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Implementing comprehensive succession planning: an improvement study

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Implementing comprehensive succession planning: an improvement study

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Content Running head: COMPREHENSIVE SUCCESSION PLANNING 1

Implementing comprehensive succession planning:
An improvement study

By

Mohammadreza Bashiri

A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION

May 2018

Copyright 2018 Mohammadreza Bashiri
COMPREHENSIVE SUCCESSION PLANNING 2
Dedication

TO MY WIFE, Negin Nezarat. You are lovely and unique. Thank you so much for
filling me with love and supporting me all the moments. You gave me hope when I was
hopeless, space when I needed it, and I am honored to dedicate this dissertation to you first.
TO MY DAUGHTER, Saghar. Thank you for your patience and forgiveness for the
times I was not available due to my academic work load.
TO MY PARENTS, my mother Tala Mohsenifard, father Abdolvahab Bashiri, In
particular, thank you to my father for always going the extra mile for instilling in me a lifelong
thirst for knowledge.
TO MY BROTHERT, Abdereza and MY SISTERS, Simin, Nayereh, Azam, Ava,
Elaheh, thank you all, for your emotional support and encouragement.

COMPREHENSIVE SUCCESSION PLANNING 3
Acknowledgements
To achieve any success, there are many people that help pave the road, by mobilizing
resources and applying significant effort. To start, I would like to thank my dissertation chair,
Dr. Monique Datta, to whom I am very grateful for kind and generous guidance and mentoring. I
sincerely wish to thank her for patiently sharing her knowledge and experience. To my
dissertation committee members, Dr. Cathy Sloane Krop and Dr. Shafiqa Ahmadi, thank you for
your valuable constructive input. Your guidance and brilliant feedback enriched this research.
I learned a great deal from my OCL Cohort 3 classmates, who made the journey all the
more enjoyable. To all my USC professors, I am thankful for their sharing attitude that enriched
my experience. I appreciate you all.
This study would not be possible without the WRUC managers, to whom I am grateful
for kindly making themselves available and being so supportive of this study.
Finally, to my friend Nelson Abreu, you are an incredible kind of person. I appreciate
sharing your thoughts, your ideas, and spending your time to enrich this study. You are amazing!

COMPREHENSIVE SUCCESSION PLANNING 4
Table of Contents
Dedication ....................................................................................................................................... 2
Acknowledgements ......................................................................................................................... 3
Table of Contents ............................................................................................................................ 4
List of Tables .................................................................................................................................. 9
List of Figures ............................................................................................................................... 10
Abstract ......................................................................................................................................... 11
CHAPTER 1: INTRODUCTION ................................................................................................. 13
Background of the Problem ...................................................................................................... 14
Importance of Addressing the Problem .................................................................................... 15
Organizational Context and Mission ........................................................................................ 16
Organizational Goal .................................................................................................................. 17
Description of Stakeholder Groups ........................................................................................... 17
Stakeholder Groups’ Performance Goals.................................................................................. 18
Stakeholder Group for the Study .............................................................................................. 19
Purpose of the Project and Questions ....................................................................................... 20
Conceptual and Methodological Framework ............................................................................ 20
Definitions................................................................................................................................. 21
Organization of the Project ....................................................................................................... 22

COMPREHENSIVE SUCCESSION PLANNING 5

CHAPTER 2: REVIEW OF THE LITERATURE ....................................................................... 24
General Literature ..................................................................................................................... 25
Succession Planning General Definitions ............................................................................. 25
Succession Planning And Knowledge Management ............................................................ 25
Succession Planning Approaches ......................................................................................... 26
The Advantage of Succession Planning ................................................................................ 27
Succession Planning and Organizational Performance ......................................................... 27
Succession Planning Implementation ................................................................................... 28
Proactive Actions for Effective Succession Planning ........................................................... 28
Succession Planning Process ................................................................................................ 30
Challenges to Successful Implementation of Succession Planning ...................................... 31
Summary of General Literature ............................................................................................ 33
The Clark and Estes (2008) Gap Analytic Conceptual Framework ......................................... 34
Knowledge and Skills Influences.......................................................................................... 35
Motivation Influences ........................................................................................................... 38
Organizational Influences ..................................................................................................... 43
Summary of Knowledge, Motivation, and Organizational Influences ................................. 50
Conclusion ................................................................................................................................ 50

COMPREHENSIVE SUCCESSION PLANNING 6

CHAPTER 3: METHODOLOGY ................................................................................................ 52
Purpose of the Project ............................................................................................................... 52
Research Questions ................................................................................................................... 52
Research Design........................................................................................................................ 52
Conceptual Framework ............................................................................................................. 54
Unit of Analysis ........................................................................................................................ 58
Participating Stakeholders ........................................................................................................ 59
Interview Sampling Criteria and Rationale............................................................................... 60
Data Collection ......................................................................................................................... 61
Interview ................................................................................................................................... 62
Document Analysis ................................................................................................................... 63
Data Analysis ............................................................................................................................ 63
Credibility and Trustworthiness of Data ................................................................................... 64
Ethics......................................................................................................................................... 65
Limitations and Delimitations ................................................................................................... 66
CHAPTER 4: RESULTS AND FINDINGS ................................................................................ 68
Results and Findings of Knowledge Causes ............................................................................. 68
Results and Findings for Motivation Causes ............................................................................ 73
Results and Findings for Organizational Causes ...................................................................... 75
COMPREHENSIVE SUCCESSION PLANNING 7
Summary ................................................................................................................................... 81
CHAPTER 5: RECOMMENDATIONS ...................................................................................... 83
Purpose of the Project and Questions ....................................................................................... 83
Recommendations for Practice to Address KMO Influences ................................................... 84
Knowledge Recommendations ............................................................................................. 84
Motivation Recommendations .............................................................................................. 87
Organization Recommendations ........................................................................................... 88
Integrated Implementation and Evaluation Plan ....................................................................... 95
Implementation and Evaluation Framework ......................................................................... 95
Organizational Purpose, Need and Expectations .................................................................. 96
Level 4: Results and Leading Indicators ............................................................................... 96
Level 3: Behavior .................................................................................................................. 98
Level 2: Learning ................................................................................................................ 102
Level 1: Reaction ................................................................................................................ 105
Evaluation Tools ................................................................................................................. 106
Data Analysis and Reporting .............................................................................................. 109
Summary ................................................................................................................................. 110
Recommendations for Future Research .................................................................................. 112
Limitations and Delimitations ................................................................................................. 113
Conclusion .............................................................................................................................. 114
COMPREHENSIVE SUCCESSION PLANNING 8
References ................................................................................................................................... 116
APPENDIX A: KIRKPATRICK LEVEL 1 EVALUATION QUESTIONNAIRE ................... 123
APPENDIX B: KIRKPATRICK BLENDED EVALUATION QUESTIONNAIRE ................ 125
APPENDIX C: INTERVIEW PROTOCOL............................................................................... 128
APPENDIX D: INFORMED CONSENT FOR INTERVIEW .................................................. 130
APPENDIX E: RECRUITMENT E-MAIL FOR SURVEY ...................................................... 134

COMPREHENSIVE SUCCESSION PLANNING 9
List of Tables
Table 1. Employee demographics by generation at WRUC ......................................................... 16
Table 2.Organizational Mission, Global Goal, and Stakeholder Performance Goals .................. 18
Table 3. PDCA Cycle of Succession Planning Process ................................................................ 31
Table 4. Stakeholder Goal and Knowledge Influence, Type, and Assessment for Knowledge
Gap Analysis ................................................................................................................................. 38
Table 5. Stakeholder Goal, Motivational Influence, and Assessment for Motivation Gap
Analysis........................................................................................................................................ 42
Table 6. Organization Influences and Assessment for Motivation Gap Analysis ........................ 49
Table 7. Summary of Knowledge Influences and Recommendations .......................................... 84
Table 8. Summary of Motivation Influences and Recommendations........................................... 87
Table 9. Summary of Organization Influences and Recommendations ....................................... 88
Table 10. Outcomes, Metrics, and Methods for External and Internal Outcomes ........................ 97
Table 11. Critical Behaviors, Metrics, Methods, and Timing for New Reviewers ...................... 98
Table 12. Required Drivers to Support Critical Behaviors ......................................................... 100
Table 13. Components of Learning for the Program. ................................................................. 104
Table 14. Components to Measure Reactions to the Program. ................................................... 106
Table 15. Dashboard to report data ............................................................................................. 109

COMPREHENSIVE SUCCESSION PLANNING 10
List of Figures
Figure 1. Gap analysis process. Adapted from Clark and Estes (2008) ....................................... 21
Figure 2.Conceptual Framework for implementing a comprehensive succession planning in
Western Region Utility Company through KMO Influences. ...................................................... 57

COMPREHENSIVE SUCCESSION PLANNING 11
Abstract
This dissertation study aimed to conduct a needs analysis in the areas of knowledge,
motivation, and organizational resources necessary for 100% implementation of Comprehensive
Succession Planning (CSP) program by September 2019 in the WRUC’s Power System (Power
System). Using the Clark and Estes’ Gap Analysis framework, the knowledge, motivation and
organizational influences defined by the literature in chapter two were examined. Interviews and
document analysis were conducted to answer the research questions. Gaps were evaluated as
validated, partially validated or not validated. It was found that Power System managers need to
know the concept of succession planning and know more about how to successfully implement
CSP. Data analysis also revealed that Power System managers need to have a better
understanding that allocating the significant resources for implement CSP is weighed against the
cost of losing key leaders and skilled and knowledgeable workers due to promotion, transfer or
retirement. The study’s evidence also suggested that the stakeholders need to be held more
accountable to achieve performance goals. In addition, document analysis and interviewees
found current hiring, promotion, and incentive policies as barriers to implementation of CSP
activities and initiatives. As well, the study proved that the WRUC culture does not encourage
being proactive, open, risk-taking, and sharing which hinders organization to achieve its
performance goal. The results from the data collected were used to drive recommendations for
implementing CSP. It was recommended that HR design and delivers a one-hour online training
to all managers and supervisors in all WRUC’s organizational levels. It was also recommended
that a practical training was provided by a SME for the Power System managers who make up
the Strategic Development Taskforce. Making a business case for CSP, reviewing the project
progress by scheduling effective milestones no less than two months, promote the culture of
COMPREHENSIVE SUCCESSION PLANNING 12
openness, collaboration, team working, and knowledge sharing at organization by managers were
recommended. In addition, it was recommended that to set a new promotional and hiring policy
which allows the organization to hire successors in advance to overlap with predecessors for a
sufficient period of time to allow the process of succession planning to take place. Lastly, it was
recommended to integrate a recognition program into the plan as an incentive.

COMPREHENSIVE SUCCESSION PLANNING 13

CHAPTER 1: INTRODUCTION
Social and demographic trends show that 10,000 baby boomers will turn 65 years old every
day over the next two decades (Cohn & Taylor, 2010). This retirement rate for organizations means
losing talent, managers, and mission-critical knowledge and skills, ultimately putting the
organization’s mission at risk (McDermott & Marshall, 2016). Organizations of all types and sizes
realize that they need to implement comprehensive succession planning to face the crisis.
Expecting a drain of critical knowledge, it comes paramount to identify positions that are at-risk
and mission-critical. Once such roles are identified, organizations can plan for staffing and training
to rise up to the challenge and for ongoing prevention (Acree-Hamann, 2016; Flynn, 2014; Grau,
2014; McDermott & Marshall, 2016; Mckee & Froelich, 2016). Employees with many years left
until retirement will provide a greater return on investment for such programs, as they move
laterally, promote, and eventually move to other organizations or retire.
Western Region Utility Company (WRUC) has the critical mission of providing the
lifeblood of its community: safe, reliable, environmentally-responsible and affordable water and
power. Based on the WRUC’s Power System Integrated Resource Plan(IRP), WRUC’s Power
System (Power System) has been experiencing and continued to be affected by an enormous rate
of attrition through retirement until 2023(Western Region Utility Company WRUC, 2016). The
IRP pointed to the urgent need to develop and implement a comprehensive succession planning to
mitigate the risk of failing its customers and employees (WRUC, 2016). More than three years
since comprehensive succession planning was identified as a major strategic imperative, some
efforts have been made to identify positions at risk of retirement and to reduce this impact.
However, the organization had not managed to make sufficient progress toward a comprehensive
COMPREHENSIVE SUCCESSION PLANNING 14
approach. The organization had not identified the root causes for the slower progress nor had it
developed a comprehensive plan to address the situation.
Background of the Problem
The Center for State and Local Government Excellence in 2016 conducted a study and
revealed that 80 percent of human resource managers ranked succession planning among their
top three concerns. While state and local governments realize that they need to formalize
succession planning, only 11 percent of them have a current succession planning program
(Center for State and Local Government Excellence, 2017). Existing literature strongly supports
that a comprehensive succession planning ensures organizations to be prepared to continue their
mission in the absence of key employees (Johnson, 2016). Based on IRP the Power System was
experiencing a disruptive rate of retirement through 2023. It is projected to lose 37,400 years of
experience and knowledge required to run the utility (WRUC, 2016). To manage this loss,
WURC has recognized that a plan, strategy, and structure were required to capture critical skill-
based and experience-based knowledge and competencies. This human capital must be
transferred to the next generation at this critical time. Investments will also continue to pay off
into the future if it is used to address transfers, promotions, and attrition, by having successors
identified and trained to fill these key positions in a timely and sufficient manner (Flynn, 2014;
Hadar, 2013; McDermott & Marshall, 2016).
Changing industry requirements and technology also require nimble innovation that
requires greater exchange of knowledge (Hasani & Sheikhesmaeili, 2016; Xu, Houssin, Caillaud,
& Gardoni, 2011). Even after the current wave of retirements, WURC still needed to identify
employees with critical knowledge and experience who were promoted, transfer or leave the
COMPREHENSIVE SUCCESSION PLANNING 15
company. It was necessary to prepare its employees to fill such key positions before employees
with critical knowledge were going to leave their role.
Importance of Addressing the Problem
Today’s companies exist in a fast-changing world where they compete globally for top
talent and attempt to stay ahead of disruptive industrial forces. With relatively high turnover
compared to previous generations and with a greater need for effective flows of information and
personnel, it is more important than ever for companies to manage talent and knowledge as their
most important assets (Xu et al., 2011). In other words, succession planning is critical not only
for continuity of business as usual but to adapt to changes and to drive changes through
innovation (Acree-Hamann, 2016; Johnson, 2016; Orstavik, 2015). It is also important to fuel
personnel motivation through growth and increasing autonomy within the organization, which
requires active knowledge management, training and mentoring and results in lateral and
promotional movement.
Succession planning has been identified as a priority for WRUC for similar reasons. For a
utility like WRUC, it was even more imperative to improve its comprehensive succession
planning initiatives as fast as possible. The industry as a whole is experiencing a generational
gap with high rates of retirement and a lagging replacement with younger workers. WRUC’s
Power System faced additional challenges due to its large service area, aging infrastructure, and
equipment with various brands, vintages, design schemes and models. The Power System had the
challenge of maintaining operation of old equipment that was reaching end-of-life conditions
while adapting to a fast-changing industry – all while was experiencing record retirement rates
and a slow, civil service hiring process.
COMPREHENSIVE SUCCESSION PLANNING 16
It was, therefore, essential to speed up and improve the identification and evaluation of
at-risk, mission-critical knowledge so that it might be filtered, documented, and transferred. It
was imperative to develop and improve hiring and to mentor successors to effectively relay
knowledge, competencies, and skills from experienced predecessors. A comprehensive
succession plan was expected to result in significant return on investment by establishing best
practices for the new generation of workers. Succession planning continued to be relevant after
the current retirement wave, as employees moved laterally or promote.
Organizational Context and Mission
Western Region Utility Company (WRUC) is a utility company in the western region of
the United States. For several decades, WRUC pursued its mission to provide the customers and
the served communities safe, cost-effective and reliable water and electric service in the
environmentally responsible and customer-focused manner. WRUC comprised of three main
departments, (a) Power System; (b) Water System, and (c) Joint System with over 10,000
employees in many different disciplines. Based on WRUC Human Resources report (2016), the
employee demographics by generation at WRUC ware as the table 1.
Table 1
Employee demographics by generation at WRUC
Generation Number of staff Percentage
Silents (Born between 1925 and 1946) 64
0.6%

Baby Boomers (Born between 1946 and 1964) 4236
41.6%

Generation Xers (Born between 1965 and 1980) 4084 40%
Generation Ys or Millennials (born after 1980)

1816 17.8%
Active Staff 10,200

COMPREHENSIVE SUCCESSION PLANNING 17
Organizational Goal
The WRUC ‘s goal was to increase operational efficiency and innovation efforts in the
Power System Department (Power System) by 60% by 2021. This goal involved aspects such as
promote innovation research programs, implement comprehensive succession planning, increase
operational efficiency, management’s sustained collaboration and prioritization and develop and
implement a change management process. This goal was one the five-year goals of the Power
System ’s strategic plan which framed during 2016 and released in September 2016 after general
manager’s approval. The strategic plan formulated by strategy committee including Power
System managers and contribution of stakeholders. The achievement of the WRUC’s goal in this
matter was identified with benchmarks and Key Performance Indicators (KPI’s} defined in the
strategic plan.
It was important to understand key stockholders' needs to was able to increase operational
efficiency efforts by 60% by 2021 in alliance with the organization's performance goal for a
variety of reasons. If the organization did not increase efficiency, organizational effectiveness,
and innovation, it risked continuing delivering safe, reliable, low-cost water and power to the
customers in an environmentally responsible manner and meet the state and federal renewable
energy targets and compliances.
Description of Stakeholder Groups
The Human Resources department (HR) was one of the key stakeholders. It was
responsible for Recruitment & Selection, Personnel, Employee Health & Dental Benefits,
Workers’ Compensation, and Training & Development. The Information Technology Services
(ITS) was another key stakeholder. The ITS division was directed by the chief information officer,
who reported directly to the general manager. ITS’ mission was to create value and competitive
COMPREHENSIVE SUCCESSION PLANNING 18
advantage by collaboration, to implement innovative, high quality technology solutions rapidly,
and to provide a highly flexible, adaptive, reliable information, and communication infrastructure.
Power System managers were another key stakeholder group. The Power System was comprising
of six divisions, (a) Power Engineering Services Division; (b) Power Planning and Development
Division; (c) Power Transmission and Distribution Division; (d) Power Supply Operation
Division; (e) Power Construction and Maintenance Division; and (f) Power Fuel and Purchases
division. Managers were the decision makers and contributing to formulating and responsible for
implementing the strategic plan. They also led the subordinates to run the business and achieved
WRUC’s vision and goals.
Stakeholder Groups’ Performance Goals
Table 2
Organizational Mission, Global Goal, and Stakeholder Performance Goals
Organizational Mission
Providing customers and communities safe, reliable, and cost-effective water and power in a
customer-focused and environmentally responsible manner.
Organizational Performance Goal
By September 2021, WRUC will increase Power System’s operational efficiency and innovation
efforts by 60%
Stakeholder Goal
The Power System
managers’ goal
The Human Resource
Department’s goal

The Power System Information
Technology’s goal

By September 2019,
Power System
managers will
By September 2019, HR will
update the Integrated Human
Resource Planning (IHRP) to
By September 2019, IT will
implement the required systems and

COMPREHENSIVE SUCCESSION PLANNING 19
implement
comprehensive
succession planning
by 100%
identify all critical job
classes and develop a
succession plan.

software to support succession
planning

Stakeholder Group for the Study
While the joint efforts of all stakeholders contribute to the achievement of the overall
organizational goal of increasing Power System’s operational efficiency and innovation efforts by
60%, by 2021, the relatively hierarchical nature of the organization meant that changes must be
championed at the management level and above. Groups of managers are accountable for the
progress of strategic initiative goals at WRUC, including succession planning objectives. Hence,
it was important to evaluate where the Power System managers stood regarding progress toward
comprehensive succession planning. Therefore, the stakeholder of focus for this study was the
Power System managers. The stakeholder’s goal, per WRUC’s strategic initiatives, was to reach
100% implementation of comprehensive succession planning program by September 2019.
Comprehensive succession planning helps WRUC’s Power System to identify key
positions, nurturing and developing potential successors, validate, capture, and transfer at-risk and
mission-critical knowledge. Failure to accomplish this goal compromised the organization’s
mission readiness. Success may also increase operational efficiency and innovation efforts to
improve future mission readiness in a fast-changing utility environment. Failure to fully implement
comprehensive succession planning will lead to the loss of a vast amount of critical knowledge
and experience that could place operations of the Power System at great risk. The most recent
strategic plan revealed that Power System identified this goal and initiated short term objectives
to achieve implementing comprehensive succession planning by 2019. The WRUC had some
informal or limited succession planning efforts in place such as the New Engineering Associate
COMPREHENSIVE SUCCESSION PLANNING 20
Training (NEAT) program, selected shadowing, mentoring or overlapping during manager
transition. However, WRUC lacked a systematic, comprehensive plan that was optimized to
maximize chances of success and that could evaluate progress.
While the managers were the main stakeholder group, they require support from the
Human Resource Department (HR) and Information Technology System(ITS) group. HR was
able to update the Integrated Human Resource Planning (IHRP) to identify all critical job
classes, and also identify and develop potential successors. The ITS was able to support the
implementation of information systems required for comprehensive succession planning.
Purpose of the Project and Questions
The study aimed to conduct a need analysis in the areas of knowledge, motivation, and
organizational resources necessary to reach the WRUC goal of 100% implementation of
comprehensive succession planning in the Power System. The analysis began by generating a list
of possible needs and then moved to examining these systematically to focus on actual or validated
needs. While a complete needs analysis would focus on all stakeholders, for practical purposes
Power System managers was the stakeholder group of focus for this analysis. As such, the
questions that guided this study were the following:
1. What are the knowledge, motivation, and organizational needs necessary for the Power
System managers to reach 100% implementation of comprehensive succession planning
by September 2019?
2. What are the recommended knowledge, motivation, and organizational solutions to those
needs?
Conceptual and Methodological Framework
Clark and Estes’ (2008) gap analysis, a systematic, analytical method that helps to clarify
COMPREHENSIVE SUCCESSION PLANNING 21
organizational goals and identify the gap between the actual performance level and the preferred
performance level within an organization, were adapted for needs’ analysis as the conceptual
framework. The methodological framework for this study was a qualitative case study. Assumed
knowledge, motivation, and organizational needs were generated based on personal knowledge
and related literature. These needs were validated by using interviews, literature review and
content analysis. Research-based solutions were recommended and evaluated in a comprehensive
manner. The gap analysis process consists of six phases as shown in Figure 1.

