review. Finally, discussion, implications, and conclusions of the findings are

presented in Chapter VI.


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CHAPTER II: LITERATURE REVIEW

Introduction

The Topic

This chapter presents a review of the literature related to succession planning and

management in higher education. Higher education is an important sector for human capital and

socio-economic development of any nation (Kubow & Fossum, 2007). The lasting success of

academia can be possible if the academic institutions engage competent and effective leaders at

all levels (Gaither, 2002). The future of academic institutions, however, depends on the ability of

the current executives to ensure adequate leadership continuity through constant identification

and building of talent from within (Rothwell, 2005). The need for academic institutions to seek

and acquire high quality leaders cannot be overemphasized. In fact, the future sustainability and

viability of any organization will depend on how it implements an effective succession planning

and management program (Mandi, 2008; Rothwell, 2005). This is why the topic of succession

planning and management is a vital one in academia as well.

The Importance of the Topic

The topic of succession planning and management is timely because organizations are

facing challenges on how to replace the baby boomer generation that has started to retire in big

numbers, while the college-educated workforce to replace them is not sufficient. In fact, the U.S.

Census Bureau (2008) indicates thatabout 55,440 people retire every week since 2006, a rate

that is expected to grow. It should be remembered that the first baby boomers turned 60 in 2006.

Moreover, it is estimated that over 60 million workers aged between 41 and 59 are currently

approaching retirement (Harrison & Hargrove, 2006). In addition to the boomers generation

size, which is 47 % of the entire workforce, the situation is exacerbated by the small size of the


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generation that followed the boomers, Generation X (Harrison & Hargrove, 2006). This aging

factor will impact leaders as well. For instance, in the U.S., more than 50% of the senior

government officials and about 20% top leaders of Fortune 500 firms are eligible for retirement

(Rothwell, 2004). The changing demographic trend is one of major issues that affects todays

workplaces (Stewart, 2007).

The aging factor affects higher learning institutions too. Todays demographic challenges

and the looming scarcity of talent will contribute to a leadership crisis in higher education

(Heuer, 2003; Land, 2003; Rothwell, 2002). If no strategy is devised, it will soon become more

difficulty for academic institutions to get new talent from outside the academia, which will entail

difficulty for these institutions to find effective replacements for outgoing leaders in the next

years. Even if the current economic recession may force some retirees to extend their service on

a part-time or contractual basis, their roles might not be in organizational leadership positions;

hence the move cannot generate a long term solution (Khumalo & Harris, 2008).

In addition to retirements, Rothwell (2004) mentions a fear of possible emergencies such

as terrorist attacks as another reason for an intensified interest in succession planning. The

collapse of the World Trade Center in New York in 2001 unexpectedly took the lives of 172

Corporate Vice-Presidents (Rothwell, 2004). Thus the importance of succession planning and

management for the survival of organizations is paramount.

Furthermore, the succession situation in higher education is worsened by other factors as

well. For instance, the declining interest in the university teaching profession and budget

shortages tend to hasten the retirement of some faculty members who seek early retirement

benefits (Harrison & Hargrove 2006). Also, fewer faculty members are willingly applying for

departmental leadership than in the past (Hoppe, 2003). Moreover, the institutional culture of


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higher education tends to discourage the young and new faculty from aspiring to leadership

positions (Wolverton & Gmelch, 2002). Although some managers have realized the importance

of succession planning as a strategy for developing high potentials, uncertainty about the

facultys lasting commitment as well as intricate academic and economic climates make

succession planning in higher education difficult (Greer & Virick, 2008).

In view of the above, succession planning is an important subject that deserves attention,

especially in academia. Certainly, the imperativeness of succession planning and management

for higher education institutions has been echoed by several authors (Heuer, 2003, Hull, 2005;

Mackey, 2008; Rothwell, 2002). Succession planning and management does not only facilitate

an orderly turnover of the executives, but also fosters the internal evaluation of human resource

needs, reduces workforce attrition, and enables the development of good performers to take

future leadership positions (Behn, Riley, & Yang, 2005). Since there is a scarcity of research that

focuses on this topic in higher education, this literature review will also draw from what is

written for the business world.

Literature Search Strategies

With the exception of information gleaned from a few books, most material for this

review was researched through electronic databases from the Bowling Green State Universitys

main library. These electronic databases include: Academic Search Complete, Business Source

Complete, Chronicle of Higher Education, Education Research Complete, Electronic Journal

Center, Electronic Book Center, Electronic Theses and Dissertations (OhioLINK); Eric, Jstor,

Lexis-Nexis Academic Universe, ProQuest Dissertations & Theses, and Springerlink.

Several descriptors were used to search for the material. For obtaining material related to

a general understanding of succession issues, the following descriptors were used: succession


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planning, CEO succession, leadership succession, leadership change, succession processes,

succession management, talent management, replacement planning, succession planning

challenges, and succession planning theories. Regarding succession planning in higher

education, the following descriptors were utilized: succession planning in higher education,

succession planning in academia, succession planning in universities, succession planning in

colleges, leadership change in higher education, leadership change in academia, University

presidents succession, college presidents succession, leadership crisis in higher education, and

leadership crisis in colleges.

The majority of the literature reviewed was from the 1990s to 2009. Generally, there is a

scarcity of literature on succession planning in the public sector such as higher education.

Consequently, aside from a few articles dedicated to higher education, K-12 education, and the

health industry, the largest part of the body of literature reviewed in this chapter includes articles

that report various studies conducted in the business world.

Organization of the Rest of the Review

This review covers the various aspects related to succession processes. Besides the

section of introduction presented above, this review includes discussions on the key concepts

applied in succession planning and management field, theoretical considerations for the field, the

significance of succession planning and management, the aging of the American workforce and

the impending massive retirements, discussion on succession planning and the organizational

culture, and the top leadership commitment and involvement in the succession processes.

Key Concepts for Succession Processes

Different authors provide different descriptions of succession planning and the associated

concepts. Sometimes, there is inexact usage of the terms as organizations and authors tend to use


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them interchangeably (Berke, 2005). Five main concepts are often mentioned: replacement

planning, succession planning, succession management, talent management, and succession

planning and management. Among the five concepts, succession planning and management

seems to be an overarching concept (see Rothwell, 2005). The next section will provide

descriptions of these concepts starting with an explication of the differences between

replacement planning, succession planning, and succession management.

Continuum of Succession Processes

As Table 2 shows, succession processes can be viewed as a continuum (Berke, 2005).

Replacement planning, according to Berke (2005), is on the lower side of this continuum because

it identifies the successors of the leaders of the top two or three managerial levels, but it does not

conduct any purposeful development of the identified individuals. On the higher end of the

continuum is succession