Figure 1. Gap analysis process. Adapted from Clark and Estes (2008)
Definitions
The terms listed below are operationally defined for the purpose of this study.
1- Comprehensive Succession Planning: Comprehensive succession planning is a proactive,
systematic process to identify, evaluate, and prepare people to replace key personnel within
an organization who will leave their role. It recognizes and plans for the inevitability of key
COMPREHENSIVE SUCCESSION PLANNING 22
personnel eventually retiring, promoting, transferring, or otherwise leaving their
organizations. Key positions that often considered those that have the most impact on an
organization’s stability, production, growth, and strategic initiatives. (Johnson, 2016).
2- West Region Utility Company (WRUC): The Western Region Utility Company (WRUC) is
civic utility company in the western region of the United States. WRUC comprises of 3 main
departments, (a)Power System; (b) Water System, and (c) Joint System with over 10,000
employees in many different disciplines
3- Knowledge Management (KM): A management practice that assures continual viability and
competitiveness through incremental and breakthrough innovation by proactively and
systematically applying people (culture), technology (IT), and processes to identify, capture,
validate, share, transform, create, and leverage intellectual capital (knowledge) through
formal and informal means.
Organization of the Project
Five chapters were used to organize this study. This chapter provided the reader with the
key concepts and terminology commonly found in a discussion about implementing
comprehensive succession planning in the WRUC’s Power System. The organization’s mission,
goals, and stakeholders as well as the initial concepts of gap analysis adapted to needs analysis
were introduced. Chapter 2 provided a review of the current literature surrounding the scope of the
study. Topics of defining Succession Planning, the importance of Succession Planning, factors
related to successful succession planning implementation, the organizational performance impact
of succession planning, and challenges to implementing succession planning were addressed.
Chapter 3 detailed the assumed needs for this study as well as a methodology when it comes to
choose of participants, data collection, and analysis. In Chapter 4, the data and results were
COMPREHENSIVE SUCCESSION PLANNING 23
assessed and analyzed. Chapter 5 provided solutions, based on data and literature, for addressing
the needs and closing the performance gap as well as recommendations for an implementation and
evaluation plan for the solutions.

COMPREHENSIVE SUCCESSION PLANNING 24
CHAPTER 2: REVIEW OF THE LITERATURE
Many of organizations are facing the problem of the so-called “graying” of the
workforce. According to the Pew Research Center report in the U.S., 10,000 baby boomers will
turn 65 years old every day over the next two decades (Cohn & Taylor, 2010). As they retire,
there will be more job vacancies, and fewer similarly experienced employees ready to fill their
positions, including critical knowledge worker vacancies (McDermott & Marshall, 2016).
McDermott and Marshall (2016) advocate that if a company is at risk of losing its most skilled
and experienced employees, succession planning can limit the impact of their absence and ensure
the stability and long-term continuity of business.
This literature review examined the root causes of gaps in the implementation of
comprehensive succession planning in the Power System to set the stage for successful
comprehensive succession planning implementation. The review begins with an in-depth
overview of the literature on Succession Planning definitions, including general definitions,
succession planning and knowledge management, and different approaches to succession
planning. The chapter then explored the advantages of implementing a comprehensive
succession planning. This section includes current researches on the organizational performance
impact of succession planning. The review presented an in-depth discussion on implementing
succession planning in organizations with a focus on proactive actions for effective succession
planning and succession planning. The chapter then delves into the challenges to successful
implementation of succession planning. Following the general research literature, the review
turned to the Clark and Estes Gap Analytic Conceptual Framework and, specifically, knowledge,
motivation and organizational influences on Power System’s executives and managers’ ability to
implement the succession planning in Power System.
COMPREHENSIVE SUCCESSION PLANNING 25
General Literature
Succession Planning General Definitions
Succession planning is a process to successfully identify and prepare personnel to replace
employees that hold key positions (Ip & Jacobs, 2006:Johnson, 2016; Moradi, 2014). Johnson
(2016) defines key positions as those that could have the most impact on stability, production,
growth or strategic initiatives. Succession planning was initially conceived of as a risk
management strategy designed to mitigate the loss of key leaders in large organizations
(Rothwell, 2010). McDermott and Marshall (2016) point out that some organizations focus on
their senior leadership, others also include specific individuals with the potential to fulfill
mission-critical positions, while others include all employees. Succession planning may or may
not include formal or complex processes. However, succession planning has been described as a
structured, systematic effort performed in a deliberate and proactive manner (McDermott &
Marshall, 2016). Launa (2012) defines succession planning as a "systemic, long-term process of
determining goals, needs, and roles within an organization and preparing individuals or
employee groups for responsibilities relative to work needed within an organization" (p. 60).
Johnson (2016) describes it within a human resource development context, as a plan to develop
talented leaders and a strategy to retain an organization’s talent. With a structured learning and
development plan, coaching and mentoring, and challenging assignments, an organization is
better prepared for retention, development and succession challenges (Johnson, 2016).
Succession Planning And Knowledge Management
Today, succession planning serves as a tool to manage knowledge and change, develop
leadership capacity, build smart teams, and retain and deploy talent in a manner that helps an
organization operate to its greatest potential (Groves, 2003). Sweeney (2013) and Moradi (2014)
COMPREHENSIVE SUCCESSION PLANNING 26
remark that succession planning is a very useful tool to help manage the transfer and diffusion of
knowledge within an organization. Additionally, succession planning can be used to generate
knowledge to achieve cost and operational efficiencies (Peet, 2012). Sweeney (2013) recognizes
transferring the wealth of knowledge accrued by baby boomers to younger generations with
minimal impact on productivity as the utmost importance of the succession planning. Griffiths
(2012) argues that planning for succession is necessary to maintain and develop knowledge and
talent in a volatile political economy marked by international competition and the omnipresent
need to be cost effective. After all, knowledge, both tacit and explicit, is one of the most
important sources of competitive advantage in contemporary organizations (Pfeffer, 1998). It can
be seen that one important part of succession planning can be described as knowledge
management. Knowledge Management is a systematic effort to find, select, organize,
disseminate, transfer and activate important information and expertise within an organization that
is necessary for its ongoing success (Alavi & Leidner, 2001; Nonaka, 1994).
Succession Planning Approaches
Flynn (2014) contrasts proactive succession planning with reactive scrambling.
Proactively planning means reach out early and often to start conversations around succession
(Flynn, 2014). Well in advance of retirement, transfer or promotion, organizations need to work
with both their existing critical knowledge workers and the individuals that could replace them.
Succession planning is not achieved overnight. Rather, it should be a strategically planned
project that runs for several years from start to finish for every succession, targeting a smooth
transition for all parties involved (Flynn, 2014; Rothwell, 2010; Sweeney, 201). It is increasingly
important to develop an effective succession plan sooner rather than later (Sweeney, 2013;
Johnson, 2016). Flynn (2014) describes how the “firefighting” of reactively scrambling does not
COMPREHENSIVE SUCCESSION PLANNING 27
have a track record of creating positive momentum. It can distract leadership from golden
opportunities to one’s business (Flynn, 2014).
The Advantage of Succession Planning
Succession planning provides continuity of work in the absence of key staff as well as
creating a pipeline of qualified and motivated people (Johnson, 2016; McDermott & Marshall,
2016). It represents a commitment to developing their career paths, leading to a positive
reputation for investing in and valuing employees, helping attract and retain talent. Johnson
(2016) further asserts that failing to replace key positions can have an impact on the on-boarding
of new staff, the continuing competence of the current staff, with potential impact on quality and
safety. Succession planning develops internal human resources by defining objectives for
recruitment initiatives, designing special training programs and developing job-ladders (Moradi,
2014). Effective succession planning instills confidence in the employees of an organization
(Bolt, 1989) and improves buy-in to the organization's culture (Clunies, 2007).
Succession Planning and Organizational Performance
Collins (2009) argues that achieving lasting organizational success can provide an
effective framework for demonstrating the value of succession planning programs. Literature
suggests that succession planning results in better post-succession business performance (Collins
& Collins, 2007; Ip & Jacobs, 2006; Zhang & Rajagopalan, 2004) and is associated with higher
motivation, improved productivity, and greater employee loyalty, all of which are crucial to
organizational performance (Kim, 2012).
Corporate performance is a multi-dimensional concept that is not limited to quarterly
earnings. Measures of performance consider a firm’s position vis-à-vis its competitors regarding
overall value creation, which is affected by succession planning and knowledge management.
COMPREHENSIVE SUCCESSION PLANNING 28
One of the better-known measures of organizational performance is the Balanced Scorecard
(Kaplan & Norton, 1996). It is no surprise that studies have established the importance of
effective leadership in ensuring high organizational and financial performance (Carriere,
Muise, & Newburn-Cook, 2009; Collins, 2009; Garman & Tyler, 2004; Ip & Jacobs, 2006;
Karaevli & Hall, 2003). Capuano (2013) goes as far as concluding that keeping talented
management and other critical knowledge workers by collaboratively planning their succession
is tantamount to long-term organizational survival. By effectively planning for succession,
organizations can realize cost savings and achieve the synergies necessary to thrive within the
rapidly evolving contexts in which they operate (Sweeney, 2013).
Succession Planning Implementation
Sweeney (2013) emphasizes that when succession planning is not proactive, it is rendered
ineffective. Those seeking to plan for succession need to consider several steps, courses of
action, and organization characteristics such as industry, type, size, structure and strategy
(Bjomberg & Nicholson, 2012; Jarell & Pewitt 2007; Pissari, Weinstein, & Stephen., 2010;
Sweeney, 2013; Zepeda, Bengtson, & Parylo., 2012).
Proactive Actions for Effective Succession Planning
It is crucial for a succession plan to be proactive and designed as a part of a company’s
strategic plan (Reid & Gilmour 2009; Rothwell, 2010). Hargreaves and Fink (2006) suggest
several considerations for effective succession planning such as preparing a plan well in advance.
It is also important to schedule sufficient preparation and implementation time to all parties
involved. Coordinating it alongside other improvement and change programs can also be
effective. Specify roles and responsibilities of all stakeholders and considering current and future
organizational needs is also recommended. There are many proactive steps that can be taken to
COMPREHENSIVE SUCCESSION PLANNING 29
improve the odds of effective succession planning, including linking to the necessary standards
and competencies. Reid and Gilmour (2009) emphasize that successful case studies demonstrate
the plan must also be well communicated throughout the organization and integrated with overall
organizational strategy. Importantly, succession planning should be incorporated into
recruitment, selection, retention, and development mechanisms.
Zepeda and colleagues (2012) insist that it is necessary to design a succession plan that
reflects the particular needs of an organization, which may vary according to factors like its size
and expected growth rate. For example, small, flexible organizations with a small formal
leadership team may not respond well to the rigid and very formal succession plan. A plan
focused on the knowledge dissemination could be most effective. On the other hand, larger, more
complex or faster-growing organizations may find more benefit in defining the skills and
knowledge necessary for key roles to identify and prepare potential successors. Moreover,
private sector organizations tend to concern themselves more with planning for the succession of
top management (Pissari et al., 2010), while public sector organizations which often have well-
defined job ladders and organizational designs emphasize promotion from within at all levels to
develop and retain talent (Reilly, 2008). Internal candidates are often seen as suitable for a
succession of a CEO in organizations that are highly complex, multi-divisional, and international
(Conger & Fulmer, 2003).
When planning for succession in smaller organizations, it is important to structure it as a
sequence of change processes over time, rather than attempting to implement a plan all at once
(Bjomberg & Nicholson, 2012). Therefore, the succession process may last several years and
involve numerous stages (Chrisman, Chua, & Sharma, 1998), allowing for the gradual
development of critical skills and knowledge, guided by more senior personnel. The plan should
COMPREHENSIVE SUCCESSION PLANNING 30
also reflect the type of organization. For instance, for municipalities, it may be even more
advantageous for leaders to hire outside consultants to receive more objective assistance in
developing a plan (Jarell & Pewitt, 2007). Jarell and Pewitt (2007) believe that open
conversations about retirement with older managers and critical knowledge workers are not as
common in municipal management, but they are crucial for effective planning.
Most succession planning efforts fall short because they are not appropriately designed
(Charan, 2008). However, as indicated by Charan (2008), even well-designed programs fail to
translate completely from paper to reality. Many plans end up only partially or unevenly
implemented, with teams unable to sustain commitment to overcome initial challenges. Reid and
Gilmour (2009) stress that implementation teams need to pay close attention to managerial and
leadership development at all levels of the organization, not just the top level. Mid-level manager
buy-in and accountability are crucial factors to the success of a succession planning (McDermott
& Marshall, 2016). The executive team and human resource professionals should share
responsibility for and commitment to the plan with division managers, local unit supervisors and
front line champions (Conger & Fulmer, 2003).
Succession Planning Process
There are evidence-based steps that have helped organizations successfully implement
succession planning (McDermott & Marshall, 2016). Steps can also be designed to address
pitfalls from unsuccessful case studies. It is possible to synthesize and organize the various steps
into a classic Plan, Do, Check, Act (PDCA) cycle, to reflect that succession planning is not a
one-time act. Table 3 summarizes the PDCA cycle of succession planning process. It should be
considered on an ongoing basis and reviewed as organizational strategy evolves and talent
changes (McDermott & Marshall, 2016).
COMPREHENSIVE SUCCESSION PLANNING 31
Table 3
PDCA Cycle of Succession Planning Process
PLAN
P1. Identify critical positions based on projected needs
P2. Determine when key positions that may become vacated
P3. Identify required competencies for each critical position
P4. Assess and select talented candidates (performance, potential, motivation)
P5. Perform a competency gap analysis for each potential successor
P6. Develop plan to address each type of competency gap
P7. Design custom development plans for each successor
DO
D1. Carry out the development plans
D2. Mentor the successor candidates to maintain a viable talent pool
CHEK
C1. Monitor development over time as staff are moved into new positions
C2. Periodically re-assess and evaluate the program for effectiveness
ACT
A1. Adapt the plan to evolving needs and performance for continual improvement

Succession planning can result in numerous benefits to an organization, from the
continuity of critical functions to improved retention, as mentioned in the introduction. However,
The Center for State and Local Government Excellence, in a 2016 study, shows that many
organizations still fail to formulate, let alone successfully implement, succession planning.
Following an evidence-based process can help address this industry challenge
Challenges to Successful Implementation of Succession Planning
Researchers have identified common barriers to successful implementation of succession
planning (Johnson, 2016; Leland, Elliott, O'Malley, & Murphy, 2012; Sweeney, 2013).
Identified challenges include barriers related to organizational characteristics, resource
availability, culture, and policy.
The size and type of an organization can present difficulties for succession planning
(Johnson, 2016). Organizations may be organized into ‘siloed’ groups that limit the flow of
people and knowledge (Sweeney, 2013). Some types of organizations are affected by their
COMPREHENSIVE SUCCESSION PLANNING 32
complexity and internal and external politics. For instance, external mandates may impose
priorities that compete with succession planning (Leland, Carman, & Swartz, 2012).
Resource availability can be a barrier to successful implementation of succession
planning. Common resource challenges include financial and appropriate human resources for
implementation (Johnson, 2016; NAPA, 1997). Besides lack of money, the ineffective budget
allocation is a common carrier. A lack of human resources for development and implementation
can also be a challenge (Johnson, 2016; Sweeney, 2013). Competition for talents, leadership role
models, and lack of framework provide a point of reference as the frequent difficulties
organizations face (Sweeney, 2013).
There are often cultural characteristics such as dominant values, attitudes, and behaviors
that impede successful implementation of succession planning (Sweeney, 2013). For instance,
there are cases where succession planning is ascribed a low priority from top management and
key leaders, despite sufficient resource availability.
Finally, the policy identifies as a barrier to succession planning. Policies are rules and
guidelines established by leadership to provide norms and guidance on acceptable or preferred
actions and processes. HR policies are guidelines for action on people-related business issues and
the development of HR programs and practices based on strategic needs (Schuler, 1992).
Incentives are rewards intended to elicit the right level and type of effort from employees
(Jeffrey, 2004). Jeffery (2004) explains that incentives may be monetary or non-monetary,
tangible or intangible. An example of a non-monetary, intangible incentive is some flexible time
to pursue projects of interest or a sense of meaningful accomplishment derived from an
understanding of the benefits of succession planning (Jeffrey, 2004).
COMPREHENSIVE SUCCESSION PLANNING 33
Policies that can have an impact on succession planning include talent management
issues or inadequate incentives. Talent Management challenges includes lack of retirements
(people staying longer in the workforce), high turnover, inadequate employee development, and
lack of timely promotion (Johnson, 2016).
Some of the barriers are more pronounced or typical in municipal organizations. One of
the most common is a high turnover of senior leaders due to changes in elected officials that
appoint them (Leland et al., 2012). In the absence of a long-term non-partisan framework,
successors may follow wildly different political priorities that can limit available resources at
times or that render some long-term planning an inefficient use of resources. Promotions and
advancements in municipal organizations are often affected by the politics of the day (Sweeney,
2013).
Summary of General Literature
Succession planning is a structured, systematic, and long-term process to successfully,
identify and prepare personnel to replace employees that hold key positions (Johnson, 2016;
Leland, Elliott, O'Malley, & Murphy, 2012; Sweeney, 2013). Visionary companies differentiate
themselves with a proactive, rather than reactive, approach to succession planning. Succession
planning should start as early as possible and planned as part of organizational strategy.
Strategically, proactive succession planning helps organizations to be prepared in advance to
provide continuity of work when key staffs vacate their positions (Johnson, 2016; McDermott &
Marshall, 2016).
Effectively implemented succession planning creates a pipeline of qualified and
motivated people. Furthermore, successfully implemented succession planning helps to maintain
and develop knowledge and retain talent within organizations (Griffiths, 2012). Despite research-
COMPREHENSIVE SUCCESSION PLANNING 34
based benefits of succession planning, state and local human resource officials recognize
succession planning challenges as a top workforce concern. It seems that there are many
organizations that have not yet developed their formal succession planning. Scholarly research
points to different barriers and challenges including organizational characteristics, resource
availability, culture, and policy that hinder successful implementation of succession planning
(Johnson, 2016; Launa, 2012; McDermott & Marshall, 2016; Moradi, 2014; Sweeny, 2013).
Western Region Utility Company (WRUC) is a municipal utility. The WRUC’s Power
System had recognized succession planning as a major concern. However, it had experienced
challenges developing and implementing comprehensive succession planning. To address this
performance gap, this general literature review analyzed scholarly literature pertaining to
definitions, approaches, benefits, implementation, and root causes of challenges to successful
succession planning. WRUC’s Power System might be able to apply the insights of this research
study to meet its goal of 100% implementation of comprehensive succession planning by 2019.
The Clark and Estes (2008) Gap Analytic Conceptual Framework
Clark and Estes (2008) provide a systematic, analytic framework to study the gap
between actual performance levels and goals for organizations and stakeholders that considers
knowledge, motivation and organizational factors (Clark & Estes, 2008). Krathwohl (2002)
classifies knowledge and skills required to achieve a goal as either (a) factual; (b) conceptual; (c)
procedural; or (d) metacognitive. In addition to stakeholders knowing how to achieve a
performance goal, motivation may be a major challenge. Motivational influences include the
choice to consider goal achievement, continuing to work towards the goal and the mental effort
to accomplish the goal (Clark & Estes, 2008; Rueda, 2011). Multiple motivational principles
such as self-efficacy, attributions, values, and goals can be considered when analyzing the
COMPREHENSIVE SUCCESSION PLANNING 35
performance gap (Rueda, 2011). Finally, organizational influences on stakeholder performance
to consider may include work process, resources, value chains and streams, and workplace
culture (Clark & Estes, 2008).
Each of these elements of Clark and Estes’ (2008) gap analysis were addressed below in
terms of the Power System managers’ knowledge, motivation and organizational needs to meet
their performance goal of implementing a comprehensive succession planning by September
2019. The first section was a discussion of assumed influences on stakeholder performance goal
in the context of knowledge and skills. Next, assumed influences on the attainment of the
stakeholder goal from the perspective of motivation were considered. Finally, assumed
organizational influences on the achievement of the stakeholder goal were explored. Each of
these assumed stakeholder knowledge, motivation and organizational influences on performance
were examined through the methodology discussed in Chapter 3.
Knowledge and Skills Influences
The main purpose of this section was to review literature that focuses on knowledge and
skills-related influences that pertained to the stakeholder focus group of this study. The managers
were stakeholder focus group in charge of implementing comprehensive succession planning at
the Power System. Clark and Estes (2008) remark that individual and team knowledge and skills
comprise one the three critical factors when analyzing performance gap. Based on knowledge
classification, there are four major types of knowledge which are critical for optimizing
performance goals: (a) factual; (b) conceptual; (c) procedural; and (d) metacognitive knowledge
(Krathwohl, 2002). Factual knowledge is the knowledge of facts, definitions, and any specific and
distinct types of knowledge (Krathwohl, 2002). The knowledge of principles, theories, models,
and classifications which is more organized and complex than factual knowledge is classified as
COMPREHENSIVE SUCCESSION PLANNING 36
conceptual knowledge (Krathwohl, 2002). Procedural knowledge is classified as the knowledge of
how to do something and metacognitive knowledge is the knowledge of individuals about their
own cognitive processes (Krathwohl, 2002). The factual and conceptual types of knowledge can
be understood as the “knowledge of what” or declarative knowledge (Krathwohl, 2002; Rueda,
2011). Evaluating all four dimensions is recommended when conducting a gap analysis.
The concept of succession planning. Succession planning is a systematic, long-term
process to successfully identify and prepare personnel to replace employees that hold key positions
(Johnson, 2016; Ip & Jacobs, 2006; Launa, 2012; Moradi, 2014). The first step in implementing a
comprehensive succession planning is to assess the level of understanding of succession planning
within the Power System managers.
Gap analysis examined the Power System managers’ know-how through qualitative
assessments. It examined whether the focus group incorporates state-of-the-art insights such as:
succession planning is a systemic, long-term process (Launa, 2012) or implementation teams
needed to pay close attention to managerial and leadership development at all levels of the
organization, not just the top level (Reid & Gilmour, 2009). In addition, there are two different
approaches to implement succession planning; proactive and reactive scrambling (Flynn, 2014).
Also, succession planning serves as a tool to generate and manage organizational knowledge
(Griffiths, 2012; Groves, 2003; Moradi, 2014; Sweeney 2013).
The Power System managers’ goal was to implement a comprehensive succession planning
that aligned Power System’s operational efficiency and innovation efforts with providing reliable
and affordable electricity in an environmentally responsible manner. To ensure success, it was
important to assess the foundational knowledge of the Power System managers about succession
planning. This conceptual knowledge allowed Power System’s manager to recognize the
COMPREHENSIVE SUCCESSION PLANNING 37
importance of proactively implementing the comprehensive succession planning to manage at-risk
and mission related knowledge and skills at an early stage.
How to implement the succession planning. Having a foundational succession planning
concept is not sufficient (Rueda, 2011). It is essential to determine if the organization knows how
to successfully implement a comprehensive succession planning and what might be missing. It is
important to identify the practical principles and steps that are used or will be applied to
succession planning. Succession planning is a systemic, long-term process (Johnson, 2016; Ip &
Jacobs, 2006; Launa, 2012; Moradi, 2014) which it is possible to synthesize and organize the
various steps into a classic PDCA cycle. Procedural knowledge was related to the
implementation of a comprehensive succession planning that aligns Power System’s operational
efficiency and innovation efforts with providing reliable and affordable electricity in an
environmentally responsible manner. The Power System managers needed to know how to
determine critical positions based on projected needs, how to identify required competencies for
each critical position, how to assess and select talented candidates. Also, they needed to know
how to perform a competency gap analysis for each potential successor, how to determine the
technology required supporting succession planning, and how to evaluate the effectiveness of
succession planning. Evaluating the Power System’s knowledge of how to successfully
implement the comprehensive succession planning was essential to increase the probability of
the desired outcome.
The conceptual and procedural knowledge approaches can aid in the development and
successful implementation of comprehensive succession planning. Overlooking any of these
aspects could result in frustrating results, with undesirable effects on the organizational culture. In
addition, effective succession planning instills confidence in the employees of an organization
COMPREHENSIVE SUCCESSION PLANNING 38
(Bolt, 1989) and improves buy-in to the organization's culture (Clunies, 2007). On the other hand,
successful implementation will result in keeping talented management and other critical
knowledge workers by collaboratively planning their succession are tantamount to long-term
organizational survival (Capuano, 2013). Table 4 illustrates the Organizational Mission and Global
Goal as well as the Power System managers’ goal and the two knowledge influences and
assessments associated with this stakeholder goal.
Table 4
Stakeholder Goal and Knowledge Influence, Type, and Assessment for Knowledge Gap Analysis
Organizational Mission
Providing customers and communities safe, reliable and cost-effective water and power in a
customer-focused and environmentally responsible manner.
Organizational Global Goal
By September 2021, WRUC will increase Power System’s operational efficiency and
innovation efforts by 60%
Stakeholder Goal
By September 2019 Power System managers will implement a comprehensive
succession planning by 100%
Knowledge Influence Knowledge Type Knowledge Influence Assessment
Power System managers need
to know the concept of
succession planning

Declarative
(Conceptual)
Power System managers were
asked to explain through interviews
the definition of succession
planning.
Power System managers need
to know how to implement the
succession planning
Procedural Power System managers were
asked to explain through interviews
the succession planning
implementation process.

Motivation Influences
Clark and Estes (2008) believe that knowledge and motivation are two very distinct but
cooperating, crucial psychological systems. Knowledge is the key to how to do things, but
COMPREHENSIVE SUCCESSION PLANNING 39
motivation is an engine to get started, keep individuals going and help them overcome the
problems they face and to apply the adequate level of mental and physical effort on the tasks to
reach their goals and objectives (Clark & Estes, 2008). Initiating and sustaining goal directed
behavior is a result of motivation (Mayer, 2011).
Motivation is important because it improves performance (Clark & Estes, 2008). When
individuals become more engaged because they are able to work on tasks they find more
rewarding, they tend to become more confident, effective, collaborative and motivated to achieve
higher proficiency (Eccles, 2006; Pajares, 2006; Schraw & Lehman, 2009; Yough & Anderman,
2006). Clark and Estes (2008) revealed three motivational indicators: active choice, persistence,
and mental effort. Applying this framework in organizational contexts and tailoring it to this
motivation gap analysis can translate accordingly to stakeholder’s willingness to choose to start a
goal-oriented task. Also, their ability to focus on achieving that task over time, and the amount of
resources, and cognitive efforts they are willing to commit when completing the goal-oriented task
(Eccles, 2006). The primary goal of the motivation gap analysis was to determine how motivated
the Power System managers were to initiate and successfully implement a comprehensive
succession planning. This principle would also naturally find its way into comprehensive
succession planning strategy itself.
The focus of the literature review in this section was to look at the motivational indicators
and the Power System managers’ values and their efficacy regarding implementing the
comprehensive succession planning. The goal of this section was to examine the motivational
indicators and the three motivational influences that adequately describe the Power System
managers’ motivation. Assessing all three motivational indicators helped to find which area needed
COMPREHENSIVE SUCCESSION PLANNING 40
to be addressed and analyzed to prepare a proper and relevant plan in action to address gaps
(Eccles, 2006).
Expectancy value theory. Understanding an individual’s expectation and value of
success and associated tasks can play an important role in predicting performance (Eccles, 2006).
The expectancy value model predicts that motivation increases the more one values the task and
associated outcomes. Individuals are driven by intrinsic interest, attainment value, utility value,
and perceived cost (Eccles, 2006; Pajares, 2006). Perceived cost is influenced by beliefs about
the effort, trade-offs or cost of participation (Eccles, 2006).
Power System managers’ expectations and values. Using the expectancy value theory
and the perceived cost/value benefit construct helped identify motivational factors that determine
managers’ choices, persistence, and effort, financial and otherwise. Perceived cost and benefit is
linked to managers’ willingness and persistence to implement comprehensive succession
planning. Improved post-succession business performance (Collins & Collins, 2007; Ip &
Jacobs, 2006; Zhang & Rajagopalan, 2004) which is associated with higher motivation,
increased productivity, and greater employee loyalty are encouraging factors for organizations to
implement succession planning. Achieving lasting organizational success, keeping talented
managers and other critical knowledge workers, cost savings and attaining necessary synergies to
thrive within rapidly evolving contexts are some of the benefits of the effectively implementing
succession planning (Capuano, 2013; Sweeney, 2013).
Motivated Power System managers will likely believe that their efforts to accelerate
comprehensive succession planning will result in the sustainable development and meet current
and future challenges. The improved outlook for accountability to all stakeholders provided by
succession planning should provide ample motivation to managers. Motivation can spring from
COMPREHENSIVE SUCCESSION PLANNING 41
an understanding that succession planning can lead to retaining at-risk valuable institutional
knowledge, fostering creativity and innovation, and improving organizational process and
performance. Sufficiently motivated managers will value the resources and effort invested in
implementing a comprehensive succession planning. The expectancy value theory and perceived
cost/value benefit construct identified motivational drivers related to Power System managers’
performance in implementing comprehensive succession planning.
Self-efficacy theory. Self-efficacy judgments are beliefs about one’s capabilities to
achieve goals or perform well enough (Pajares, 2006). According to social cognitive theory, self-
efficacy beliefs play a major role in performance, motivation, and mental health (Pajares, 2006).
When workers or managers are confident in their competencies, they tend to be more motivated
(Bandura, 2000; Pajares, 2006). In other words, an expectation of success often leads to greater
motivation, then an expectation of failure. Self-efficacy helps individuals regulate choice,
persistence, and mental effort expended in challenging tasks (Pajares, 2006). The slow pace of
implementation of the succession plan by Power System’s manager might be linked to self-
efficacy theory.
Power System managers’ self-efficacy. A report by the Center for State and Local
Government Excellence (2016) indicates that succession planning is a major human resource
concern for state and local organizations, yet few have developed formal and proactive
responses. This report further shows that 27% of 295 surveyed organizations did not plan to
develop a process in the next five years or were not familiar with succession planning. It is
possible for managers to be aware of the challenge and its importance, but feel that they lack the
knowledge and ability to overcome the problem. In such cases, self-efficacy theory can be useful
COMPREHENSIVE SUCCESSION PLANNING 42
to identify factors affecting motivation and commitment toward implementation of
comprehensive succession planning.
Lack of self-confidence regarding their chances of succeeding could affect Power System
managers' motivation to participate, persist, and invest mental effort toward comprehensive
succession planning. From this perspective, it could be advantageous for Power System
managers to assess whether key change agents were disappointed or became discouraged. The
Power System managers had a written goal, but the organization might continue to fall short
without confidence in their capability to achieve comprehensive succession planning. If enough
managers understand, believe in, and champion the benefits of implementation, such as
improved organization performance and critical mission continuity through retaining of at-risk
valuable knowledge, they are more confident to gain management support to implement this
project. In addition, the Power System managers need to find themselves capable of overcoming
organizational challenges, obtaining widespread buy-in and allocating organization resources to
successfully implement comprehensive succession planning. The self-efficacy theory can reveal
some motivational issues that could either limit or enhance participation. Table 5 summarizes
stakeholder goals, motivational influences, and assessments required for motivation gap analysis
Table 5
Stakeholder Goal, Motivational Influence, and Assessment for Motivation Gap Analysis
Organizational Mission
Providing customers and communities safe, reliable and cost-effective water and power in a
customer-focused and environmentally responsible manner.
Organizational Global Goal
By September 2021, WRUC will increase Power System’s operational efficiency and
innovation efforts by 60%
Stakeholder Goal
By September 2019 Power System managers will implement a comprehensive succession
planning by 100%
COMPREHENSIVE SUCCESSION PLANNING 43
Motivational Indicator(s)
Persistence and mental effort
Assumed Motivation Influences Motivational Influence Assessment
Expectancy-Value Theory
Power System managers need to
understand that allocating the significant
resources for implement a comprehensive
succession planning is valued in compare
with the cost of losing key leaders and
skilled and knowledgeable workers due to
promotion or retirement.
Power System managers were asked to explain
through interviews their ideas about the importance
of implement a comprehensive succession planning
and associated costs in Power System?
Self-efficacy
Power System managers need to believe
their ability to overcome the challenges,
obstacles, and barriers in their way to
implement a comprehensive succession
planning.

Power System managers were asked to explain
through interviews their ideas about their
ability in overcoming challenges and obstacle
on implementing comprehensive succession plannin
g?

Organizational Influences
Organizational characteristics can have a substantial impact on the implementation of
comprehensive succession planning. Knowledge and motivation are not enough to complete, task
managers must have the necessary resources available to them for completion of tasks (Clark &
Estes, 2008; Rueda, 2011). The following review examined literature that focuses on
organizational-related influences pertinent to the achievement of WRUC's organizational goal of
increasing the Power System’s operational efficiency and innovation efforts by 60%, by
September 2021. The literature review targeted the Power System 's managers intermediate goal
to implement a comprehensive succession planning by 100%, by September 2019. A literature
review analysis identified the types of organizational influences that may be impacting
achievement of these goals. In the following, researcher provided evidence for each of findings
under theme one.
COMPREHENSIVE SUCCESSION PLANNING 44
Cultural models and setting. Culture is defined as basic assumptions generated over
time through group problem solving, or learning, that are taught to new group members as norms
or informal rules (Schein, 2004). Shared systems of meaning can exist at several interrelated
levels, including individuals, groups, organizations, nationally, and globally (Erez & Gati, 2004).
Cultural strength, or the strength of shared assumptions, are dependent on the homogeneity of
individual perceptions, that is, on stable membership within the group (Erez & Gati, 2004;
Schein, 2004). Proper organizational culture is crucial to enable free knowledge and information
sharing (Nowacki & Bachnik, 2016).
Cultural models and settings were evaluated to assess the impact of organizational factors
on the achievement of stakeholder goals. Cultural models often go unnoticed by those who hold
them; they are often invisible (Gallimore & Goldenberg, 2001). Cultural models are automated
values, beliefs, and attitudes expressed through cultural practices (Rueda, 2011). Examples of
these invisible, cultural models in organizations include leadership style, lack of culture of
inquiry, and accountability. Cultural settings, or social contexts, are where cultural models are
manifested in visible, concrete, and measurable practices (Rueda, 2011). Examples of cultural
settings include ineffective policies and procedures. Exploring the relationship between cultural
models and cultural settings can provide a holistic view of organizational influences on goal
achievement.
Cultural model: Accountablity. The concept of accountability has four key elements:
(1) a contractual relationship between a provider and a director, (2) the provider is held
responsible for providing goods or services, (3) the provider's performance is assessed on
whether goods or services are provided, (4) and the director rewards or sanctions the provider
based on performance (Stecher & Kirby, 2004). According to Grubb and Badway (2005), an
COMPREHENSIVE SUCCESSION PLANNING 45
adequate system of internal accountability is required to lead to the desired external
accountability. The WRUC can better meet external accountability measures as required by the
local City, Energy Commission (EC), Federal Electric Regulatory Commission (FERC), North
American Electric Reliability Corporation (NERC), and Western Electricity Coordinating
Council (WECC) by implementing a succession plan.
Accountability and Power System managers. Succession planning needs executives
and senior management’s commitment and support to insure its success (Ohio’s Talent for
Tomorrow and Beyond, 2011). The Power System managers must be held accountable for
capturing the at-risk and mission-critical knowledge. Succession was identified as a priority in
Power Systems’ Integrated Resource Plan and Integrated Human Resource Plan (IHRP)
developed by upper and middle management (WRUC, 2016). The Power System managers were
identified as the group responsible for developing and managing a succession plan. To date,
however, the Power System managers had not taken considerable and practical action yet.
Greater Power System managers’ accountability for an effective succession plan would help to
bring about serious action and successful implementation of comprehensive succession planning.
Cultural setting: Policy. Complexity and politics can also interfere with succession
planning (Leland et al., 2012). It is known that organizational policies can present barriers to
succession planning. Talent management and incentive policies are common sources of
challenges to succession planning. Inadequate talent management policies can lead to too few
retirements, high turnover, inadequate employee development, or lack of timely promotion
(Johnson, 2016). In municipal organizations, one of the most common barriers to succession
planning is high turnover of senior leaders due to the policy of having elected officials appoint
COMPREHENSIVE SUCCESSION PLANNING 46
them. Even high-level promotions and advancements in municipal organizations can be affected
by the politics of the day (Sweeney, 2013).
WRUC policy and Power System managers. As is often the case with municipal
utilities, external reports have pointed out that high turnover of senior leadership due to political
appointment policies hinder succession planning (Leland et al., 2012). Human Resources is not
able to have a long-term systematic process to identify and prepare a successor because they are
appointed by an elected official with short notice. One of the advantages of succession planning
is to motivate potential successors(Johnson, 2016). Political appointments can lead to
disappointment, anxiety, and lack of motivation among potential successors.
The WRUC positions were defined and filled according to civil service rules that may be
effective for clerical positions, for instance, but were not optimal for critical, specialist
knowledge workers and leaders required in Power System organizations. The Power System’s
Integrated Human Resource Plan (WRUC, 2016) argued that after identifying potential vacancies
that require critical competencies, Human resource department did not have the flexibility to hire
successors ahead of time, as deemed necessary. Often, successors could only be hired or
transferred once the predecessor had already transferred or retired due to budgeting or civil
service policies (WRUC, 2016). The high mission-critical work load means that any remaining
experienced staff will have limited availability to transfer knowledge and skills to the new hire.
The recruiting, placement, transfer and promotion policies did not take into account previous,
outside experience. Job description and requirements were defined in a rigid fashion that made it
difficult to hire the most suitable candidates. In the power industry, suitability for a position is
not always determined by seniority within the organization, but rather it could require a specific
kind of experience or aptitude. As a result, leaders found it difficult to place people in the most
COMPREHENSIVE SUCCESSION PLANNING 47
effective positions and end up with many unfilled positions (WRUC, 2016). The most suitable
candidates to be successors were often out of reach for leadership and successors that were
eventually hired were unable to spend enough time with their predecessors for knowledge
transfer and development.
WRUC’s incentive policies did not provide sufficient encouragement to Power System
managers, predecessors, and successors to implement and engage in effective succession
planning. Various workforce development groups had not successfully implemented a
comprehensive succession plan over the last seven years. Several critical positions and
associated skills and knowledge has been identified and documented (WRUC, 2016). Hundreds
of knowledge workers were retiring or transferring without effectively transferring their
knowledge and mentoring their successors. Managers selected to develop and implement
succession planning had not been held accountable nor had they been provided sufficient
incentives. Some incentives like placing the spotlight on succession planning, internal progress
dashboards, awards and recognition during internal meetings, communications, and presentations
had not been widely implemented. Other requirements were difficult to implement without
policy changes such as considering succession planning performance in manager performance
evaluations, career advancement, and perks like flexible time due to rigid civil service rules.
More effective hiring, recruiting, promotion and incentive policies at WRUC would help
Power System managers to implement effective comprehensive succession planning. With more
suitable policies, they could place successors alongside their mentors at the right positions and at
the right time. Effective incentive policies encouraged and rewarded managers, predecessors, and
successors who proactively participate in succession planning. With greater participation from
upper management to the frontlines, managers could meet their goal of implementing
COMPREHENSIVE SUCCESSION PLANNING 48
comprehensive succession planning by 100%. Succession planning would also support Power
System’s goal of raising operational efficiency and innovation efforts by 60% by September
2021. Failure to meet this goal endangered its mission of providing customers and communities
safe reliable and cost-effective water and power in a customer-focused and environmentally
responsible manner. It could also lead to increased calls to privatize the municipal entity.
Mentoring successors for mission-critical positions was essential for continuity of services that
affect local safety, well-being and the economy as well as national security.
Cultural Model: Hierarchy oriented culture. An organization’s culture may affect
efforts to implement succession planning through the effects of its dominant values, attitudes,
and behaviors (Sweeney, 2013). Quinn and Cameron (1999) describe four types of
organizational culture: clan, adhocracy, market, and hierarchy. Clan-oriented organizations tend
to mentor talent in a collaborative atmosphere, while more hierarchical cultures tend to foster
competitive, isolated groups in a less flexible, risk-averse environment that values rules. Market-
oriented cultures tend to maximize shareholder profit and results by valuing efficiency,
measurable achievements, and competition. On the other hand, adhocracy cultures are flexible,
dynamic and entrepreneurial through an innovative, risk-taking environment.
Hierarchy oriented culture and Power System managers. It was widely recognized by
managers in WRUC that the Power System had developed a hierarchical culture over the last
century. Some of the effects have been an emphasis on following strict lines of command, low
risk-tolerance, rigidity in following rules and precedent. The hierarchy had also led to the
development of siloes with limited collaboration and flow of knowledge and information among
them. Succession planning requires extensive collaboration, openness, and sharing which were
not widely reflected in the dominant values, attitudes, and behaviors at any level of the
COMPREHENSIVE SUCCESSION PLANNING 49
organization. The culture appears to emphasize punctuality, line of command, following strict
rules, and meet schedules. On the other hand, collaboration, sharing, innovation, feedback, and
questioning did seem to be as valued or encouraged as compliance.
WRUC’s Power System managers might have had difficulty in achieving their succession
planning goals because the dominant hierarchical culture might not sufficiently value knowledge
transfer and succession planning. If it was confirmed that succession planning is inhibited by the
dominant culture and not valued enough, raising awareness of the situation would allow the
research to point toward evidence-based solutions.
Changes in organizational culture model and settings could facilitate the implementation
of succession planning by WRUC’s Power System managers. By encouraging the valuing of
succession planning and more conducive attitudes and behaviors, the organization was more
likely to meet its goal of implementing comprehensive succession planning by 100% by 2019. It
also was able to support the overall company’s mission and vision. Table 6 summarizes assumed
organizational influences, and assessments required for organizational influences gap analysis
Table 6.
Organization Influences and Assessment for Motivation Gap Analysis
Organizational Mission
Providing customers and communities, safe, reliable and cost-effective water and
power in a customer-focused and environmentally responsible manner.

Organizational Global Goal
By September 2021, WRUC will increase Power System’s operational efficiency
and innovation efforts by 60%
Stakeholder Goal
By September 2018 Power System managers will implement a comprehensive
succession planning by 100%
Assumed Organizational Influences Organizational Influence Assessment
Cultural Model Influence 1: The Power
System managers must be accountable for
Power System managers were asked to
explain through interviews, in which ways
they will be held accountable for complete
COMPREHENSIVE SUCCESSION PLANNING 50
implementing comprehensive succession
planning.
implementation of comprehensive
succession planning.

Cultural setting Influence 1: WRUC’s
hiring, promotion, and incentive policies
create barriers to implementation of
comprehensive succession planning
activities and initiatives.
Power System managers were asked their
opinions through interviews regarding the
hiring, promotion, and incentive policies.
They will also be asked how these policies
might affect implementation of
comprehensive succession planning.

Cultural model Influence 2: The
organizational culture of the Power
System does not encourage being
proactive, open, risk taking, sharing and
cooperation.

Power System managers were asked to
describe through interviews the dominant
organizational culture and how it might
encourage or hinder implementation of
comprehensive succession planning.

Summary of Knowledge, Motivation, and Organizational Influences
This section addressed the perceived knowledge, motivation, and organizational
influences among Power System managers that impacted the effectiveness of comprehensive
succession planning. Assumed knowledge, motivation, and organizational influences impacting
implementation of effective succession planning has been highlighted and verified against
theories and related literature. The assumed KMO influences included the following: Conceptual
and procedural knowledge, expectancy-value and self-efficacy theories of motivation, managers’
accountability, organizational policies, and organizational hierarchy oriented culture.
Conclusion
The purpose of this project was to help implementation of comprehensive succession
planning in the WRUC’s Power System. As such, Chapter 2 presented literature on the definition
of succession planning, including general definition, succession planning and knowledge
management, and different approaches to succession planning. With this context, additional
literature discussed the advantage of succession planning with a focus on the organizational
COMPREHENSIVE SUCCESSION PLANNING 51
performance impact of succession planning. The literature presented an in-depth discussion on
implementing succession planning in organizations with a focus on Proactive actions for
effective succession planning and Succession Planning Process. Finally, we concluded the
general literature with challenges to successful implementation of succession planning. Chapter 2
also presented a gap analysis perspective, where implementing comprehensive succession
planning was considered regarding stakeholder’s knowledge, motivation, and organizational
influences. While the literature presented addressed various aspects of these influences, there
was no known direct application of the gap analysis framework to implementing comprehensive
succession planning in the Power System. Therefore, Chapter 3 begun with an explanation of the
methods by which the gap analysis framework was applied to WRUC’s stakeholders of focus in
order to determine the implementing comprehensive succession planning goal progress.

COMPREHENSIVE SUCCESSION PLANNING 52
CHAPTER 3: METHODOLOGY
Purpose of the Project
The purpose of this study was to determine possible root causes of why the WRUC has
been unable to achieve its succession planning performance goal. The WRUC had documented
concern regarding the tremendous rate of retirement it was experiencing and was set to continue
through 2023(WRUC, 2016). The organization had expressed awareness that this could lead to
the loss of an enormous number of key peoples in all organizational levels. Despite this
awareness, WRUC had no specific succession planning to develop internal people with the
potential to fill critical and key business leadership positions. Thus, the organization needed to
bridge this performance gap by implementing a comprehensive succession planning. Department
formulated a strategic plan and set a goal to achieve implementing 100% of comprehensive
succession planning by December 2019.
Research Questions
In an effort to analyze the Power System managers’ needs in the arears of knowledge,
motivation and organizational resources to improve implementing comprehensive succession
planning, the two research questions were examined in this study include the following:
1) What are the knowledge, motivation, and organizational needs necessary for the Power
System managers to 100% implementation of comprehensive succession planning program?
2) What are the recommended knowledge, motivation, and organizational solutions to
those needs?
Research Design
Research studies can apply qualitative methods such as observations, surveys, interviews,
document analyses, and focus groups; quantitative methods such as surveys; and mixed methods,
COMPREHENSIVE SUCCESSION PLANNING 53
which combine qualitative and quantitative methods. The research questions directed the study
and guided how to conduct research and collect the data.
Qualitative research tends to concentrate on process and seeks to understand and create
meaning (Merriam, 2009). The researcher acts as the primary instrument of data collection and
analysis. The process is inductive and the final product is descriptive, rather than quantitative.
This type of study seeks to describe what the research team has learned about the area of study
through qualitative methods such as interview and document analysis (Merriam, 2009).
A qualitative research method was appropriate for this study because it captures ideas,
perceptions, and stakeholders’ approaches. Qualitative methods were used to obtain a
meaningful and insightful understanding of the Power System managers’ needs in the area of
knowledge, motivation and organizational resources to improve comprehensive succession
planning initiatives. The qualitative tools which were used in this study highlighted and validated
the assumed influences of knowledge, motivational, and organizational problems that led to the
performance gap of the Power System managers’ performance goal and verified them against
theories and related literature. These approaches and the insights illuminated from them provided
a more in-depth understanding of the problem and potential solutions.
Surveys were not employed for this study because they have a poor track record in the
Power System as a form of obtaining detailed insight among managers. Managers at WRUC
were more likely to respond to a meeting request than a request for completing a survey. Instead,
interviews were conducted, because they allow for in-person clarification of questions, adjusting
the flow of the conversation based on responses. Immediate feedback was possible with
interviews, verifying if the interviewee understood the question, and prompting the participant to
provide more detailed and insightful pertinent responses.
COMPREHENSIVE SUCCESSION PLANNING 54
Conceptual Framework
The conceptual framework defines as a visual or written illustration of different aspects
of a research or a study which shows the relation between concepts, theories, assumptions, and
factors (Maxwell, 2013). Merriam and Tisdell (2016) believe on the more comprehensive
application and definition of the conceptual framework. They believe that it comprises all aspect
of the research such as: The problem of the practice, research questions, data collection methods,
analyzing techniques, and interpreting the findings.
Focusing on the Power System managers’ knowledge and motivation and the way
they interact with organizational factors will reveal the necessary factors and proper cultural
models and setting to support 100% implementation of a comprehensive succession planning
in the Power System by 2019. Previously, knowledge, motivation and organizational factors
were presented in the KMO section. Here, these factors and their interaction were discussed
to illustrate the conceptual framework, noting that they were not stand-alone elements. Figure
2 represents the conceptual framework of the study. The purposed conceptual framework
illustrates the interaction between organizational assets and stakeholder of the focuses’
knowledge and motivation to achieve the purposed goal. Provided below is a detailed
narrative describing the abovementioned interaction and its role in supporting the
stakeholders’ achievement of their goal.
The conceptual framework begins with the organization’s problem of practice, which is
an overarching and far-reaching issue that is observable amongst private and public-sector
organizations. There is significant research that highlights the lack of proactive, effective and
comprehensive succession planning in organizations (Flynn, 2014; Jarell & Pewitt, 2007;
McDermott & Marshall, 2016; Rothwell, 2010; Sweeney, 2013). This problem of practice has
COMPREHENSIVE SUCCESSION PLANNING 55
lent itself to two research questions: (1) What are the knowledge, motivation, and organizational
needs necessary for the Power System managers to 100% implementation of a comprehensive
succession planning program? And (2) What are the recommended knowledge, motivation, and
organizational solutions to those needs? These research questions can be answered by addressing
the knowledge, motivation, and organizational factors displayed in the figure.
The conceptual framework can be metaphorically compared to mixing materials using a
funnel resulting in the creation of an end product. For example, the stakeholders’ knowledge and
motivation are combined and funneled through the organization, ideally resulting in the
achievement of the stakeholders’ goal. Furthermore, as illustrated by the graphic, the
stakeholders, or Power System managers, enter the organization with their knowledge, skills, and
motivation related to the problem of practice. These knowledge and motivation elements are
blended, formed, and shared within the confines of the organization. The output of this process is
the stakeholders’ end goal.
The organizational influences must align with the WRUC’s vision, mission statement,
and organizational goal for the knowledge and motivation factors to advance through the funnel.
The organizational culture, managers’ accountability, and policies are essentially the mechanism
for coalescing the knowledge and motivation influences, resulting in the realization of the
stakeholder’s goal.
Power System managers needed conceptual knowledge of a comprehensive succession
planning and procedural knowledge of implementing this program. Additionally, the Power
System managers needed to believe in the Power System’s needs to implement this program and
believe in the gained benefits in comparison to the allocated budget. They also needed to believe
their ability to overcome the challenges, obstacles, and barriers in their way to implement the
COMPREHENSIVE SUCCESSION PLANNING 56
succession planning. They must comprehend and integrate the organizational factors to obtain
and foster the knowledge, skills, and motivation. Integrating the knowledge and motivation
influences through the organizational context will result in the achievement of the stakeholder
goal, which was the development and implementation of comprehensive succession planning.

COMPREHENSIVE SUCCESSION PLANNING 57

Figure 2.Conceptual Framework for implementing a comprehensive succession planning in
Western Region Utility Company through KMO Influences.
COMPREHENSIVE SUCCESSION PLANNING 58
Unit of Analysis
The unit of analysis was a large utility company located in the western region of the
United States. WRUC was comprised of three main departments, (a)Power System; (b) Water
System, and (c) Joint System with over 10,000 employees in many different disciplines. WRUC
with the critical mission of providing the lifeblood of its community: safe, reliable,
environmentally-responsible and affordable water and power, was experiencing enormous
retirement (WRUC, 2016). The literature surrounding the organizational research shows that an
effective succession planning with providing a continuing supply of qualified and motivated
people, retaining and developing mission critical knowledge, skills and talents will mitigate the
risk of absence of talented, skilled and knowledgeable employees and leaders (Capuano, 2013;
Clunies, 2007; Johnson, 2016; McDermott & Marshall, 2016; Sweeney, 2013).
Proactive and comprehensive succession planning, regardless of the type and size of
business, helps organizations to achieve long term organizational success, sustainable
development, and high organizational and financial performance (Capuano, 2013; Carriere,
Muise, Cummings, & Newburn-Cook, 2009; Collins, 2009; Garman & Tyler, 2004; Ip & Jacobs,
2006; Karaevli &. Hall, 2003; McDermott & Marshall, 2016; Sweeney, 2013). The urgent need
to develop and implement a comprehensive succession planning has been recognized since at
least 2015 at Power System. The IRP identified loss of critical knowledge due to retirement as a
risk for failing its customers and employees (WRUC, 2016). After more than two years, WRUC
had not managed to address this urgent need to make significant progress. The organization had
not identified the root causes of this problem nor had it developed a comprehensive plan to
improve the situation. A company-wide strategic effort had identified five-year goals, including
COMPREHENSIVE SUCCESSION PLANNING 59
developing and implementing comprehensive succession planning. No detailed smart goal or
plan had been formulated at that time.
Conducting this research was going to help Power System to develop and implement
succession planning effectively by analyzing the performance gap and addressing the necessary
knowledge, motivation and organizational needs and suggesting solutions to this problem of
practice.
Participating Stakeholders
Western Region Utility Company (WRUC) was the organization of study for this
research. The WRUC was comprised of three major departments (a) Water System; (b) Power
System; and (c) Joint System. The Power System was comprised of six different divisions
including Planning, Engineering, Power and Fuel Purchase, Transmission and Distribution,
Electrical Construction & Maintenance, and Power Supply Operations.
WRUC consists of around 10,000 full-time employees who around 5000 of them served
in the Power System and rest of them served in Joint and Water system. The stakeholder group
of focus in this study consisted of managers within the Power System. In total, Power System
managers were around 71 individuals. Power System managers from all six divisions comprised
the sample for this project. Managers of the Power System’s divisions were the decision makers
and they contributed in formulating and responsible for implementing the strategic plan. There
was a Strategic Development Taskforce that included managers that were be prioritized for the
sample. In WRUC, managers led supervisors to run the business and achieve the WRUC’s vision
and goals.

COMPREHENSIVE SUCCESSION PLANNING 60
Interview Sampling Criteria and Rationale
Criterion 1. Participants must be existing employees of the Power System of the WRUC. The
WRUC comprised of three major business units, (a) Water System; (b) Power System; and (c)
Joint System. Referring to the conceptual framework, the stakeholder’s goal was 100%
implementation of comprehensive succession planning by 2019 at Power System so that
participants were limited to this business unit.
Criterion 2. Participants must be considered “managers.” For purposes of this study, managers
included executive leaders in the organization and mid-level managers who had two or more
supervisors as direct reports.
WRUC has a hierarchical structure, and all direction and orders are given from top to
bottom. The executives and managers in a top-down structure were involved in the decision-
making process, and they also contributed to formulating the organization’s vision, mission,
goals, and objectives. In addition, they were in-charge of and responsible for implementing the
strategic plan and guiding the subordinates to achieve organizational goals and objectives.
Managers that made up the Strategic Development Taskforce were particularly relevant.
The qualitative study consisted of in-depth interviews with managers from the Power
System. The sampling strategy for this study was purposeful sampling. The researcher wanted to
make sure to sample managers within the organization who had the information that needs to
answer the research questions, so a random sampling technique was not appropriate (Merriam,
2009). Potential interviewees included executives and managers who had at least two or more
direct report and were selected such that all six Power System divisions were represented. This
sample provided perspective from the six divisions of the organization while were representing
all business areas of the Power System. Many participants came from the Strategic Development
COMPREHENSIVE SUCCESSION PLANNING 61
Taskforce which had participants from all divisions from Power Systems and was tasked with the
strategic development and implementation monitoring. They included three division executives
and eleven managers on the list of potential participants from each division.
Merriam (2009) points that purposeful sampling is a non-probability sampling technique.
Also, Merriam (2009) argues that this technique is useful when the researcher's goal is to
discover, understand, and gain insight. Typically, in this method, a sample would be chosen to
reflect the average person, situation, or phenomenon of interest (Merriam, 2009).
Data Collection
Permission granted by the University of Southern California’s Institutional Review Board
(IRB) ensured the safety and protection of participants in this study. Four lead meetings with
different directors and managers of Power System at its main office helped to validate
knowledge, motivation and organizational assumed causes and assets. Through purposeful
sampling (Merriam, 2009), this study used specific selection criteria to identify participants that
represent all six Power System divisions and were involved in implementing comprehensive
succession planning.
To conduct this research fourteen one-on-one semi-structured interviews with Power
System managers were conducted and a document analysis completed to answer the research
questions. Employing these methods helped examine the assumed knowledge, motivation, and
organizational factors that influenced whether the managers of Power System managers can
attain 100% implementation of comprehensive succession planning. In-person stakeholder
interviews provided deeper insight to evaluate the managers’ knowledge and motivation to
implement succession planning and how their knowledge and motivation interact with the
WRUC’s context to shape their ability to execute the objective.
COMPREHENSIVE SUCCESSION PLANNING 62
Also, the study included an analysis of relevant documents to assess existing strategy,
policies, and procedures related to WRUC’s succession planning. In combination, these research
methods ultimately provided the insight needed to identify the root causes of the problem of
practice. A clear understanding of the root causes contributing to the performance gap was
essential for developing appropriate and effective improvement recommendations in Chapter 5.
As aforementioned, standard informed consent procedures were followed. Interviews
were audio recorded, when possible, or notes were taken. The content was, then, transcribed and
analyzed using password-protected computers as part of privacy and security measures. Notes
and other hardcopy materials were kept in locked file cabinets. All interview data related to this
research was destroyed as soon as the coding and analysis phase was completed.
Interview
Fourteen managers of all six Power System divisions were selected to be interviewed.
This sample provided perspective from the six divisions of the organization while representing
all business areas of the Power System. The interviews were conducted individually, and if more
information needed a follow-up interview was requested.
An interview protocol was designed and used for all interviews (See Appendix C). The
interviews were formal, semi-structured and consisted of 9 standard questions. The standardized
questions aimed to examine the role that the assumed influencers play in current levels of
underperformance. In other words, they were designed to explore the managers’ knowledge and
motivation to implement succession planning and explore how their knowledge and motivation
interact with the organization assets to shape their ability to implement it. Probing questions
provided an opportunity to explore further areas of interest, and to understand the interviewee’s
perspective. Interviewees were given the opportunity to express their views and insights.
COMPREHENSIVE SUCCESSION PLANNING 63
Managers were invited by email to participate in a one-hour interview. The invitation emails
were sent to fourteen managers from six different divisions. Thus, the qualitative analysis
consisted of a total of 14 interviews.
Document Analysis
Another source of data for this research project was an analysis of key documents. These
documents included were those that pertain to strategic planning, formal policies and procedures,
IRP, and some released white papers. Additionally, human resource’s practices, policies, and
relevant training programs were examined.
Data Analysis
In this phase, the researcher transcribed the interview recordings. Transcripts were coded
based on the research questions and focus areas, using Microsoft Excel and Word. To capture
insights, reflective field notes were immediately after each interview. When studying complex
dynamics of organizational challenges such as the implementation of comprehensive succession
planning, various factors, systems and structures with complex relationships will be involved.
Creswell’s (2003) method for data analysis allowed for a comprehensive and cohesive approach
in six steps:
Step 1: Interview transcripts were organized and prepared.
Step 2: All data were read to obtain a general sense.
Step 3: Codes were generated by detail analysis of transcripts.
Step 4: Themes or categories were generated by using the extracted codes
Step 5: Themes and categories were represented in the study narratives to convey the
findings of the analysis
Step 6: Data were interpreted to create the meaning
COMPREHENSIVE SUCCESSION PLANNING 64
Creswell’s open coding method revealed patterns in the data, which led to data labels,
categories, and themes. Major themes, trends, and patterns emerged that can clarify the
challenges and opportunities that the Power System is facing regarding the implementation of
comprehensive succession planning.
Credibility and Trustworthiness of Data
It was important to address the credibility and trustworthiness of this study to ensure
confidence in the findings. One way to ensure credibility and trustworthiness of data collected
from interviewees for a research study was to strongly emphasize anonymity and confidentiality
of information provided by all research participants. This encouraged study participants to feel
confident to express their true opinions and perspectives.
Second, a process of triangulation was used to ensure consistency across the differing
data collection methods (Johnson & Christensen, 2015; Merriam & Tisdell, 2016). Triangulation
in this study consisted of comparing topical themes from literature, interviews, and document
analysis.
The third strategy consisted of member checking to validate the accuracy of the themes
derived from the interviews. The researcher attempted to record interviews with permission and
then transcribed it to reflect each interview’s responses precisely (Creswell, 2014). This
procedure included follow-up contacts with at least 10 participants to describe themes that
emerged during the interviews to comment on the accuracy of those themes. A transcript of the
interview and a summary of the themes were useful for this review and validation method.
In addition, the researcher considered personal reflexivity. Personal reflexivity refers to
how a person's values, beliefs, acquaintances, and interests influence his or her research or work.
The researcher attempted to identify and address any personal bias that may be at work in the
COMPREHENSIVE SUCCESSION PLANNING 65
data collection and analysis processes. Maxwell (2013) suggested researcher bias as one of the
most important threats to the validity of qualitative research. Readers and other scholars will
have important contextual information to consider how the researcher may or may not have been
influenced by the interpretation of data (Merriam & Tisdell, 2016).
Lastly, the researcher attempted to identify and address any personal bias that may have
been at play in the data collection and analysis processes, through personal reflexivity. In this
chapter, to maintain interviewees’ anonymity, each of the fourteen Power System managers was
referred to by a code (i.e., M1, M2 etc.). This method helps to differentiate the source of the
quotes obtained from the interview transcripts.
Ethics
Qualitative research studies that are supported, in large part, by interviews involve
important ethical considerations during data collection or finding the discussion (Glesne, 2011;
Merriam & Tisdell, 2016). This investigation used informed consent form (See Appendix D) that
was given to all participants at the beginning of the interviews. According to Glesne (2011),
informed consent brings awareness to participants that their participation is voluntary and
confidential. It assures that they are informed explicitly that they can stop at any time without
negative consequences for them. To ensure the safety of the participants, researcher submitted
his study to the University of Southern California Institutional Review Board (IRB) and followed
their rules and guidelines, which are designed to safeguard the rights and welfare of human
subjects. When the participants signed consent forms, the researcher did verbally remind them
that this study is voluntary and that their identity will be kept confidential. The researcher
respected the participants’ confidentiality and at any time they could decide to withdraw from the
study. Also, the researcher did not link individual responses with participants’ identities to
COMPREHENSIVE SUCCESSION PLANNING 66
provide anonymity of information collected from research participants. Before conducting the
interviews, the researcher obtained permission to audio record them. He explained that
participants would be provided transcripts of the interviews to allow them to check its accuracy.
The recorded interviews’ audio files were stored in the password protected file in the
researcher’s personal laptop which no body, except the researcher has the login password. All
interview notes and related paper files were kept in a locked box, placed in a secured location
which also nobody except the researcher had the key.
As an employee of the municipal utility WRUC, it was important to conduct the study
with the utmost transparency. Written authorization was obtained from management to conduct
the interviews on personal (unpaid) time. Data collection and interviews for this study were
conducted during the researcher’s own time, after normal working hours or by taking time off.
No direct or indirect financial interest, personal activity, or relationship was identified that could
be perceived as an improper gain or impair the researcher’s or interviewees’ ability to act
impartially and in the best interest of ratepayer, city government, WRUC and scientific integrity
when performing the study.
Limitations and Delimitations
The purpose of the research was to study the knowledge, motivation, and organizational
elements that has prevented Power System managers from implementing comprehensive
succession planning. The purpose and design of the research likely lead to limitations or
restrictions as well as delimitations that can affect the data and its analysis.
Some limitations are inherent to qualitative data collection that is difficult to control.
Limitations often associated with qualitative data collection include time constraints, scheduling
conflicts for the interviews, inaccurate or biased answers such as responses that seek to portray a
COMPREHENSIVE SUCCESSION PLANNING 67
favorable image or avoid a negative impression (Weiss, 1994). These limitations during the data
collection phase may constitute a challenge for the data analysis.
Delimitations are decisions made by and under the control of a researcher that may affect
the analysis of data. One delimitation is related to the selected problem of practice. This
particular study explored the underlying causes of preventing WRUC from developing and
implementing comprehensive succession planning. The intention of the study was to identify
solutions for the organization being studied. Lessons from this case may also be applied to other
similar organizations. Additional delimitations of the study include the site of analysis, the KMO
gap analysis model, and the demographic criteria identified for the selection of the interview
participants. The researcher selected WRUC as the organization to study due to convenience and
a higher likelihood of access to pertinent documentation and personnel. The researcher selected
WRUC’s Power System business unit, which was comprised of six divisions, as the site of
analysis because it was where the problem of practice was most critical within the company. The
KMO model was selected because evidence shows it was effective for revealing underlying
causes related to the performance gap (Clark & Estes, 2008)). The demographic criteria of the
interview participants were selected to understand the perspectives and opinions of those
responsible for related decision-making and implementation.

COMPREHENSIVE SUCCESSION PLANNING 68
CHAPTER 4: RESULTS AND FINDINGS
This study aimed to conduct a needs analysis in the areas of knowledge, motivation, and
organizational resources necessary for 100% implementation of comprehensive succession
planning program by September 2019 in the Power System; its managers are the stakeholders of
focus. Interviews and document analysis were conducted to answer the research questions. In-
person stakeholder interviews provided deeper insight to evaluate the managers’ knowledge and
motivation to implement succession planning and how their knowledge and motivation interact
with the WRUC’s context to shape their ability to execute the objective.
The data was collected through interviews with 14 managers in the Power System,
Transcripts were coded based on the research questions and focus areas, using Microsoft Excel
and Word. The most updated IRP, strategic plan, hiring and promotion policies were analyzed
and used as supporting evidence, which were consistent with the study findings and concepts.
Results and Findings of Knowledge Causes
In this study, the approved interview protocol was used to assess the Power System
managers’ conceptual and procedural knowledge. Each of the individual questions in the
interview protocol sought to understand if the Power System managers had the knowledge and
skills the literature considers essential for performance. The overall results for the knowledge
section demonstrate a gap in managers’ conceptual and procedural knowledge related to
comprehensive succession planning (CSP).
Knowledge influences

Knowledge influence 1: Power System managers need to know the concept of
succession planning. To assess how much Power System managers are familiar with the concept
of CSP, interviewees were asked to share their definition of CSP, who is responsible for
COMPREHENSIVE SUCCESSION PLANNING 69
implementing it and to which positions it should apply. Per literature, succession planning is a
sustained, structured, and systematic process of determining goals, needs, and roles within an
organization to successfully identify and prepare personnel to replace employees that hold key
positions (Johnson, 2016; Ip & Jacobs, 2006; Launa, 2012; Moradi, 2014). The overall responses
indicated that most of the respondents were not familiar enough with the concept of CSP. Often,
CSP was understood as Knowledge Management (KM). When asked “Can you share your
definition of CSP?”, M1 stated, “Succession planning means that you are giving free knowledge
and institutional knowledge to those that will be taking your future position.” M6 described that
“…that includes knowledge transfer, management or you know, critical knowledge that we have
within the power system and then making sure that knowledge is transferred and retained by
existing employees.” M9 also understood CSP as KM when stating “…So, that we capture that
knowledge and to make sure that we transition that knowledge to the new generation of
employees.”Generally, the answers were related to transferring knowledge to others before
retirement.
The interview responses to the question “Who’s responsible for implementing it?”
revealed that: (1) around 35% of interviewees assumed everybody in the organization is
responsible for implementing CSP; (2) almost half of the participants indicated that the executive
managers are responsible for implementation of CSP in organization; (3) Only 2 out of 14
managers (14%) named the role of HR in CSP implementation M3, for example, expressed that
everyone in the organization, from the front lines to upper management, should think about
succession planning and train the next generation. M10 felt the General Manager was ultimately
responsible when he remarked “The general manager, Hands down. The general manager,
because this affects all organizations at the WRUC. Every single organization is going through
COMPREHENSIVE SUCCESSION PLANNING 70
the same thing”, which M4 advocated for HR to have the leading role in creating and
implementing CSP across the organization.
There was no widespread agreement on who is responsible for CSP in this organization.
The interview responses to the question “To which positions should succession planning apply?”
generated two major themes. Eight of the 14 respondents (57%) sought to apply CSP to all
organizational levels while the other 6 (43%) defended implement to only critical and managerial
positions. M11, M13 and M4 expressed that all organizational levels should be considered for
critical roles. In contrast, M2 focused on engineering positions and management positions at the
level of full engineer and above when responded, “I would say, succession planning should apply
at minimum to engineering positions and management positions at the level of full engineer and
above.” There was no generalized agreement on which levels of the organization should be
subject to CSP.
To assess the knowledge of managers about the concept of CSP, interviews were asked
“What does being proactive in implementation of comprehensive succession planning mean to
you?” Almost all managers had a clear understanding about these two different approaches and
where able to distinguish them from each other. M12, M8 and M6 struck a similar note when
expressing that WRUC has been reactive in many aspects and that it was important to shift to a
more proactive approach, but that this transition takes time. M8 raised the possibility that hiring
freezes and understaffing contributed to the situation in the past when said:
I think, right now, we came from a period of being reactive because we have had a lot of
retirement recently and this is mostly due to the fact that in the past the department has
had a lot of period of freezing due to resources.

COMPREHENSIVE SUCCESSION PLANNING 71
However, there seems to be clear sense that technological and customer expectation
changes and the wave of retirement are challenging the status quo.
The interviewees’ conceptual knowledge was checked by asking “Which factors are
critical for successful completion of a comprehensive succession planning in this organization?
Managers, such as M8 and M14, stressed management buy-in, management commitment (M1) to
the program, HR support (M9), having training program in place, honest dialogue about
retirement, and having a strategic plan in place as the critical factors for CSP implementation at
WRUC. M5 added that top manager awareness and their driving discussions with supervisors
and group leaders would be critical when he stated, “I think it would the key factor or it really
started the top management understanding that this is an issue and having those discussions with
their employees, which are the supervisors and the group leaders.”
Literature recognizes succession planning as a powerful tool to help manage the creation,
transfer and diffusion of knowledge within an organization. Interviewees were asked about
succession planning and its role in managing and creating organizational knowledge. When
asked “How can succession planning help create and manage organizational knowledge?” the
consensus across respondents was that they believed in CSP can expedite and help manage the
transfer of organizational knowledge, but there was little mention of innovation. As
aforementioned, CSP was often mentioned interchangeably with Knowledge Management. M1
recognized CSP as a tool to transfer institutional leadership and technical experience and help to
document the implicit processes and procedures that have been passed down by word of mouth
from generation to generation.
Regarding conceptual knowledge this assumed gap was partially valid. Participants did
not have a comprehensive definition of CSP. None of the manager described CSP as a structured
COMPREHENSIVE SUCCESSION PLANNING 72
and systematic process. Some of the managers conflated succession planning for knowledge
transfer and did not distinguish CSP and KM. Also, there was no generalized consensus about
who is responsible to implement CSP, and to which organizational level CSP should be applied.
Knowledge influence 2: Power System managers need to know more about how to
successfully implement the succession planning. Literature presented earlier defined
succession planning as a systemic, structural, and long-term process (Johnson, 2016; Ip &
Jacobs, 2006; Launa, 2012; Moradi, 2014). It was possible to synthesize and organize the various
steps involved into a classic PDCA cycle. Some steps were included on how to determine critical
positions based on projected needs, how to identify required competencies for each critical
position, how to assess and select talented candidates. It is essential to know how to perform a
competency gap analysis for each potential successor, how to determine the technology required
supporting succession planning, and how to evaluate the effectiveness of succession planning. To
check the knowledge of Power System managers about the process of implanting CSP, question
4 of the interview asked, “Can you explain the process of implementing of CSP in this
organization?” Most of managers did not specify a process regarding implementing
comprehensive succession planning. They stressed the importance of capturing and transferring
the organizational knowledge. A few managers, like M4, discussed one or two potential
measures, such as using HR’s website to identify the key competencies for job positions,
upcoming vacancies, and finding the possible candidate by examining or interviewing applicants.
M7 and M8 mentioned that there is a new shadowing process at the top executive level
that could be implemented at lower levels of the organization for critical roles. The incoming
person shadows the outgoing person and goes through the latter person's work day, working side
by side for a period of time.
COMPREHENSIVE SUCCESSION PLANNING 73
The interview results revealed that most of the managers were not familiar with the
process of successful CSP implementation, validating the assumed gap. Only 3 of the 14
managers were able to describe some steps or measures that are considering in implementing
CSP such as “determining critical positions”, “identifying required competencies”, and
“assessing and selecting talented candidates.” As a result, this gap was validated.
Results and Findings for Motivation Causes
The assumed motivational influences were examined by using the same interview tools
which were used to assess knowledge influencers. The interview implemented questions related
to Power System managers identified in the literature on motivational influences such as cost-
benefit and self-efficacy. Each of the questions asked in this portion of the interview sought to
determine if the motivation barriers outlined in the literature were present in the work
environment. The overall results for the motivation section of the interview reflected significant
agreement across the 14 respondents.
Motivation influences

Motivation influence 1: Power System managers should understand that allocating
significant resources for implement a comprehensive succession planning is weighed
against the cost of losing key leaders and skilled and knowledgeable workers due to
promotion, transfer or retirement. Literature emphasizes that motivation for CSP
implementation can arise from an understanding that succession planning can lead to retaining
at-risk valuable knowledge, boosting innovation, reduce costly errors and delays and improving
key performance indicators. To assess how much Power System managers are aware of the
impact of implementing CSP in organization performance and how much they value allocating
significant resources to implement it, they were asked “What impact can comprehensive
COMPREHENSIVE SUCCESSION PLANNING 74
succession planning have on organizational performance?” Most of responders observed CSP’s
potential for positive effects on the organization’s key performance indexes such as, Innovation,
Safety, Customer Service, Reliability, and Environmental Responsibility. M6 described the
imperative of future managers not only continuing, but improving upon the safety and reliability
record of their predecessors. M4 discussed how CSP would help meet today and tomorrow’s
higher environmental accountability standards when responded, “I think one of our
responsibilities is about the environment and also if it transfers the knowledge if we implement
this one [Succession Planning] we can be sure that we are more accountable for the
environment.”
This gap was not fully validated. The interview results indicated that the respondents
generally agreed comprehensive succession planning could impact safety, environmental
responsibility, customer service, and innovation. However, there was no indication that they
understood the scale of the benefit. Quantifying the benefit should raise awareness of just how
significant is the financial benefit can be, thereby increasing motivation to urgently implement
CSP. As result, this gap was partially validated.
Motivation influence 2: Power System managers need to believe their ability to
overcome the challenges, obstacles, and barriers in their way to implementing a
comprehensive succession planning. The literature reviewed in Chapter 2 revealed that lack of
self-confidence regarding stakeholders’ chances of succeeding could affect their motivation to
participate, persist, and invest mental effort toward their goals. To investigate the Power System
managers’ self-confidence, the interviewees were asked “How confident are you that the Power
System can fully implement comprehensive succession planning? Why?” Almost all
interviewees were confident about their ability and also the company’s capability in overcoming
COMPREHENSIVE SUCCESSION PLANNING 75
the barriers and challenges in implementing some form of succession planning, but not
necessarily CSP. M6, like most other respondents, expressed certainty that the department will
implement some degree of succession planning, believing that there is no other option when
mentioned “I have no doubt that we will implement succession planning and I'll be very blunt
about it because we have no other choice. The alternative is not an option.” M2 mentioned
having smart goals and accountable people as good indication that organization is more serious
about implementing succession planning than in the past.M3 estimated the organization’s ability
to implement CSP at 90% and 60% odds that the right people are in place to advocate for it.
With this consensus among respondents, this gap was not validated. The interview results
indicated that the respondents found themselves capable of overcoming organizational
challenges, obtaining widespread buy-in and allocating organization resources to successfully
implement comprehensive succession planning. As a result, this gap was not validated.
Results and Findings for Organizational Causes
Organizational influencers that affect Power System managers’ performance in
implementing CSP were also assessed through the interview method. The problem of practice
seemed to be strongly influenced by organizational barriers. Each of the questions asked in this
portion of the interview were related to the organizational influences that were presented in the
literature. The overall results for the organization section seemed to show consensus across the
14 managers.
Organizational influences

Organizational influence 1: Power System managers must be accountable for
implementing comprehensive succession planning. Succession planning requires strong and
persistent commitment and support from executives and senior management to insure its success
COMPREHENSIVE SUCCESSION PLANNING 76
(Ohio’s Talent for Tomorrow and Beyond, 2011). Succession was identified as a priority in IRP
and IHRP developed by upper and middle management (WRUC, 2016). Question 9 of the
interview was meant to evaluate the stakeholders’ accountability in implementing CSP. With this
goal in mind, interviewees were asked, “Who will be held accountable for complete
implementation of comprehensive succession planning?” The consensus across all respondents,
including M9 and M13, was that managers and executives are accountable for implementing
CSP. M9 replied,
I think, ultimately management is responsible for it. They can't just preach and say, okay
you guys go do it. They have to actually follow up with the supervisors, follow up with
the training level people, make sure that it is actually happening.
M7 was the only interviewee who responded all employees and M2 included supervisory
level and up in terms of accountability. M13 explained that managers and executives are
responsible for repeatedly driving CSP as a priority. M5 shared concerns that nobody will be
held accountable, since CSP did not feature prominently in promotion and transfer and because
current leaders are not remaining for the long term. M5 did not see a measuring and indication
system for implementing CSP when shared,
You’re implementing succession planning now, so, I think that should be the approach to
make sure that if you want to have some kind of accountability, it's really measuring how
well that program is being carried out for the time being, you know.
This gap was validated. Document analysis revealed that despite responses with a
consensus with 13 out of 14 respondents holding managers and executives accountable for
implementing CSP, the program has not had significant progress in the past few years. More than
three years have passed since comprehensive succession planning was identified as a major
COMPREHENSIVE SUCCESSION PLANNING 77
strategic imperative; some efforts including generating a white paper called WRUC 360,
formulating goals like implementing CSP, and identifying at-risk positions due to likely retirement
in IRP, were efforts made within the organization. However, the organization had not managed to
make sufficient progress toward a comprehensive approach. The organization had not identified
the root causes for the slower progress nor had it developed a comprehensive plan to address the
situation. As a result, this gap was validated.
Organizational influence 2: WRUC’s hiring, promotion, and incentive policies
create barriers to implementation of comprehensive succession planning activities and
initiatives. Questions 10 in the interview protocol was designed to look at the WRUC’s hiring,
promotion, and incentive policies from the Power System managers’ point of view and to
discover how implementation of CSP is affected by those policies. For this purpose, question 10
asked “How might current hiring, promotion, transfer, and incentive policies affect
implementation of comprehensive succession planning?” All managers agreed that there were no
incentive policies in place to promote implementation of CSP. They traced these limitations to
the rigid and antiquated rules of civil service which hinders implementation of CSP in WRUC.
M3 agreed that a lack of incentives hindered the spirit to promote, as well as loss of overtime pay
and certain benefits that comes with management roles.
M4 like other managers agreed that there were no direct financial incentives in place.
However, he considered non-monetary incentives which could encourage employees to value
CSP when remarked “I don't know that incentives are going to be something that we can even
consider given our current structure, given our union contracts, given our union
agreements.“Despite the current structure, given union contracts and civil service rules, M4
hopes that if people understand how this is actually going to help them, successors, and
COMPREHENSIVE SUCCESSION PLANNING 78
ultimately the ratepayer, that may be sufficient enough to see a different culture in this
department as it relates to people being more open and being more willing to participate in this
process.
Along with lack of incentive policies, there was consensus among managers that current
hiring and promotion policies have a negative effect on implementing CSP due to the civil
service nature of WRUC. For instance, M1 described the policy of filling positions only when
they become vacant. M4 pointed to certain requirements like mandatory examinations that can
make succession more difficult when stated:
Well, again going back to the civil service stuff, okay? If you are going to be taking my
job and you have to take a civil service examination in order to get my job and you don't
pass, then you cannot take my job, okay? So, that in itself could prevent secession
planning from being implementable when it comes to certain positions within the
organization.
M3 described a lack of guarantee in hiring suitable candidatesready for the positions that
going to become vacant, due to civil service rules. For instance, WRUC gets outside candidates
that are screened by the city. Examinations and interviews are required and may not be available
at all times and candidates may have to begin at the lowest levels of seniority, despite their years
of experience.
M5 described that it is difficult to dedicated to succession planning when the organization
is understaffed and the hiring process is slow. The Power System’s Integrated Human Resource
Plan (WRUC, 2016) stated that after identifying potential vacancies that require critical
competencies, Human Resources did not have the flexibility to hire successors ahead of time, as
deemed necessary. In addition, often, successors could only be hired or transferred once the
COMPREHENSIVE SUCCESSION PLANNING 79
predecessor had already transferred or retired due to budgeting or civil service policies (WRUC,
2016).
This gap was validated. The interviews revealed that there are no official incentive
policies to provide sufficient encouragement to Power System managers, predecessors, and
successors to engage in implementing CSP. Also, collected data from the organization’s
documents and the interviews supported the premise that there is minimal flexibility to hire
experienced outside candidates or internal successors ahead of time due to civil service hiring
and transfer rules and policies.
Organizational influence 3: The organizational culture of the Power System does
not encourage being proactive, open, risk-taking, sharing and cooperation. Respondents
were asked two questions to identify and evaluate the cultural aspects in the WRUC which
inhibit or promote the implementation of CSP. Question 7 asked, “How would you evaluate the
following cultural aspects in the Power System? Collaboration, knowledge sharing, proactivity
and initiative, level of trust, commitment, psychological ownership?” The overall consensus was
that the organization needs to do better to promote and improve the culture of collaboration,
knowledge sharing, proactivity, level of trust commitment, and psychological ownership. More
than half of the managers agreed that WRUC suffered from a culture of silos among the different
groups and lack of knowledge sharing. M3 agreed that people at WRUC often hold knowledge as
power and they are afraid to share it when responded, “That's pretty low. Given my experience,
because we tend to be a little silo, people hold knowledge as power and they're afraid to let it out
to everybody.”M13 thought knowledge is shared within certain silos, but often not beyond them.
M12 thought the Water system performed better than the Power System when it comes to
knowledge sharing. M11 described better knowledge sharing at higher levels of the organization.
COMPREHENSIVE SUCCESSION PLANNING 80
Only two managers addressed creativity and the culture of initiative. M2 did not agree that the
organization has a strong culture of creativity and initiation, because front-line workers were not
systematically encouraged to suggest improvements and breakthroughs and to incubate
innovation projects.
Except one, all managers agreed that there was a high level of commitment and
psychological ownership. M2 described the employees as hard-working, unsung heroes and M6
mentioned workers were proud of their service. M3 did not agree, pointing to outsourcing as the
major reason for the lower level of ownership among the employees, stating:
I think because we do allow contracting out and we do less in-house and more
contracting out of skilled stuff that we used to put together, more of our design projects,
we contract all this stuff out and so, you lose the ownership of it.
With regard to level of trust, 3 out of 14 managers (21%), including M3, perceived a lack
of trust among the employees. M3, M12, and M3 pointed to less than ideal trust levels between
employees who work in the field and those in office positions, in part, due to reduced interaction.
It was observed, in the course of observing the organization, that weekly, monthly and
quarterly meetings in various groups emphasized safety. Safety is a salient part of the WRUC
culture. However, innovation, collaboration, widespread knowledge-sharing, succession planning
did not figure prominently nor frequently in these meetings. Similarly, official communications
such as weekly emails, newsletters, special notices of recognition, and bulletin boards –
company-wide down to group-level – also lacked emphasis on these cultural elements.
Power System managers asked “what organizational cultural factors in the Power System
inhibit or promote the implementation of comprehensive succession planning?’ All managers
agreed that there the culture of sharing knowledge is lacking, due to the rigid hierarchy and
COMPREHENSIVE SUCCESSION PLANNING 81
prevailing silos, and related lack of trust that hinders implementing CSP at WRUC. Also, the
general consensus was that there was strong commitment to the job and great psychological
ownership which will help implementing CSP. However, due to the hierarchical structure of
WRUC, initiative is most often top-down and CSP is not yet seen as an essential duty for most
members of the WRUC. In general, all managers recognized the need for improving cultural
aspects to promote knowledge-sharing and innovation, for a healthier and more resilient
organization. Championing cultural change is seen as a requirement for full implementation of
CSP at WRUC.
The gap (“the organizational culture of the Power System does not encourage being
proactive, open, risk-taking, sharing and cooperation”) was validated. The interview data
revealed that the hierarchical culture of siloes resulted in limited collaboration, initiative, flow of
knowledge and information among the groups, sections, divisions, and departments and the
insufficient trust that hinder implementing CSP. In spite of an acceptable level of commitment
and psychological ownership, managers recognized that the organization can do a better job to
improve other cultural aspects that will improve the odds of successful implementation of CSP.
Summary
Chapter 4 presented the analysis of the data collected via interviews, document analysis
and also limited observation. These methods were applied to assess the knowledge, motivation
and organizational influences outlined in Chapter 3. For the two knowledge influencers, one was
validated and another one was partially validated. Similarly, one of the two motivational
influencers was validated. All three organizational influencers were validated. In Chapter 5, the
validated influencers are further discussed and recommendations are provided for Power System
COMPREHENSIVE SUCCESSION PLANNING 82
managers to be able to accomplish 100% implementation of comprehensive succession planning
in WRUC by 2021.

COMPREHENSIVE SUCCESSION PLANNING 83
CHAPTER 5: RECOMMENDATIONS
Chapter 1 of this study revealed a current problem of practice: understanding the factors
that facilitate or hinder implementing comprehensive succession planning in WRUC, which has
been recently identified as one of its strategic initiative. Chapter 1 outlined why this was a
problem and why it was important to find solutions to this problem of practice. Chapter 2
reviewed relevant literature that highlighted the influencers that could affect implementing
comprehensive succession planning. A review of the KMO model theoretical framework
presented by Clark and Estes (2008) was also provided. Chapter 3 explained the study design and
methodology that were used to deploy this qualitative study. It provided a road map for how
interviews were designed and implemented, and how the data was analyzed in Chapter 4.
Chapter 4 provided a full and detailed data analysis. The data was presented in the same order of
knowledge, motivation and organizational influencers that were described in the influencers table
in Chapter 3. The current chapter will provide recommendations that Power System managers
can consider ensuring that they are equipped with the proper knowledge, motivation and
organization skills and support required to attain 100% implementation of comprehensive
succession planning in the Power System by 2021.
Purpose of the Project and Questions
The study aimed to conduct a need analysis in the areas of knowledge, motivation, and
organizational resources necessary to reach the WRUC goal of 100% implementation of
comprehensive succession planning in the Power System. The analysis began by generating a list
of possible needs and then moved to examining these systematically to focus on actual or validated
needs. While a complete needs analysis would focus on all stakeholders, for practical purposes
Power System managers was the stakeholder group of focus for this analysis.
COMPREHENSIVE SUCCESSION PLANNING 84
As such, the questions that guided this study were the following:
1- What are the knowledge, motivation, and organizational needs necessary for the Power System
managers to reach 100% implementation of comprehensive succession planning by September
2019?
2- What are the recommended knowledge, motivation, and organizational solutions to those needs?
Recommendations for Practice to Address KMO Influences
Knowledge Recommendations
Table 7 represents the validated knowledge influences that they were determined in
Chapter 4. In addition, this table determines the priority of these influences and designates proper
principles and context-specific recommendations for achieving the stakeholders’ goal.
Table 7
Summary of Knowledge Influences and Recommendations
Assumed Knowledge
Influence: Cause,
Need, or Asset*

Validated

Priority

Principle and
Citation
Context-Specific
Recommendation
Power System
managers need to know
enough about
succession planning to
successfully implement
it (D).

YES Y When stakeholders
have the limited
knowledge and skills
to achieve their goals,
a combination of
information, job aids,
and training is
recommended. (Clark
& Estes, 2008)

The online training is
as an effective tool
which gives
organizations more
control on their
learning
environments. In
addition, online
It is recommended
that HR design and
delivers a one-hour
online training to
all managers and
supervisors in all
WRUC’s
organizational
levels. This online
course will include
concepts, different
approaches,
benefits, and job
aides regarding to
implement
comprehensive
succession
COMPREHENSIVE SUCCESSION PLANNING 85
training is a proper
and flexible platform
to transfer specific
and customized
information. (Dunlap,
2015)

planning at
WRUC.

Power System
managers need to know
how to implement the
succession planning
(P).

YES Y Training will help
stakeholders to
implement a new
procedure by
providing them the
opportunity to
demonstrate, practice,
and receiving
constructive feedback
(Clark & Estes, 2008)

The quality of
learning improves
when “goal-directed”
practice is linked
with” targeted
feedback” (Ambrose,
Bridges, DiPietro,
Lovett, & Norman,
2010).

Providing a
practical training
by a SME for the
Power System
managers who
make up the
Strategic
Development
Taskforce. This
training gives the
managers this
opportunity to
practice the
process of
implementing
comprehensive
succession
planning by
working on the
real cases from
WRUC.

*Indicate knowledge type for each influence listed using these abbreviations: (D)eclarative;
(P)rocedural

Declarative knowledge solutions, or description of needs or assets. Power System
managers need to have sufficient knowledge about succession planning in order to successfully
implement it (D). Clark and Estes (2008) endorse a combination of information, job aids, and
training when stakeholders have the limited knowledge and skills to achieve their goals. Hence,
the recommendation for Power System managers might be to design and deliver an effective
one-hour online training. This online course should include necessary information, concepts,
COMPREHENSIVE SUCCESSION PLANNING 86
different approaches and the benefits of implementing comprehensive succession planning at
WRUC.
Food and Agriculture Organization of the United Nations (2011) introduces the online
training as an effective tool which gives organizations more control on their learning
environments. They believe that online training is a proper and flexible platform to transfer
specific and customized information (Food and Agriculture Organization of the United Nations,
2011). As such, the recommendation resulting from this research is that Power System managers
may benefit from an hour online training to help them to understand the concept of succession
planning to improve the probability of successful implementation of comprehensive succession
planning at WRUC.
Procedural knowledge solutions, or description of needs or assets. Power System
managers need to know how to implement the succession planning (P). Clark and Estes (2008)
believe that training will help stakeholders to implement a new procedure by providing them the
opportunity to demonstrate, practice, and receiving constructive feedback. Then, the
recommendation might be providing a practical training by a Subject Matter Expert (SME) for
the Power System managers who make up the Strategic Development Taskforce. This training
gives the managers the opportunity to practice the process of implementing comprehensive
succession planning by working on real cases from industry and WRUC.
Ambrose and colleagues (2010) point that the quality of learning improves when “goal-
directed” practice is linked with” targeted feedback.” It will be recommended that HR have a
course designed and facilitated by SME’s and with input from management to be a practical and
customized training course involving actual WRUC current situations. The course will be
delivered to Power System managers who make up the Strategic Development Taskforce might
COMPREHENSIVE SUCCESSION PLANNING 87
work as an effective recommendation. This targeted training course would provide constructive
feedback and give the managers an opportunity to design, implement, and assess comprehensive
succession planning by working on real WRUC cases.
Motivation Recommendations
Table 8 represents a summary of the motivation influences that were validated in Chapter
4 and their priority to achieving the stakeholders’ goal. In addition, this table highlights the
principles and shows the recommendations for these influences based on theoretical principles
supported by the literature review and the review of motivation theory.
Table 8
Summary of Motivation Influences and Recommendations
Assumed Motivation
Influence: Cause, Need,
or Asset*

Validated

Priority

Principle and
Citation
Context-Specific
Recommendation
Expectancy-Value
Theory
Power System managers
are not fully aware of the
costs of not
implementing
comprehensive
succession planning.
YES Y Motivation is
correlated to the
degree of
understanding of
why a particular task
is important and
useful (Pintrich,
2003).

Rationale that helps
workers understand
the importance and
utility value of a task
can help them
develop positive
values (Eccles, 2006;
Pintrich, 2003).

It is recommended
to make a business
case for succession
planning and do a
cost- analysis to
show the cost of
losing key leaders
and skilled and
knowledgeable
workers due to
promotion, transfer
or retirement and
the gains of
comprehensive
succession
planning. They are
more likely to be
more motivated to
implement it, if
they can better
understand the
associated benefits
COMPREHENSIVE SUCCESSION PLANNING 88
to the company
and to their own
team.

Expectancy-Value Recommendations. Power System managers are not fully aware of
the costs of not implementing comprehensive succession planning. Pintrich (2003) remarks that
motivation is correlated to the degree of understanding of why a particular task is important and
useful. Therefore, it is recommended to make a business case for succession planning and do a
cost- analysis to show the cost of losing key leaders and skilled and knowledgeable workers due
to promotion, transfer or retirement and the gains of comprehensive succession planning.
Eccles (2006) and Pintrich (2003) point that rationale that helps workers understand the
importance and utility value of a task can help them develop positive values. Power System
managers are more likely to be more motivated to implement it, if they can better understand the
associated benefits to the company and to their own team.
Organization Recommendations
Table 9 represents a summary of the organization influences that were validated in
Chapter 4 and their priority to achieving the stakeholders’ goal. In addition, this table highlights
the principles and shows the recommendations for these influences based on theoretical
principles supported by the literature review and the review of motivation theory.
Table 9
Summary of Organization Influences and Recommendations
Assumed Organization
Influence: Cause, Need, or
Asset

Validated

Priority

Principle and
Citation

Context-Specific
Recommendation
COMPREHENSIVE SUCCESSION PLANNING 89
Cultural Model Influence 1:
The Power System managers
must be accountable for
implementing
comprehensive succession
planning.
YES Y Scheduling effective
milestones and
assessing their impact
are the best way by
which executives can
review the execution
of
projects, identify gaps,
and spot new risks
(Sirkin, Keenan, &
Jackson, 2005)

Measurement of
learning and
Performance is
essential
components of an
effective
accountability system
capable of
improving
organizational
performance (Hentshe
& Wohstetter, 2004)

It is recommended
that Power System
managers review
the project
progress by
scheduling
effective
milestones no less
than two months
after initiating
CSP. Also, lower
level managers and
supervisors should
review the
progress biweekly
throughout the
transformation.

COMPREHENSIVE SUCCESSION PLANNING 90
Cultural model Influence 2:
The organizational culture of
the Power System does not
encourage being proactive,
open, risk taking, sharing
and cooperation.
YES Y 1- A strong
organizational culture
controls organizational
behavior
and can block an
organization
from making necessary
changes
for adapting to a
changing
environment (Schein,
2004).
2- Alignment between
a company’s
statements and
management’s
behavior is the key to
creating a context that
evokes employee
commitment along the
social dimension
(Strebel, 1996).

It is recommended
that the Power
system managers
at all levels
promote the
culture of
openness,
collaboration, team
working, and
knowledge sharing
at organization, but
not making it a
competition.

The CSP
leadership team
should work with
all managers to
identify champions
at the supervisory
and front-line
levels to act as
CSP champions.

A system to
receive
improvement
suggestions, to
support forming of
collaborative
project teams,
mentoring for
successful business
case formation and
completion, and
showcase
presentations and
recognition
programs can
promote related
values and
behaviors.
The Power System
managers can use
the company
bulletin, general
COMPREHENSIVE SUCCESSION PLANNING 91
meetings and other
effective
communication
channels for varied
and effective
messaging to aide
cultural change
and re-
enforcement.
Managers should
consider more
consciously and
proactively how to
promote the
company mission,
vision and goals
and core values
through their
communication
and how they are
perceived.

Cultural setting Influence 1:
WRUC’s hiring, promotion,
and incentive policies create
barriers to implementation of
comprehensive succession
planning activities and
initiatives.
YES Y 1- Effective
organizations insure
that
organizational
messages, rewards,
policies
and procedures that
govern the work of the
organization are
aligned with or are
supportive of
organizational goals
and values
(Clark & Estes, 2008).
2- Accountability is
increased
when individual roles
and
expectations are
aligned with
organizational goals
and mission reflect this
relationship (Hentshe
& Wohstetter, 2004).
It is recommended
that recognition
program as an
incentive be
integrated into the
plan. If managers
get recognized for
their success, they
will be motivated
to bolster their
reputation because
they value it as a
significant factor
in their prospects
for promotion in a
civil service
context.
It is recommended
to set a new
promotional and
hiring policy
which allows the
organization to
hire successors in
COMPREHENSIVE SUCCESSION PLANNING 92
advance to overlap
with predecessors
for a sufficient
period of time to
allow the process
of succession
planning to take
place.

Cultural model Recommendation. Hentshe and Wohstetter (2004) argue that it is
essential to measure performance throughout a change process to have an effective
accountability system. This suggests that Power System managers should review the project
progress more frequently, for instance, by scheduling effective milestones with timelines of two
months or less. Also, lower level managers and supervisors should review the progress biweekly
with their managers throughout the transformation.
Sirkin and his coworkers (2005) point out that scheduling effective milestones to
assessing progress and impact frequently enough can help executives monitor progress, identify
gaps in a timely fashion, and manage risks. As such, Power System managers can use periodic
reviewing of comprehensive succession planning implementation with the project team and also
department executives, managers and supervisors to reinforce overall accountability level of all
involved parties. Meanwhile, these frequent meetings would be an effective way to check the
performance progress, addressing the gaps, and revising the implementation strategy. These
meetings allow for showcasing success stories, soliciting new initiatives and providing
mentorship and support to carry them out.
Cultural model Recommendation. The organizational culture of the Power System does
not encourage risk-taking, sharing, cooperation, and being open and proactive. Schein (2004)
suggests that it is important to control organizational culture and behavior so that it can remain
strong and resilient in a changing environment. It is advisable that Power System managers at all
COMPREHENSIVE SUCCESSION PLANNING 93
levels promote the culture of openness, collaboration, team working, and knowledge sharing at
organization, but without making it overly competitive. The managers can use the company
bulletin, general meetings and other effective communication channels to foster of the supportive
culture that facilitate implementing comprehensive succession planning. Furthermore,
supervisory and front-line employees should be identified and trained to act as champions, using
their rapport with fellow team mates to advocate for CSP in the various groups. This program
should be supported at the highest levels of management, monitored by the CSP management
team, but carried out by champions to change the culture with their peers.
A system can be developed to solicit suggestions from team members at all levels.
Promising improvement ideas can have cross-silo collaborative teams formed and mentored for
development of effective business cases. Time and resources can be allocated for completion and
results can be showcased through presentations attended by employees, along with widely-
recognized awards programs.
Strebel (1996) argues that managers’ behaviors are keys to creating a context that evokes
employee commitment to the organizational core values, vision, mission, and goals. Managers
should demonstrate the behaviors, conscious of how they are perceived through their words and
actions, seeking greater alignment and re-enforcement of the company’s direction. For instance,
without this level of awareness and proactive approach, a manager can easily send a conflicting
message at odds with the desired company culture through an email, presentation, or advice.
Rather than reinforcing in new employee orientations that an employee is simply expected to
show up on time and do what they are told to continue to enjoy good civil service benefits,
setting a low bar; team members can be re-assured by managers that it is important for them to
embody the values and to further the meaningful mission of valuable public service, soliciting
COMPREHENSIVE SUCCESSION PLANNING 94
their suggestions, encouraging people to go above and beyond. If employees feel it is safe to just
do what has been done before and that it is risky and not rewarding enough to think and to
advocate for improvement, it will be very difficult to become among the most innovative
organizations in a sector.
Cultural setting Recommendation. The Power System hiring, promotion, and incentive
policies create barriers to implementation of comprehensive succession planning activities and
initiatives. Clark and Estes (2008) propose that organizational messages, rewards, policies and
procedures should more be more strategically aligned with and supportive of organizational
goals and values, which can be used as an effective source of motivation. It is recommended that
recognition programs employed as motivational incentives be integrated into the plan. If
managers and frontline employees get recognized for their contributions to organizational
change, it will improve their reputation within the organization, which is often perceived as a
valuable reward that can be used even within a civil service structure that limits financial and
promotional incentives due to more rigid hiring, bonus, and promotional rules.
Hentshe and Wohstetter (2004) show that when individual roles and expectations are
aligned with organizational goals and mission, it is reflected in accountability in terms of
performance review criteria and job descriptions of employees and contractors, alike. It is
proposed that promotional and hiring policy be adapted to reflect the importance of succession
planning. When the organization interviews for hiring, transfer, or promotion experience, it
should consider performance and knowledge of succession planning. Hiring rules should be
changed so that successors can be in advance of positions being vacated. Overlapping with the
predecessor for an enough period of time would allow for more knowledge transfer, allowing
enough time for the process of succession planning to be effective. Incentives should also be
COMPREHENSIVE SUCCESSION PLANNING 95
provided for people to stay longer after deciding and announcing retirement. Six to twelve
months would allow for critical knowledge to be transferred, ensuring a smooth transition.
Advanced notice should be incentivized as much as possible, so that the individual and the
organization can develop a collaborative game plan.
Integrated Implementation and Evaluation Plan
Implementation and Evaluation Framework
The implementation and evaluation plan is informed by the New World Kirkpatrick
Model (Kirkpatrick & Kirkpatrick, 2016), a model founded on Don Kirkpatrick’s (1958) original
Four Level Model of Evaluation and updated by Kirkpatrick’s son and daughter-in-law. The
original model defines four levels of professional training evaluation in the following order:
reaction, learning, transfer, and results. The revised framework reverses the order to focus on the
results first to reflect their importance, to tie them directly to initiatives planned and
implemented, and to correct previous over-emphasis on the first two levels (Kirkpatrick &
Kirkpatrick, 2016).
With the end in mind, reminiscent of Six Sigma’s “Voice of the Customer,” the New
World Model incorporates leading indicators that provide ongoing measurement of progress
towards desired outcomes and insight into whether efforts and specific initiatives are on track.
These indicators include internal metrics for individual, team, and department progress, such as
measures of quality, production, compliance, satisfaction, efficiency, and cost, as well as external
indicators that signal response by customers, clients, the market, and the industry, such as
customer acquisition, attrition, retention, and satisfaction.
The New World Kirkpatrick Model additionally places intentional focus on behavior
from both the participant standpoint, meaning to what extent participants are applying the
COMPREHENSIVE SUCCESSION PLANNING 96
behaviors learned in training that are critical to goal achievement, and the organization
standpoint, meaning to what extent the organization is driving desired behaviors through
accountability and support to influence employees and increase the likelihood of application. By
focusing on results and the focused, collective efforts of participants and the employer, the New
World Kirkpatrick model provides a solid framework with high probability of garnering
stakeholder investment and yielding goal attainment.
Organizational Purpose, Need and Expectations
Western Region Utility Company (WRUC) pursues its mission to provide customers and
the served communities safe cost-effective and reliable water and electric service in an
environmentally responsible and customer-focused manner. WRUC pursues its mission by
targeting an increase in its Power System’s operational efficiency and innovation efforts by 60%
by 2021. The IRP, shows that Power System has been experiencing and will continue to be
affected by an enormous rate of attrition through retirement until 2023(WRUC, 2016). The IRP
points to the urgent need to develop and implement a comprehensive succession planning to
mitigate the risk of failing its customers and employees and ultimately long-term sustainability
and mission fulfillment (WRUC, 2016). This study examined the knowledge, skills, motivation,
and organizational influences that impact Power System managers with regard to implement
comprehensive succession planning program.
Level 4: Results and Leading Indicators
Table 10 shows Level 4 outcomes, metrics, and methods for external and internal
outcomes. The achievement of internal outcomes due to organizational information, training, and
supports should help bring external outcomes to fruition.
COMPREHENSIVE SUCCESSION PLANNING 97
Table 10
Outcomes, Metrics, and Methods for External and Internal Outcomes
Outcome Metric(s) Method(s)
External Outcomes
1. Increased Power
System reliability
Power System reliability factors Reliability data reported
monthly to the Board. (survey)
1a. SAFI (System Average
Interruption Frequency Index)
Aggregate data from reliability
committee reported monthly to
the Board.
1b. SAIDI (System Average
Interruption Duration Index)

2. Improve the external
accountability

The number of measures to
meet or exceed the
regulatory compliance

Aggregate data from
Regulatory, Standards and
Compliance division every six
month.
2a. The number of measures to
meet or exceed the
regulatory compliance with
North American Electric
Reliability Corporation
(NERC),

2b. The number of measures to
meet or exceed the
regulatory compliance with
Federal Electric Regulatory
Commission (FERC),

Internal Outcomes

3. Improve managing
critical and mission
related institutional
knowledge and skills
The number employees
participate in the organization
360 Knowledge Retention
Process
Aggregate data from Strategic
Initiative division regarding
Knowledge Retention Process
4. Increased employee
confidence/satisfaction
Employees Satisfaction
Index(ESI)
Compare the ESI of the
successors who participate in
the succession planning
program with other employees
in same organizational positions
5. Decreased number of
hired consultants and
The number of hired consultants
and contractors
Human resource annual
contractor hiring list
COMPREHENSIVE SUCCESSION PLANNING 98
contractors resulting in
financial saving

Level 3: Behavior
Critical behaviors. The stakeholders of focus for implementing comprehensive
succession planning at WRUC are the Power System managers. The first critical behavior is that
Power System manager should check and challenge processes and methodologies of
implementing comprehensive succession planning program to ensure maximum performance.
The second critical behavior is that they should mentor their supervisors implementing
comprehensive succession planning in their sections. The third critical behavior is that they
should attend and engage actively in training programs related to implementation of compressive
succession planning delivered by the organization.
The specific metrics, methods, and timing for each of these outcome behaviors appears in
Table 11
Critical Behaviors, Metrics, Methods, and Timing for New Reviewers
Critical Behavior Metric(s)
Method(s)
Timing
1. Power System
managers
should check
and challenge
processes to
ensure
maximum
performance.

The number of
comments,
feedbacks and
corrections received
from managers on
the process,
instructions and
methodology of
implementing
comprehensive
succession planning.

Project team shall
assign a qualified person
as a succession planning
team lead (Team Lead)
to track the comments,
feedbacks and
corrections proposed by
Power System
managers.
Team Lead reports to the
project team every two weeks.
COMPREHENSIVE SUCCESSION PLANNING 99
2.Managers should
mentor their
supervisors
implementing
comprehensive
succession planning
in their sections

The number of
supervisors coached
by each manager
regarding
implementing
comprehensive
succession planning.
Team Lead shall
monitor Power System
manager's
performance by
requesting detailed
performance report.
Managers provide the report
bi- monthly to the Team Lead.
Team Lead will report
aggregated data to Strategic
Initiative manager every other
month.
3.Power System
managers should
attend and engaged
actively in training
programs related to
implementation of
compressive
succession planning
delivered by the
organization
The number of times
Power System
managers attend in
related training
programs.
3a. Track Power
System managers’
attendance for all
related training
opportunities.
3a. Instructors report
manager's participation to
training department - monthly.
3b. Quantify Power
System managers’
engagement during
training programs
through instructors
and managers
engagement/satisfactio
n survey data.
3b. Instructors report
manager's participation to
training department - monthly.

Required drivers. Power System managers require the support of upper level managers,
executives, Human Resource Department (HRD) and rest of the organization to reinforce what
they learn in the training and to encourage them to apply what they have learned to implement
comprehensive succession planning. Formal and informal incentives should be established for
achievement of performance goals to enhance the organizational support of the Power System
managers.
Monitoring. It is critical that the organization holds the appropriate stakeholders
accountable to enforce the drivers that can overcome critical. Power System managers can
monitor whether the required drivers are in use by scheduling performance review meetings
COMPREHENSIVE SUCCESSION PLANNING 100
every two months. Also, Human Resources can track the number of managers that actively
participate in the training programs. In addition, Project team can ask managers to self-report
each month on their confidence and self-efficacy in mentoring their supervisors to implement
comprehensive succession planning program.
Table 12 shows the recommended drivers and monitoring strategies to support critical
behaviors of the Power System managers.
Table 12
Required Drivers to Support Critical Behaviors
Method(s) Timing
Critical Behaviors Supported
1, 2, 3
Reinforcing
Online training includes
concepts, different approaches,
benefits, and job aides regarding
to implement comprehensive
succession planning
Ongoing 1, 3
Meetings with Power System
managers to review current
situation, expectations, pitfalls,
goals and time frames.
Monthly 1, 2, 3
Using different communication
channels and general meetings
by general manager and other
executives to bold the
importance of the
implementation of succession
planning
Ongoing 1, 2, 3
Encouraging
Showcase presentation and peer
modeling during project team
meetings.
Every two months 1, 2
Feedback and mentoring from
project team and SME’s
Ongoing 1, 2, 3
Rewarding
Organization-wide recognition
by using the company bulletin
and the general meetings to
Quarterly for company
bulletin, ongoing for general
meetings
1, 2, 3
COMPREHENSIVE SUCCESSION PLANNING 101
recognize managers or
supervisors who meet the
performance goals
The eligible candidate for
promotion will promote if they
have ready a predecessor for
his/her current position

on going 1, 2, 3

Monitoring
Project team can track Power
System manager's performance
by scheduling performance
review meetings

Every two months 1, 2
Human Resource can track the
number of managers that
actively participate in the
training programs.
On going 3
Project team can ask managers
to self-report their confidence
and self-efficacy in mentoring
their supervisors to implement
comprehensive succession
planning program
Monthly 1, 2

Organizational support.To ensure that the required drivers are implemented, the
organization will provide the following support. First, Power System managers will review the
project progress by scheduling effective milestones no less than two months apart. Also, lower-
level managers and supervisors will review the progress biweekly throughout the transformation.
Second, the Power System managers at all levels will promote the culture of openness,
collaboration, team working, and knowledge sharing at organization, but will not make it a
competition. The managers will use the company bulletin, general meetings and other effective
communication channels to promote related values and behaviors which help implementing
comprehensive succession planning. In addition, a system to solicit improvement suggestions
from team members at all levels, will include mentoring for development of effective business
cases, forming cross-silo collaborative project teams, and allocation of time and resources for
COMPREHENSIVE SUCCESSION PLANNING 102
completion. Also, showcase presentations and recognition programs will help to foster the
supportive culture required to implement and maintain comprehensive succession planning.
Third, the recognition programs employed as motivational incentives will be integrated
into the plan. Civil service structures limit financial and promotional incentives due to more rigid
hiring, bonus, and promotional rules. However, reputation is a non-financial motivator that can
be effective within this type of organization. The managers and frontline employees will get
recognized for their contributions to organizational change. This will improve their reputation
within the organization, which is often perceived as a most prized career commodity.
Furthermore, the promotional and hiring policy will adapted to reflect the importance of
succession planning. When the organization interviews for hiring, transfer, or promotion
experience, it should consider performance and knowledge of succession planning. Hiring rules
will change so that successors can be in advance of positions being vacated. Incentives will also
be provided for people to stay six to twelve months longer after deciding and announcing
retirement. Advanced notice will incentivize as much as possible, so that the individual and the
organization can develop a collaborative game plan. There is a possibility for recognition by city
government, as succession planning is a high-visibility priority in city leadership.
Level 2: Learning
Learning goals. Recommended solutions proposed in this research project will lead
stakeholders to:
1. Know enough about succession planning to successfully implement it. (D)
2. Know how to implement the comprehensive succession planning. (P)
3. Be fully aware of the costs of not implementing comprehensive succession planning.
(Value)
COMPREHENSIVE SUCCESSION PLANNING 103
4. Believe in their ability to overcome the challenges, obstacles and barriers in their way
to implement a comprehensive succession planning (Confidence).
5. Be accountable for implementing comprehensive succession planning (Commitment).
6. How to foster and promote the culture of being proactive, open, risk taking, sharing
and cooperation. (P)
7. How to modify and find a solution for current hiring, promotion, and incentive policies
to facilitate implementation of comprehensive succession planning activities and
initiatives. (P, S)
Program. To achieve the above mention learning goals two training programs will be
designed and implemented by the HRD. An attractive online training will be designed and
provided to all managers and supervisors at all WRUC’s level. This interactive online training
will have different modules including comprehensive succession planning concepts, definitions,
case studies, benefits, and different approaches. Managers and supervisors will have access to
this course via Power System University (PSU), a Computer Based Training platform. The
managers and supervisors will take this course no later than one month after the course lunch.
After this online training, a three day (27 hours) face-to-face practical training designed
by a SME and reviewed by HRD will deliver to the Power System managers who make up the
Strategic Development Task Force(SDTF). This two-day training will be mix of interactive
training techniques such as case studies, group activities and lectures. During this training, the
SDTF will give the opportunity of practicing the process of implementing comprehensive
succession planning by working on the real cases from WRUC. In this practical training, they
will use the supplementary materials, organizational data and information and will receive
feedback from peer review and instructor.
COMPREHENSIVE SUCCESSION PLANNING 104
Components of learning. To apply what is learned to solve problems and meet
performance goals of the Power System, managers must have the knowledge skills and
motivation to achieve their goals. As such, it is important to assess learning for both the
conceptual and procedural knowledge being taught. It is critical that the Power System managers
value training, are committed, and confident so that they can apply what they have learned on a
daily basis. Table 13 lists the evaluation methods and timeframe for these learning components.
Table 13
Components of Learning for the Program.
Method(s) or Activity(ies) Timing
Declarative Knowledge “I know it.”
Knowledge checks using multiple choice
questions
In the one-hour online training after each
module.
Knowledge checks through the table group Periodically during the in-person training and
documented via observation notes.

Knowledge check using action planning At the end of the in-parson training by
evaluating the created plans by participants

Procedural Skills “I can do it right now.”
Use real cases in group tabling and create a
succession plan for that real critical and at-
risk position
At the end of the in-person training
Demonstration in groups and individually of
using the job aids to successfully perform
the skills
During the in-person training
Quality of the feedback from peers during
group sharing
During the in-person training
Retrospective pre- and post-test assessment
survey asking participants about their level
of proficiency before and after the training
At the end of the in-person training
Attitude “I believe this is worthwhile.”
Instructor’s observation of participants’
statements and actions demonstrating that
they see the value and benefit of
implementing comprehensive succession
planning
During the in-person training
COMPREHENSIVE SUCCESSION PLANNING 105
Pre- and Post-test assessment survey to
determine if the value has increased to
implement comprehensive succession
planning
At the end of both online and in person training
Brainstorm the cost of not implementing
comprehensive succession planning at
WRUC
During the in-person training
Confidence “I think I can do it on the
job.”

Survey items using scaled items After each online training module
Feedback from peer and Team Lead After the in-person training
Dedicated time to discuss the SDTF
concerns about implementing comprehensive
succession planning
During the in-person training
Retrospective pre- and post-test assessment
item
After the in-person training
Commitment “I will do it on the job.”
Discussions following practice and feedback

During the in-person training
Ask the attendees to write down and share
how they will implement what they have
learned on the job
After the in-person training
Retrospective pre- and post-test assessment
item
After the in-person training

Level 1: Reaction
It is critical to consider how participants react to the learning experience, which can be
affected by the mindset or preconceptions they bring into it, as well as the environment, course
design, and other factors. It is, therefore, important to assess the quality of the learning event, as
it can affect its effectiveness. These insights can be used to make ongoing adjustments. Table 14
lists the components to measure reactions of the participants to the training experience being
favorable, engaging, and relevant.
COMPREHENSIVE SUCCESSION PLANNING 106
Table 14
Components to Measure Reactions to the Program.
Method(s) or Tool(s) Timing
Engagement
Data analytics in the learning management
system
Ongoing during asynchronous portion of the
course.
Completion of online modules Ongoing during online course
Observation by instructor/facilitator During the in-person training
Observation by training department
representative
During the in-person training
Course evaluation survey Immediately after the course
Relevance
Brief pulse-check with participants (ongoing) After every morning or afternoon session of
the in-person training

Course evaluation survey Immediately after the course
Customer Satisfaction
Brief pulse-check with participants (ongoing) After every morning or afternoon session of
the in-person training

Course evaluation survey Immediately after the course

Evaluation Tools
Immediately following the program implementation. During the online training, the
learning analytics tool in the learning management system (LMS) will collect data about the
start, duration, and completion of modules by the participants. This data will indicate the
engagement with the course material. The LMS will also administer brief surveys after each
module requesting the participant to indicate the relevance of the material to achieve the training
goal and their overall satisfaction with the content and delivery of the online course.
For Level 1, during the in-person training, the instructor and training department
representative will conduct periodic, brief pulse-checks by asking the participants about the
relevance of the content on how to implement comprehensive succession planning, content
delivery, and learning environment. The training representative will perform spot checks after
COMPREHENSIVE SUCCESSION PLANNING 107
morning and afternoon sessions, while the instructor will conduct them during sessions. In
addition, a survey (see Appendix A) including several questions designed to measure relevant,
engagement, and satisfaction, will be conducted immediately at the end of in-person training by
training department staff. Level 2 will include checks for the participants’ gained knowledge and
skills, their attitude regarding applying what they acquiesced and their commitment to apply
them on the organization to facilitate the change. Level 2 will also use group discussions and
reporting out on the topics being discussed to gauge participant understanding.
Scale 1-5 (Strongly agree to strongly disagree)
1. I know the major concepts of comprehensive succession planning (L2: factual
knowledge)
2. I believe on the benefits of implementing comprehensive succession planning at WRUC
(L2: Attitude)
3. I feel confident about applying what I learned in the training program to implement
comprehensive succession planning at WRUC (L2: Confident)
4. The training held my interest (L1: Engagement)
5. What I learned from this training course will help me to implement comprehensive
succession planning at WRUC (L1: Relevance)
Open -ended questions

6. Please describe the process of comprehensive succession planning implementation. (L2:
Procedural)
7. Please describe how do you plan to apply what you learned to improve comprehensive
succession planning implementation at WRUC? (L2: Commitment)
COMPREHENSIVE SUCCESSION PLANNING 108
8. Please explain the likelihood that you are to recommend this training to other managers
(L1: Customer Satisfaction)
Delayed for a period after the program implementation. Approximately 60 days after
the in person training the training department will conduct a survey (see Appendix B for survey
questions) containing open and scaled items using the blended evaluation approach. This survey
will measure from the manager’s perspective all Kirkpatrick’s four levels in one glance. It will
measure satisfaction, relevance of the training topics and materials, managers’ ability,
commitment and recommending strategies to implement a comprehensive succession planning in
WRUC (Level 1). In addition, it will assess the managers’ knowledge, skills, confidence,
attitude, commitment and value of applying their training (Level 2) to the project. Regarding the
level 3 and 4, this instrument will measure the application of the training course to the managers’
critical behaviors and ability to implement comprehensive succession planning, and the extent to
which they are able to improve the internal and external outcomes resulted from the
implementing comprehensive succession planning.
Scale 1-5 (Strongly disagree to strongly agree)
1. What I learned in the training has been very valuable to implement comprehensive
succession planning at WRUC. (L1)
2. After training, I had a better approach to evaluate the current situation, recognize the
barriers and organizational pitfalls and was able to address them to be able to implement
comprehensive succession planning at WRUC. (L2)
3. My teammates and I applied all knowledge and skills we gained in the training course to
lead the implementation of comprehensive succession planning at WRUC. (L3)
COMPREHENSIVE SUCCESSION PLANNING 109
4. I am able to improve WRUC’s performance by implementing comprehensive succession
planning and have successors ready for each position at WRUC. (L4)
Data Analysis and Reporting
Level 4 management goals for the Power System are assessed by key performance
indicators and metrics described in Table 10 for each internal or external outcome. Power
System managers must have the knowledge, skills and motivation to make further progress
toward comprehensive succession planning implementation at WRUC. Each month, the Team
Lead will compile the data from different sources and track the progress of each metrics. For
instance, the Team Lead will track the HR annual contractor hiring list to see if there has been a
decrease in hiring contractors. and then will share out the results with the project team to monitor
the level 4 progress and results and hold the participants accountable. The dashboard presented
in table 15 will report the data on these measures. Similar dashboards will be created to monitor
Levels 1, 2, and 3.
Table 15
Dashboard to report data
Dashboard Goal Spring 2019 Summer 2019 Fall 2019 Winter 2019
Increased Power
System reliability
20% XX XX XX XX
Improve the
external
accountability
20% XX XX XX XX

Improve managing
critical and
mission related
institutional
knowledge and
skills
50% XX XX XX XX
COMPREHENSIVE SUCCESSION PLANNING 110
Increased
employee
confidence/satisfac
tion
10% XX XX XX XX
Decreased
number of hired
consultants and
contractors
resulting in
financial saving
20% XX XX XX XX

Summary
The New World Kirkpatrick Model was used to frame this study’s implementation and
evaluation plan (Kirkpatrick & Kirkpatrick, 2016). Four levels of evaluation are used to ensure
that Power System managers have the knowledge, motivation, and organizational support to
improve comprehensive succession planning implementation at WRUC. This model argues that
the plan should begin with the desired end in mind, including how to assess success. In other
words, the plan should clearly identify the desired outcomes and associated evaluation metrics
and methods. Outcomes, which are part of Level 4 of this model, should be aligned with the
organization’s goals.
Next, the program should examine Level 3 which is dedicated to the critical behaviors
that can lead to Level 4 outcomes. In this case, the plan should outline the behaviors that Power
System managers should learn and cultivate through training programs which will be designed to
further the project. Furthermore, the plan includes evaluation of participants’ learning and
knowledge, attitude, commitment, and confidence during the training (Level 2). Finally, the plan
includes methods to measure how the participants are reacting to the training to determine the
participants’ satisfaction, engagement, and understanding of the relevance of the training (Level
1).
COMPREHENSIVE SUCCESSION PLANNING 111
Based on past performance, the odds are not favorable for the required organizational
changes to take place. If trainings are initiated and level 1 and 2 goals are achieved, level 3 and 4
goals will remain challenging. It is likely that the underlying culture will remain unchallenged, as
witnessed by frustrated efforts in various departments over the past years. In this likely scenario,
the new processes will be engaged only for compliance, but not likely in a meaningful way. The
critical operations appear to continue to work despite poor performance in succession planning,
so the risk or threat does not seem imminent to most. Structural changes affecting promotions
and other incentives are also difficult to achieve, so motivation to make difficult changes is
evidently lower than required. The inertia of existing cultural conditions paired with the rigidity
of civil service rules are cause for concern for level 3 and 4 objectives. However, there are
several encouraging factors that are cause for cautious optimism: Comprehensive succession
planning has attained more visibility; leadership has renewed its focus on customer satisfaction;
new employees are more technologically and culturally inclined to network; and accelerated
changes in the industry require greater innovation.
It is important to evaluate and analyze data collection during program implementation to
improve the chance of successful implementation. Training evaluation will assess whether
expectations are met and why on an ongoing basis so that adjustments can be made continuously
(Kirkpatrick & Kirkpatrick, 2016).
While training is being conducted, when the type of reaction and degree of learning does
not meet expectations, the plan will call for the trainer and training department to identify the
underlying issues and make the appropriate adjustments. If Power System managers are not
learning or reacting as expected, it is recommended that the trainer and training department
representative do a pulse check to and ask the participants what thoughts they have and address
COMPREHENSIVE SUCCESSION PLANNING 112
the issues that are raised (Kirkpatrick & Kirkpatrick, 2016). When the level of reaction and
learning meets expectations, the trainer may want to perform a pulse check to understand what
increased engagement, as a lesson learned (Kirkpatrick & Kirkpatrick, 2016).
After training, when the level of behavior and results does not meet expectations, then it
is important to discuss with the participants to reveal why required drivers and critical behaviors
that are not being achieved (Level 3). They will need to examine why the leading indicators and
desired results, for Level 4, are not progressing (Kirkpatrick & Kirkpatrick, 2016). The training
department can solicit feedback from the participants. Participants may discuss behaviors that
would allow them to move forward toward the performance goals through surveys or interviews.
When the levels of behavior and results do meet or exceed expectations, it is recommended that
the project team share the positive lessons learned and success (Kirkpatrick & Kirkpatrick,
2016).
Finally, it is important to provide a final report on the project outcomes to the project
team and share it with other managers and executives. Sharing progress can help with sustaining
organizational support, which is a critical aspect for success in any organizational change
initiatives or learning initiative (Kirkpatrick & Kirkpatrick, 2016). To encourage performance
and results, Kirkpatrick and Kirkpatrick (2016) recommend providing periodic reports, planning
for touch points throughout the implementation process. To engage managers in topics that are
important to them for evaluation, the reports and a dashboard should demonstrate that the
program is relevant, credible, compelling, and efficient (Kirkpatrick & Kirkpatrick, 2016).
Recommendations for Future Research
Data collection revealed that managers do not believe that comprehensive succession
planning is an activity which should to be led by the Human Resources Department. In addition,
COMPREHENSIVE SUCCESSION PLANNING 113
literature review revealed that there is a lack of research showing how organizational factors can
improve implementing CSP. Thus, it is recommended that future research explore how Strategic
Human Resource Management (SHRM) in organizations can improve CSP implementation. It is
also recommended that future studies explore how effective organizational communication,
hiring subject matter experts, and leadership styles affect CSP at implementation. Additionally,
further developing quantitative and qualitative measures of the benefits of CSP can help develop
stronger business cases and to serve as improved implementation assessment tools.
Limitations and Delimitations
The purpose of the research was to study the knowledge, motivation, and organizational
elements that has prevented Power System managers from implementing comprehensive
succession planning. The purpose and design of the research likely lead to limitations or
restrictions as well as delimitations that can affect the data and its analysis.
Some limitations are inherent to qualitative data collection that is difficult to control.
Limitations often associated with qualitative data collection include time constraints, scheduling
conflicts for the interviews, inaccurate or biased answers such as responses that seek to portray a
favorable image or avoid a negative impression (Weiss, 1994). These limitations during the data
collection phase may constitute a challenge for the data analysis.
Delimitations are decisions made by and under the control of a researcher that may affect
the analysis of data. One delimitation is related to the selected problem of practice. This
particular study explored the underlying causes of preventing WRUC from developing and
implementing comprehensive succession planning. The intention of the study was to identify
solutions for the organization being studied. Lessons from this case may also be applied to other
similar organizations. Additional delimitations of the study include the site of analysis, the KMO
COMPREHENSIVE SUCCESSION PLANNING 114
gap analysis model, and the demographic criteria identified for the selection of the interview
participants. The researcher selected WRUC as the organization to study due to convenience and
a higher likelihood of access to pertinent documentation and personnel. The researcher selected
WRUC’s Power System business unit, which was comprised of six divisions, as the site of
analysis because it was where the problem of practice was most critical within the company. The
KMO model was selected because evidence shows it was effective for revealing underlying
causes related to the performance gap (Clark & Estes, 2008). The demographic criteria of the
interview participants were selected to understand the perspectives and opinions of those
responsible for related decision-making and implementation.
Conclusion
The literature review defines comprehensive succession planning as a sustained,
structured, and systematic process of determining goals, needs, and roles within an organization
to successfully identify and prepare personnel to replace employees that hold key positions
(Johnson, 2016; Ip & Jacobs, 2006; Launa, 2012; Moradi, 2014). Data collection revealed that to
implement comprehensive succession planning in WRUC, it is first important for stakeholders to
have a clear and comprehensive understanding of the concept and agree upon which
organizational levels should be the focus of intervention.
Stakeholders and the project team should to be familiar with challenges, barriers, and
obstacles that can hinder CSP implementation. To have a big picture about these obstacles, the
project team should conduct a SWOT analysis and formulate a comprehensive strategic plan,
including a written process. WRUC has sufficient resources and capable managers and its history
shows that it has overcame significant challenges, being able to meet stringent technical and
environmental targets. It is important to apply these study recommendations to hold all levels of
COMPREHENSIVE SUCCESSION PLANNING 115
the organization accountable for achieving this strategic imperative and bridge the current gap.
Mobilizing organizational resources, implementing a systematic and structured approach with
more effective HR intervention are key factors to improve the current performance. The present
role of HR is limited, but a more strategic and proactive leadership role for this function is
required to support Power System managers to succeed in their CSP efforts.

COMPREHENSIVE SUCCESSION PLANNING 116
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COMPREHENSIVE SUCCESSION PLANNING 123

APPENDIX A
KIRKPATRICK LEVEL 1 EVALUATION QUESTIONNAIRE
For each of the questions below, check the response that best characterized how you feel
about the statement.
Strongly
Agree
Agree Neutral Disagree Strongly
Disagree
1.I know the major
concepts of CSP

2.I believe on the
benefits of
implementing CSP
at WRUC

3.I feel confident
about applying
what I learned in
the training
program to
implement CSP at
WRUC

COMPREHENSIVE SUCCESSION PLANNING 124
4.The training held
my interest

5.What I learned
from this training
course will help
me to implement
CSP at WRUC

Please provide feedback on the following questions:
6. Please describe the process of CSP implementation.
7.Please describe how do you plan to apply what you learned to improve CSP implementation at
WRUC.
8.Please explain the likelihood that you are to recommend this training to other
managers.

COMPREHENSIVE SUCCESSION PLANNING 125
APPENDIX B
KIRKPATRICK BLENDED EVALUATION QUESTIONNAIRE
For each of the questions below, check the response that best characterized how you feel
about the statement.
Strongly
Agree
Agree Neutral Disagree Strongly
Disagree
1.What I learned in
the training has
been very valuable
to implement CSP
at WRUC

COMPREHENSIVE SUCCESSION PLANNING 126
2.After training, I
had a better
approach to
evaluate the current
situation, recognize
the barriers and
organizational
pitfalls and was
able to address
them to be able to
implement CSP at
WRUC.

3.My teammates
and I applied all
knowledge and
skills we gained in
the training course
to lead the
implementation of
CSP at WRUC.

COMPREHENSIVE SUCCESSION PLANNING 127
4.I am able to
improve WRUC’s
performance by
implementing CSP
and have
successors ready
for each position at
WRUC

COMPREHENSIVE SUCCESSION PLANNING

128
128

APPENDIX C
INTERVIEW PROTOCOL
1. Conceptual Knowledge;
As you know, WRUC is implementing comprehensive succession planning.
a. Would you please share your definition of comprehensive succession planning?
b. Who’s responsible for implementing it?
c. To which positions should succession planning apply?
2. Conceptual Knowledge;
What does being proactive in the implementation of comprehensive succession planning
mean to you?
a. How might it be different from a more reactive or scrambling approach?
b. Which factors are critical for successful completion of a comprehensive succession
planning in this organization?
3. Conceptual Knowledge;
How can succession planning help create and manage organizational knowledge?
4. Procedural Knowledge;
Can you explain the process of implementing a comprehensive succession
planning in this organization?
5. Motivation: Expectancy-Value theory;
What impact can comprehensive succession planning have on organizational performance
(Innovation, Safety, Customer service, Reliability, Environmental Responsibility)
6. Motivation: Self-Efficacy theory;
COMPREHENSIVE SUCCESSION PLANNING

129
129
How confident are you that the Power System can fully implement comprehensive
succession planning? Why?
7. Organizational influences: Cultural model
a. How would you evaluate the following cultural aspects of the Power System?
Collaboration, knowledge sharing, proactivity and initiative, level of trust, commitment,
psychological ownership?
b. What organizational cultural factors in the Power System inhibit or promote the
implementation of comprehensive succession planning?
8. Organizational influences: Cultural models;
Who will be held accountable for complete implementation of comprehensive succession
planning?
9. Organizational influences: Cultural setting;
How might current hiring, promotion, transfer, and incentive policies affect
implementation of comprehensive succession planning?

COMPREHENSIVE SUCCESSION PLANNING

130
130
APPENDIX D
INFORMED CONSENT FOR INTERVIEW
UNIVERSITY OF SOUTHERN CALIFORNIA
ROSSIER SCHOOL OF EDUCATION
LOS ANGELES, CA 90089
INFORMED CONSENT FOR NON-MEDICAL RESEARCH

Implementing a Comprehensive Succession Planning:
An Improvement Study
You are invited to participate in a research study conducted by Mohammadreza Bashiri,
because you are executive/manager at WRUC. You should read the information below, and ask
questions about anything you do not understand, before deciding whether to participate. Please
take as much time as you need to read the consent form. If you decide to participate, you will be
asked to sign this form. You will be given a copy of this form.
PURPOSE OF THE STUDY
This research study aims to understand your perceptions and attitudes toward implementing a
comprehensive succession planning at WRUC. Findings from this study will contribute to the
growing body of literature on the importance of succession planning, succession planning
implementation, and challenges to implement succession planning.
STUDY PROCEDURES
If you volunteer to participate in this study, you will be asked to participate in an interview
complete which is anticipated to take about 1 hour. You do not have to answer any questions you
don’t want to.
COMPREHENSIVE SUCCESSION PLANNING

131
131
POTENTIAL RISKS AND DISCOMFORTS
There are no anticipated risks associated with this research study.
POTENTIAL BENEFITS TO PARTICIPANTS AND/OR TO SOCIETY
This study is being conducted to enrich the knowledge base surrounding the succession
planning and reducing the cost of losing and transferring the employees, managers, and leaders at
WRUC. Furthermore, findings from this study can be used to improve organizational practices
focused on employees’ development plans, employees’ engagement and satisfaction, also human
resource policies, programs, and plans.
CONFIDENTIALITY
We will keep your records for this study confidential as far as permitted by law. Any
identifiable information obtained in connection with this study will remain confidential. Your
responses will be coded with a false name (pseudonym) and maintained separately. The data will
be stored on the researcher’s password-protected laptop and will be kept indefinitely. When the
results of the research are published, or discussed in conferences, no identifiable information will
be used.
PARTICIPATION AND WITHDRAWAL
Your participation is voluntary. You may withdraw your consent at any time and discontinue
participation without penalty. You are not waiving any legal claims, rights or remedies because of
your participation in this research study.
RESEARCHER’S CONTACT INFORMATION
If you have any questions or concerns about the research, please feel free to contact researcher:
RIGHTS OF RESEARCH PARTICIPANT – IRB CONTACT INFORMATION
COMPREHENSIVE SUCCESSION PLANNING

132
132
If you have questions, concerns, or complaints about your rights as a research
participant or the research in general and are unable to contact the researcher, or if you want to
talk to someone independent of the researcher, please contact the University Park Institutional
Review Board (UPIRB), 3720 South Flower Street #301, Los Angeles, CA 90089-0702, (213)
821-5272 or upirb@usc.edu
SIGNATURE OF RESEARCH PARTICIPANT

I have read the information provided above. I have been given a chance to ask questions.
My questions have been answered to my satisfaction, and I agree to participate in this study. I
have been given a copy of this form.

Name of Participant

Signature of Participant Date

SIGNATURE OF RESEARCHER

I have explained the research to the participant and answered all of his/her questions. I believe
that he/she understands the information described in this document and freely consents to
participate.

Name of Person Obtaining Consent

COMPREHENSIVE SUCCESSION PLANNING

133
133
Signature of Person Obtaining Consent Date

COMPREHENSIVE SUCCESSION PLANNING

134
134

APPENDIX E
RECRUITMENT E-MAIL FOR SURVEY
Good morning/afternoon,
My name is….and I’m a doctoral student at the University of Southern California. I am
conducting a research study about implementing a comprehensive succession planning at
Western Region Utility Company. I am emailing to ask if you would like to participate in a
one-hour interview for my research study. Participation is completely voluntary, and your
answers will remain confidential. If you are interested or have any questions, please contact
me.
Thank you for your time,

Abstract (if available)

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Asset Metadata

Creator Bashiri, Mohammadreza (author)

Core Title Implementing comprehensive succession planning: an improvement study

School Rossier School of Education

Degree Doctor of Education

Degree Program Organizational Change and Leadership (On Line)

Publication Date 03/08/2018

Defense Date 02/05/2018

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag accountability,Clark and Estes’gap analysis,comprehensive succession planning,cultural models and setting,expectancy-value theory,KMO model,knowledge management,New World Kirkpatrick Model,OAI-PMH Harvest,PDCA cycle of succession planning process,self-efficacy theory,succession planning implementation

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Datta, Monique Claire (committee chair), Ahmadi, Shafiqa (committee member), Krop, Cathy Sloane (committee member)

Creator Email bashiri.mr@gmail.com,bashiri@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-483811

Unique identifier UC11265817

Identifier etd-BashiriMoh-6089.pdf (filename),usctheses-c40-483811 (legacy record id)

Legacy Identifier etd-BashiriMoh-6089.pdf

Dmrecord 483811

Document Type Dissertation

Rights Bashiri, Mohammadreza

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA