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Executive succession planning: a study of employee competency development
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Content
Executive Succession Planning: A Study of Employee Competency Development
by
Robert Mb. Flak
Rossier School of Education
University of Southern California
A dissertation submitted to the faculty
in partial fulfillment of the requirements for the degree of
Doctor of Education
August 2021
© Copyright by Robert Mb. Flak 2021
All Rights Reserved
The Committee for Robert Mb. Flak certifies the approval of this Dissertation
Dr. Eric Canny
Dr. Kenneth Yates
Dr. Adrian Donato, Committee Chair
Rossier School of Education
University of Southern California
2021
iv
Abstract
This study sought to explore the knowledge-based, motivational, and organizational root causes
preventing Xrante from implementing an executive succession plan. Moreover, this study further
examined the underdevelopment of workplace competencies for employees as potential
executive candidates, as aligned to the ten succession competencies, and their lack of
involvement in the design of the executive succession plan. Clark and Estes’ (2008) gap analysis
provided the conceptual and methodological framework for this study. Through the use of an
explanatory sequential mixed methods design, relationships between knowledge, self-efficacy,
value, attribution, and emotion were investigated. Results from surveys, interviews, and
document analysis identified six verified needs on the problem of practice in the areas of
conceptual, procedural, and metacognitive knowledge, value, and cultural models and settings.
The verified needs were utilized in the selection of evidence-based recommendations for
solutions and the creation of an integrated implementation and evaluation plan using the New
World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016). The suggested executive candidate
training program in Chapter 5 informs a potential change initiative towards competency-based
employee development that would feed into the organizational executive succession planning for
many following years.
v
Dedication
To anyone who has ever been told they were not good enough and would never amount to anything.
I hope that someone reading this finds the inspiration to stay the course. NEVER STOP
FIGHTING! Do not let anyone decide your destiny. Rise above the insecurities of others and lack
of support. You can and will win your battle for yourself. You only need to prove it to yourself.
You are strong. You are capable. You are worthy. You are something … and will continue to
become even more. I believe in you and your ability to climb through the storm clouds. Above all,
FIGHT ON my friend!
“Believe you can and you’re halfway there.” - Theodore Roosevelt
“Hard work is worthless for those that don’t believe in themselves.” - Naruto
“Never give up on something that you can’t go a day without thinking about.” - Winston Churchill
vi
Acknowledgments
"If I have seen further, it is by standing upon the shoulders of giants” – Sir Isaac Newton.
I am extremely grateful to the commitment displayed by my dissertation committee! It is
only through your mentorship that I was able to finish this program. Dr. Donato – I am deeply
indebted to your dedication as my Chair. You displayed such patience and reassurance
throughout the entire process; even when I was flapping in the wind! You have been a role
model for me and if I ever have the chance to become a Chair; I will be thinking back to your
example! Dr. Yates – I will forever be grateful for your recommendation towards creating the
“succession competencies” as this was a major turning point for my research study. You
effortlessly understood my problem of practice and what was necessary to conduct a research
study of worth. Dr. Canny – You have been inspiring me since the EDUC 725 course from the
Fall 2019 term. I have immense adoration for your perspective and found great value in your
analysis of my research focus. You taught me how to view issues from multiple lenses to create
sustainable solutions. I look forward to working with you on future projects.
Ed Balderas and Hao Pengshung – You were my first friends in Cohort 13, and I love that
we have had near-daily contact since January 2019. You taught me more than you may ever
realize. We have roughed it out through good times, horrible times, and the best and worst of in-
class moments. Thank you for allowing me to be a part of your lives. The best parts of our
friendship are yet to come.
Elana Glasenberg – I have never met anyone more compassionate than you. You are an
amazing person and I have great respect for your research study focused on inclusive education
in Ukraine. I hope to one day be as impactful as you. You were a great voice of reason to me
vii
when my crazy brain got out of control. I love your dedication to education and so many students
throughout your career. Truly, thank you for being my friend.
Kathleen Kane – We became friends near the end of the program when you asked me to
serve as the data collection manager for your dissertation. It was an honor, and I am thankful for
the opportunity. You have an incredible business mind. I always love to hear your perspective on
the human experience and how it relates to successful, sustainable business methods. Thank you
for helping me reframe methods and theories when I was stuck during my writing of chapters
four and five!
Porscha Freeman – In 2017, you catapulted from just another new Army Recruiter I met
in the Army Recruiting Command to my best friend in a matter of roughly eight days (insert
Shaq/cat shimmy GIF here). Despite relocations and the many throes of life’s ups and downs,
our friendship remains rock solid. You helped me decide to pursue this program and told me
repeatedly that I could make it through to the end. Thank you for believing in me!
Diane Zelinski – I graduated high school because of you. The success in my bachelor’s
program, my master’s program, and my earning the title of “Dr. Flak” are inextricably linked to
your untiring dedication as an educator. You will forever be linked to any future success I have
in life. You taught me how to overcome my aversion to traditional education and inspired me to
look at the world from a different perspective. You are the epitome of educational curiosity and
value. I could thank you every day for a year and I still would not have thanked you enough. You
are an incredible woman. Thank you for your example.
My Amazing Family – I want to express so much love and thanks to my family for
supporting me during this program. The completion of my dissertation would not have been
possible without your encouragement. Mom and Dad, you are saints. I owe everything to you
viii
and could not be prouder to be your son. Thank you for indulging me in so many late-night
conversations about this program. You both helped me overcome some dark moments in ways
that only parents could. You are incredible people who have had an immense impact on my life.
To save the best for last, My Gorgeous Wife – Victoria, you are the inspiration of my
life. You have been the driving force behind EVERY success I have had in our 10 years of
marriage. Without you, I would be a much different and less accomplished man. Thank you for
pushing me to apply for, stay in, and finish this program. Thank you for supporting me during
the hardest parts of this program. I love you today the same as I did when I met you, and as I
always will!
ix
Table of Contents
Abstract .......................................................................................................................................... iv
Dedication ........................................................................................................................................v
Acknowledgments.......................................................................................................................... vi
List of Tables ................................................................................................................................ xii
List of Figures .............................................................................................................................. xiv
Chapter One: Introduction ...............................................................................................................1
Organizational Context and Mission ...................................................................................1
Organizational Performance Status/Need ............................................................................2
Related Literature.................................................................................................................2
Importance of the Organizational Innovation ......................................................................4
Organizational Performance Goal ........................................................................................5
Stakeholders and Stakeholders’ Performance Goals ...........................................................6
Stakeholder for the Study and Stakeholder Performance Gap.............................................7
Purpose of the Project and Questions ..................................................................................7
Methodological Framework .................................................................................................8
Definitions............................................................................................................................8
Organization of the Study ....................................................................................................9
Chapter Two: Review of the Literature .........................................................................................10
Succession Planning Characteristics ..............................................................................................10
Organizational Components of Succession Planning ........................................................13
Role of Stakeholder Group of Focus .................................................................................16
Clark and Estes’s (2008) Knowledge, Motivation and Organizational Influences
Framework ...................................................................................................................16
Stakeholder Knowledge, Motivation, and Organizational Influences ...............................17
x
Conceptual Framework: The Interaction of Stakeholders’ Knowledge and Motivation
and the Organizational Context ...................................................................................29
Conclusion .........................................................................................................................32
Chapter Three: Methods ................................................................................................................33
Participating Stakeholders .................................................................................................34
Data Collection and Instrumentation .................................................................................37
Data Analysis .....................................................................................................................38
Credibility and Trustworthiness .........................................................................................39
Validity and Reliability ......................................................................................................40
Ethics..................................................................................................................................40
Limitations and Delimitations ............................................................................................42
Chapter Four: Results and Findings ...............................................................................................44
Participating Stakeholders .................................................................................................45
Data Validation ..................................................................................................................46
Results and Findings for Knowledge Causes.....................................................................46
Results and Findings for Motivation Causes .....................................................................59
Results and Findings for Organization Causes ..................................................................72
Summary of Validated Influences .....................................................................................80
Conclusion .........................................................................................................................84
Chapter Five: Solutions and Integrated Implementation and Evaluation Plan ..............................85
Organizational Context and Mission .................................................................................85
Organizational Performance Goal ......................................................................................86
Description of Stakeholder Groups ....................................................................................86
Goal of the Stakeholder Group for the Study ....................................................................87
Purpose of the Project and Questions ................................................................................88
Introduction and Overview ................................................................................................88
xi
Recommendations for Practice to Address KMO Influences ............................................90
Integrated Implementation and Evaluation Plan ..............................................................101
Summary ..........................................................................................................................117
Strengths and Weaknesses of the Approach ....................................................................118
Limitations and Delimitations ..........................................................................................119
Future Research ...............................................................................................................119
Conclusion .......................................................................................................................120
References ....................................................................................................................................122
Appendix A: Survey Protocol ......................................................................................................143
Appendix B: Interview Protocol ..................................................................................................151
Appendix D: Sample Survey Items Measuring Kirkpatrick Levels 1 and 2................................155
Appendix E: Sample Survey Items Measuring Kirkpatrick Level 3 Drivers ..............................157
Appendix F: Sample Blended Evaluation Items Measuring All Levels of Kirkpatrick ..............158
xii
List of Tables
Table 1: Organizational Mission, Organizational Goal and Stakeholder Performance Goals 6
Table 2: Knowledge Influences, Types, and Assessments for Knowledge Gap Analysis 20
Table 3: Assumed Motivation Influence and Motivational Influence Assessments 25
Table 4: Organizational Influences and Organizational Influence Assessments 29
Table 5: Study Demographic Data 45
Table 6: Degree of Validation of Confirmed Needs (C = confirmed, NC = not confirmed) 81
Table 7: Summary of Results and Findings, Reported as Identified Assets and Validated
Influences 82
Table 8: Summary of Knowledge Influences and Recommendations 91
Table 9: Summary of Motivation Influences and Recommendations 96
Table 10: Summary of Organizational Influences and Recommendations 98
Table 11: Outcomes, Metrics, and Methods for External and Internal Outcomes 103
Table 12: Critical Behaviors, Metrics, Methods, and Timing for Evaluation 105
Table 13: Required Drivers to Support Critical Behaviors of Employees 106
Table 14: Evaluation of the Components of Learning for the Program 112
Table 15: Components to Measure Reactions to the Program 113
Table A1: Question 1 143
Table A2: Question 2 144
Table A3: Question 3 145
Table A4: Question 4 146
Table A5: Question 5 147
Table A6: Question 6 148
Table A7: Question 7 149
Table A8: Question 8 149
xiii
Table A9: Question 9 150
Table A10: Question 10 150
Appendix C: Document Analysis Protocol 153
xiv
List of Figures
Figure 1: Interactions Between Knowledge and Motivation within the Organizational Models
and Settings 31
Figure 2: Overview of Knowledge Gaps 47
Figure 3: Factual Knowledge Survey Definitions Accuracy 48
Figure 4: Conceptual Knowledge Survey Accuracy of Benefits Selections 50
Figure 5: Procedural Knowledge Survey Accuracy of Strategy Implementation Selections 53
Figure 6: Metacognitive Knowledge Survey Accuracy of Assessment Selections 57
Figure 7: Survey Competency Value Rankings 60
Figure 8: Interview Competency Value Rankings 62
Figure 9: Survey Self-Efficacy Results 64
Figure 10: Interview Self-Efficacy Partial Results 65
Figure 11: Survey Attribution Results 68
Figure 12: Survey Emotion Results 70
Figure 13: Survey Cultural Model Results 73
Figure 14: Survey Cultural Setting Results 77
1
Chapter One: Introduction
Executive succession planning is a fast-growing business topic, and yet, it is a largely
defunct process in most organizations. Succession planning is best defined as a process to invest
in the best and highest-performing talent in any leadership role, and implement plans to replace
planned or unexpected outgoing leadership, but especially at or near the top of an organization
(Barnett & Davis, 2008). This study focused on the underperformance of executive succession
planning expectations and the overall lack of an executive succession plan at Xrante. A 2009
survey by the National Association of Corporate Directors revealed that 43% of U.S. public
companies had no formal executive succession plan and that 61% had no chief executive officer
(CEO) emergency replacement plan as well (Miles & Bennett, 2009). Another study in 2010
showed that nearly 50% of surveyed organizations could not immediately name a CEO successor
if the need were to arise (Larcker & Miles, 2010).
Organizational Context and Mission
Xrante (a pseudonym) is a private company based in the eastern United States that
provides administrative research and analysis support to governmental organizations. Xrante
stands as the premier, go-to choice for strategic governmental problem-solving. This firm is led
by an executive director with several key senior-level management roles serving as direct
reports. However, there is no succession plan for the executive director or the senior-level
positions. There is also no talent management system designed to identify potential executive
candidates and subsequently groom them for a transition into senior or executive roles. The
mission of Xrante is to provide contracted governmental strategic problem-solving expertise.
Xrante has a unique blend of employees with roughly 60% of them having past military
experience. Employee hiring is heavily process-driven with various steps, assessments, and
2
interviews, while management selection is mostly from outside the organization instead of inside
hire. Xrante has a wide variety of age groups, but the average age falls between 33 and 50 years
old. Xrante is very racially and ethnically diverse, but Caucasian males still hold the racial
majority. There are over 2000 employees and the male/female ratio is roughly 60/40.
Organizational Performance Status/Need
This is a problem because Xrante currently has no executive succession plan, though they
have a goal for one delineated in the strategic plan. To minimize transitional chaos and
uncertainty, Xrante needs to develop and implement a sustainable executive succession plan.
Failure to do so could result in delays or losses of future contracts and lead to a rapid loss of
continuity; thereby affecting the lives of Xrante clients and employees. Xrante needs a
systematically actionable and sustainable executive succession plan and an established
succession framework. Currently, no such plan (proposed), or framework exists. The gap in
performance is 100%.
Related Literature
A research study in 1982 surveyed 1,484 firms and found that fewer than 50% of those
firms engaged in succession planning (Brady et al., 1982). Another study 22 years later in 2004,
found that only 25% of respondent organizations were highly confident that they had sufficient
talent to meet their future growth needs (RHR International, 2004). Two years later, a 2006
global benchmarking study of more than 4,500 leaders in over 900 organizations found that
roughly 55% had a succession plan (Bernthal & Wellins, 2006). This same study reported that
over 33% of these organizations rated their succession planning systems as ineffective. A similar
study that same year showed that only 19% of surveyed organizations were convinced that their
talent management strategies and efforts were effective (Balaguer et al., 2006). A much later
3
research study by the Institute for Executive Development and Stanford Business School
(Larcker & Saslow, 2014) showed that 46% of executive respondents were grooming a single
executive to replace the current CEO. Furthermore, only 25% of that original 46% reported
maintaining a pool of qualified candidates for CEO succession (Larcker & Saslow, 2014). It is
important to notice a repeating trend across these research studies and respondents that has not
gotten better over the years. The problem has at least stayed the same and in some cases, even
gotten worse. A 2005 study in the Harvard Business Review found that two out of every five new
CEOs failed in the first 18 months (Charan, 2005). Most of the companies of those failing CEOs
did not have a succession plan in place and it generated transitional chaos until a new CEO was
installed.
Despite noted shortcomings in succession planning throughout the years, relay succession
planning is the most widely used form of succession planning among organizations (Vancil,
1987, 1988). Relay succession planning is a situation in which the new CEO is selected from
within the organization and becomes the heir apparent of the predecessor for 1 to 2 years before
actual succession (Zhang & Rajagopalan, 2004). But, even though relay succession planning is
present, most organizations still do not have a large-scale formal succession plan for senior
management or executives (Naveen, 2006, p. 662). Relay succession generally lacks formality
and is hastily implemented, significantly reducing or eliminating the chance for actionable
learning periods between the outgoing and incoming executive leader (Cannella & Shen, 2001).
Further studies have shown that even when heirs apparent have been designated through relay
succession, over 70% of them do not succeed (Cannella & Shen, 2001; Ciampa & Watkins,
1999; Vancil, 1987). This is often exacerbated by the fact that upon reaching the critical moment
of heir apparent succession, many of the outgoing CEOs skillfully try to prolong their longevity
4
and power (Sonnenfeld, 1991). Those that do not succeed have usually been dismissed for
“leadership personality differences” or depart on their own accord to pursue other opportunities
upon realizing the lost chance for succession (Levinson, 1974). Formal, intensely thought-out,
and strategically crafted executive succession planning holds major benefits for organizational
longevity and can provide many long-term competitive advantages (Hoffman & Womack, 2011).
To create the most value and return on investment for the organization and its members, the best-
serving succession planning process will be systematic and repeatable and intelligently
positioned in the organization’s annual cycle of business processes (Hedge & Pulakos, 2002).
Importance of the Organizational Innovation
Xrante needs to design and implement an executive succession plan for a variety of
reasons. The lack of executive succession planning represents a larger societal problem of talent
management, sustainable organizational growth, and reputational success. Xrante stands as the
premier choice for strategic governmental problem-solving. However, in the heat and chaos of
executive leadership transition, Xrante may experience shifting goal accomplishment due to loss
of executive direction and inspiration (Santora et al., 2015). This would erase future confidence
from the clients of Xrante and reduce the amount of future governmental business. Well-
managed firms perform significantly better than poorly managed firms and experience higher
levels of productivity, profit, and sales growth (Bloom et al., 2005). Furthermore, a 2006 study
revealed that organizations that had low executive attrition rates also had higher retention
programs, which subsequently resulted in lower hiring and separation costs per employee
(Pomeroy, 2006). This expertly demonstrates that a highly-tuned and regulated executive
succession plan would cement Xrante’s strategic organizational goals and increase output.
5
Achievement of Xrante’s organizational goal is expected to enable streamlined
relationships throughout the world, greater reputational success, and increased sustainability and
continuity throughout the organization. However, failure to meet the organizational goal could
set forth a glide slope of chaos amid unexpected transitions and lock Xrante into years of being
reactive rather than proactive. This level of achievement was determined by observation of
current methods of naming executives and senior leaders and by comparing Xrante’s operating
styles to other organizations of comparable size and stature, both in literature and in worldly
settings. Progress will be tracked by comparison studies, projections, failure and succession
simulations, and occasional course-correcting surveys of all stakeholders. Since this performance
goal is new for Xrante and its senior leadership, the performance gap is 100%.
Organizational Performance Goal
By 2021, Xrante will implement an executive succession plan. There are three
stakeholders involved in the achievement of this organizational goal. The first stakeholder group
is the Xrante executive and senior leadership. This group was considered largely due to the focus
of their leadership service and experience. Their perspective on the succession planning process
can provide a top-down perspective not found in the other stakeholder groups. Also, they hold
the final approval authority regarding the selection of candidates to executive and senior
leadership roles.
The second stakeholder group is the clients of Xrante. This group was considered because
they have organizational longevity and can provide an external level of expectation management.
Xrante clients have been privy to various leaders over many years that may or may not still be
with the organization. This allows them to carry sets of philosophical “lessons learned” and
6
better inform the other two stakeholder groups as to what has already been attempted in the past,
successfully or not.
The third group is the stakeholder of focus: the Xrante employees as potential executive
candidates. This focus was selected after consultation with the Xrante director revealed that
employees have relevant insight into competencies necessary for service at the executive level. It
was realized that employees’ have unbound access to other employees in the organization and
understand many elements of the organization’s behavior, often in response to leadership
decisions or even indecision. Employees can either build up or destroy organizational leadership
and it can sometimes happen unexpectedly or unknowingly. This study’s inquiry of potential
executive candidates’ intuition and perception is expected to enhance leadership development
that informs the creation and implementation of Xrante’s future executive succession plan.
Stakeholders and Stakeholders ’ Performance Goals
Table 1
Organizational Mission, Organizational Goal and Stakeholder Performance Goals
Organizational Mission
The mission of Xrante is to provide contracted governmental strategic problem-solving
expertise.
Organizational Performance Goal
By 2021, Xrante will implement an executive succession plan.
Senior Leadership
By 2021, senior leadership
will develop and
implement an executive-
level talent management
system.
Employees
By December 2021, potential
executive candidates will
develop a talent management
system designed to identify
qualities necessary for
selection to executive roles.
Client
By December 2020, clients will
support establishing key
criteria for future senior
leaders.
7
Stakeholder for the Study and Stakeholder Performance Gap
Xrante employees, as potential executive candidates, were the stakeholder of focus for
this study. While the joint efforts of all stakeholders contributed to the achievement of the
organizational goal of implementing a succession plan, it was critical to understand potential
executive candidates’ needs for their participation in the development of a talent management
system. This decision was made after evidence supported that potential executive candidates
offer great insight into the needed competencies and knowledge to perform at executive levels
(Kesler, 2002; Rothwell, 2002). Potential executive candidates are highly involved in the pursuit
of achieving the organizational goal and have many roles in implementing the future Xrante
executive succession plan.
Achievement of Xrante’s goal is expected to enable streamlined relationships throughout
the world, greater reputational success, and increased sustainability and continuity throughout
the organization. However, failure to meet the organizational goal could set forth a glide slope of
chaos amid unexpected transitions and lock Xrante into years of being reactive rather than
proactive. This level of achievement was determined by observation of current methods of
naming executives and senior leaders and by comparing Xrante’s operating styles to other
organizations of comparable size and stature, both in literature and in worldly settings. Progress
will be tracked by comparison studies, projections, failure and succession simulations, and
occasional course-correcting surveys of all stakeholders. Since this performance goal is new for
Xrante and its senior leadership, the performance gap is 100%.
Purpose of the Project and Questions
The purpose of this project is to conduct a needs analysis to examine the root causes of
the organizational problem described above, shortcomings in the implementation of executive
8
succession planning. While a complete needs analysis would focus on all Xrante stakeholders,
for practical purposes the stakeholders to be focused on in this needs analysis are employees as
potential executive candidates. The analysis focused on causes for this problem due to gaps in
the areas of potential executive candidates’ knowledge and skill, and motivation.
1. What knowledge, skills, and motivation do potential executive candidates need to
develop a talent management system designed to identify qualities necessary for selection
to executive roles?
2. What is the interaction between organizational culture and context and potential
executive candidates’ knowledge and motivation?
3. What are the recommended knowledge and skills, motivation, and organizational
solutions to meet the needs of potential executive candidates?
Methodological Framework
Clark and Estes’s (2008) gap analysis, a systematic, analytical method that helps to
clarify organizational goals and identify the gap between the actual performance level and the
preferred performance level within an organization, were adapted for needs’ analysis. Assumed
knowledge, motivation, and organizational (KMO) needs were generated based on personal
knowledge and related literature. These needs were validated by using surveys, interviews,
document analysis, and literature review and content analysis. Research-based solutions were
recommended and evaluated comprehensively.
Definitions
• C-Suite: refers to the executive-level managers within a company.
• CEO: chief executive officer.
9
• Executive: those who manage or direct employees in an organization to influence and
guide these individuals.
• Leadership: used interchangeably to identify executive or senior leadership, but note this
term was only used to classify those leaders that require a formal succession plan.
• Senior: a person, or team of individuals at the highest level of management of an
organization who have the day-to-day tasks of managing that organization.
Organization of the Study
Five chapters are used to organize this study. This chapter provided the reader with the
key concepts and terminology commonly found in a discussion about Xrante and executive
succession planning. The organization’s mission, goals, and stakeholders as well as the initial
concepts of gap analysis adapted to needs analysis were introduced. Chapter Two provides a
review of the current literature surrounding the scope of the study. Chapter Three details the
assumed causes for this study as well as methodology when it comes to the choice of
participants, data collection, and analysis. In Chapter Four, the data and results are assessed and
analyzed. Chapter Five provides 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.
10
Chapter Two: Review of the Literature
Executive succession planning is a necessary concept in any organization across the
globe. Succession planning is best defined as a process to invest in the best and highest-
performing talent in any leadership role, and implement plans to replace planned or unexpected
outgoing leadership, but especially at or near the top of an organization (Barnett & Davis, 2008).
A 2009 survey by the National Association of Corporate Directors revealed that 43% of U.S.
public companies had no formal executive succession plan and that 61% had no CEO emergency
replacement plan as well (Miles & Bennett, 2009). Larcker and Miles (2010) showed that nearly
50% of surveyed organizations could not immediately name a CEO successor if the need were to
arise.
This study focused on the underperformance in the establishment and implementation of
executive succession planning expectations. In this chapter, a review takes place of the existing
literature surrounding executive succession planning. Then there is a review of the role of
employees in executive succession planning, followed by the explanation of the KMO
influences’ lens used in this study. Next, attention turns to the executive KMO influences and the
chapter completes with the presentation of the conceptual framework.
Succession Planning Characteristics
The following three characteristics of succession planning follow: succession planning
methods, relay succession and implementation failure, and identifying leader competencies.
Succession Planning Methods
Succession planning is not a new idea, however, it is not employed as much as thought
and typically falls to relay succession, which is not wholly reliable. Many Fortune 500
companies fail to design a CEO succession plan (Santora, 2004). Some of those companies that
11
have enough foresight to plan for a successor, still often encounter problems during the
implementation stages of a succession plan (Charan, 2005; Miles & Larcker, 2010). All
corporate board members and CEOs should list CEO succession as one of their top priorities
(Santora, 2004). It is important to carefully consider both inside and outside hiring decisions to
best serve organizational continuity during unforeseen circumstances (Daum, 1975; Giambatista,
2004; Helmich & Brown, 1972; Shen & Cannella, 2002). Although outside CEO successors
bring in new competencies and skills (Kesner & Sebora, 1994), they can also be disruptive from
a process standpoint resulting in reduced productivity and organizational performance (Zhang &
Rajagopalan, 2004).
Three methods of succession planning exist: external hire, internal horse race, and relay
succession (Vancil, 1987). Vancil (1987) highlighted the differences of the three succession
planning types: an external hire recruits and selects someone from outside of the organization,
the internal horse race identifies several internal candidates and makes them compete, and relay
succession is the selection of a single heir apparent that will assume the CEO role when the
incumbent steps down.
Relay Succession
The most common form of succession planning is called relay succession (Vancil, 1987).
In a relay succession, the heir apparent is selected years ahead of the transition into the CEO role
and is groomed by the outgoing CEO (Vancil, 1987). The heir apparent uses grooming time to
build familiarity with competitive environments and build support among the board of directors
and key executives (Santora, 2004). The existence of relay succession plans and an heir apparent
provide “backup leadership” if the incumbent CEO is unexpectedly incapacitated. Strong pre-
succession firm performance increases the likelihood of relay succession and decreases the
12
likelihood of outside succession (Kesner & Sebora, 1994; Zhang & Rajagopalan, 2004).
Designating an heir apparent can signal stability to stakeholders because it shows that the
transfer of executive power is under control (Cannella & Lubatkin, 1993). However, sometimes
CEO entrenchment derails relay succession planning.
Relay Succession and Implementation Failure
Appointment of an heir apparent can create a complicated situation for incumbent CEOs
due to expectations of managing the succession process and responsibility for grooming the
successor (Cannella & Shen, 2001; Vancil, 1987). CEOs use their power to pursue personal
interests and to retain their positions even when firm performance is poor (Cannella & Shen,
2001). The positive effects of relay succession wither quickly during an unexpected CEO
entrenchment (Santora, 2004). CEOs entrench without consequence due to power over captive
boards of directors (Cornforth, 2002; Zhao, 2013). Carefully constructed CEO employment
contracts can reduce the chance of CEO entrenchments (Zhao, 2013). CEO entrenchment
drastically reduces the effectiveness of succession planning but can be mitigated through proper
CEO employment contracts and checks and balances within the board of directors’ construct
(Muscarella & Zhao, 2012). CEO performance and operational struggles can be strategically
planned for by identifying and further developing their leadership competencies.
Identifying Leader Competencies
Leader competencies are defined as clusters of knowledge, aptitudes, and behaviors
needed to meet on-the-job expectations (Boam & Sparrow, 1992). These leader competencies are
increasingly reliable predictors of successful management performance (Ballesteros-Sánchez et
al., 2019). Rapid change, increasing complexity, the globalization of the world economy, and
fluid organizational structures are the new realities of leadership, which require developed
13
competencies (Handin & Steinwedel, 2006). Leader competencies are the beliefs and values
upon which people interpret experiences and base their behavior (Pierce, 1994; Shirey, 2007).
Once an employee can identify necessary leader competencies, they are on a path of employee
engagement that develops their potential for progression (Dainty, 2005).
Organizational Components of Succession Planning
Though variable components of succession planning exist, this section highlights the two
most critical organizational components of succession planning: employee engagement and
executive development.
Employee Engagement
Employee engagement demonstrates a willingness to be part of the organization’s
mission and success (Harter et al., 2002). Employee engagement means being psychologically
present when occupying and performing an organizational role (Men, 2012). An employee’s
perception of organizational reputation fully mediates the positive relationship between CEO
credibility and employee engagement (Saks, 2006). Employee engagement is an important
predictor of employee job performance (He et al., 2014).
Organizations constantly seek solutions to motivate their employees to be more highly
engaged in their work (Avery et al., 2007; Cole et al., 2012). Employee engagement differs from
and has a stronger performance-enhancing effect than other, similar job-related constructs, such
as job involvement, intrinsic motivation, and job satisfaction (He et al., 2014; Batista-Taran et
al., 2013; Cartwright & Holmes, 2006; Walumbwa et al., 2005). Individuals are strategically
engaged when their behaviors correspond with their organization’s strategy (Gagnon et al.,
2008). Strategic knowledge is a necessary precondition for effectively committing to the
organization’s goals. Employees must possess a global understanding of their organization’s
14
strategy (Gagnon et al., 2008). Engaged high-performing employees make shortlists for
executive development and potential selection to higher roles thereby boosting organizational
longevity and providing potential executive candidates for CEO succession (Harter et al., 2002).
Executive Development
Employees identified as potential executive candidates must be developed to operate in
strategic mind frames. The importance of developing new leaders with fresh ideas is critical, as
organizational structures and long-serving policies are prone to creating like-minded people who
do not respond well to change (Drucker, 1995). To improve an executive development program,
management and potential executive candidates must first be willing to self-reflect (Haveman,
1993; Tichy & Cohen, 1997). Succession planning requires strategic thinking and planning to
match skills and abilities to changing internal and external pressures (Murphy, 2005; Wills,
1992).
Executive development has been an uncertain enterprise, often guided more by hope than
experience (Hollenbeck & McCall, 2003). A survey of the U.S. Fortune 500 firms found that
although companies rated “competent global leaders” ahead of all other business needs for the
future, nearly all (85%) did not think they had enough global executives to carry out their
strategies (Gregersen et al., 1998). Despite prevalence in human resources models, executive
development efforts have not prevailed in the executive suite (Hollenbeck & McCall, 2003).
Employees identified potential executive candidates need sustainable development and constant
assessment to rise above industry acceptance of executive leadership shortages (Schein, 1996).
Executives require constant assessment and reassessment of competencies and continued
development to prevent leadership ruts or CEO failures (Sorcher & Brant, 2002).
15
Effect of Forecasting on Organizational Continuity
Planning and forecasting have unique ties to succession planning and also manifest
themselves through the CEO and board of directors interactions. Succession planning is both a
development activity and a management instrument for achieving organizational sustainability
through strategic planning (Ugoani, 2020). Sound organizational planning functions drive
effective strategic human resource management policies that enhance talent and career
development (Paarlberg & Perry, 2007). Boards of directors are more likely to replace their CEO
if management forecast outcomes indicate that the CEO lacks the ability to anticipate future
changes (Lee et al., 2012). The accuracy of forecasts issued by the firm reflects the managerial
ability of the CEO (Trueman, 1986). CEO succession is inevitable in a firm’s life cycle
(Finkelstein et al., 2009). Research traditionally conceptualizes CEO succession as primarily
influenced by the outgoing CEO (Zajac & Westphal, 1996) or fraught with tension between the
CEO and the board of directors (Schepker et al., 2018). Some boards face a difficult task in
managing CEO succession processes because they lack in-depth knowledge of the firm and its
executives (Schepker et al., 2018). Strategic planning and forecasting are connected to
succession planning and provide ties to interactions with the board of directors and
organizational performance (Gillespie & Zweig, 2010; Hinsz et al., 1997; Withers et al., 2012).
Balance of Power and Succession Planning
Organizational boards of directors and CEOs often have conflicting views and goals
when it comes to the function of succession planning (Schepker et al., 2018). The stark contrast
is that boards try to increase the number of candidates evaluated while outgoing CEOs try to
decrease the number of candidates evaluated (Khurana, 2004). If a board is successful in
establishing a process to conduct an exhaustive search for a new CEO, they may be able to limit
16
CEO influence (Schepker et al., 2018). Chief executive officers try to limit the decision-making
process of the board on the new CEO because they do not generally have the same level of the
firm’s operations. In that sense, the CEO thinks his/her opinion is farther reaching and valid
(Carter & Lorsch, 2004). In light of the leadership tension, boards find great value in the
participation of potential executive candidates in the succession planning process (Cascio &
Aguinis, 2011; Seijts et al., 2020; Tziner & Birati, 2015).
Role of Stakeholder Group of Focus
Employees, as potential executive candidates, are the stakeholder group of focus for this
study. The Xrante human resources director established employees as the stakeholder of focus
after realizing that they have relevant insight into competencies necessary for service at the
executive level. Employees have access to other employees in the organization and understand
many elements of the organization’s behavior, often in response to leadership decisions and
indecisions. This study’s inquiry of potential executive candidates’ intuition and perception are
expected to enhance leadership development that informs the creation and implementation of
Xrante’s future executive succession plan. In the Clark and Estes (2008) gap analysis that
follows, the potential executive candidates’ knowledge and motivation barriers to executive
succession planning are studied alongside the broader organizational and cultural barriers that
prevent their participation.
Clark and Estes ’s (2008) Knowledge, Motivation and Organizational Influences
Framework
The Clark and Estes (2008) gap analysis framework is perfectly suited to study
stakeholder performance within an organization due to its innate problem-solving process. This
problem-solving process is based on (a) understanding stakeholder goals concerning the
17
organizational goal, and (b) identifying assumed performance influences in the areas of
knowledge, motivation, and organization based on general theory, context-specific literature, and
an existing understanding of the organization. In this study, the Clark and Estes (2008)
framework was applied as a needs analysis, innovation model focused on implementing an
executive succession plan as an end state. The next section highlights stakeholder-specific KMO
assumed influences.
Stakeholder Knowledge, Motivation, and Organizational Influences
There are four categorical types of knowledge: factual, conceptual, procedural, and
metacognitive (Krathwohl, 2002). Declarative knowledge splits into two areas: factual and
conceptual knowledge. These represent things that people know and understand. Procedural
knowledge is the third type, and it highlights the knowledge of how to do something (Rueda,
2011). This type of knowledge can include skills, techniques, and methods. The last type of
knowledge is metacognitive and it refers to thinking about thinking (Baker, 2002). Metacognitive
knowledge is knowing and controlling cognition while being able to self-reflect and self-regulate
(Flavell, 1977).
Factual Knowledge
Potential Executive Candidates Need to Understand the Necessary Competencies for Service
at the Executive Level
For potential executive candidates to progress, they must be involved in development
programs that help them understand executive functions and competencies (Vito, 2018). These
types of programs can be defined as learning activities that aim to achieve work-related
competencies (Coloma et al., 2012). Developing leadership competence in evidence-driven
processes, facilitation, collaborative teamwork, and instilling a sense of urgency is a function
18
typically reserved and expected of executive leaders (Malloch & Melnyk, 2013). However, this
expectation needs to be translated into the thought processes surrounding education and
performance. The term, “Generation Flux” is a term coined by Fast Company (Safian, 2012) that
refers to individuals, regardless of age, ethnicity, sex, race, or gender, who operate as a new
breed of pioneers and are successful because of their ability to roll with the punches and adapt to
new possibilities (Malloch & Melnyk, 2013). Potential executive candidates need to acquire a
“generational flux” attitude and desire towards the competencies of the executive leadership
level.
Procedural Knowledge
Potential Executive Candidates Need to Know How to Seek Out Career Development
Career development builds on the necessary skills and competencies needed to grow into
an executive role. Potential executive candidates need to know what the next steps are and how
to achieve them. Organizations must invest in potential executive candidate career progression
efforts which make them want to reciprocate by focusing their efforts on organizational goals
(Ali et al., 2019). Research shows that career development is a critical element that facilitates
individual goal achievement (Kraimer et al., 2011). Development and developmental activities
can generate positive career attitudes and pride which could translate into improved overall
performance (Amundsen & Martinsen, 2015). This improved performance will put them in a
higher light with superiors and in turn generate more praise and future developmental
opportunities. The intent of career development aims to offer diversified mobility (van der
Heijden et al., 2008). Career development is an individual-focused strategy that can enhance
potential executive candidates as well as an organizational performance by providing training
opportunities (Holbeche, 2009). Potential executive candidates need to know that their
19
performance is observed (Shields, 2007). Additionally, potential executive candidates need
access to succession planning models and instructional content geared towards confidence
enhancement on the organizational career development process (Gordon & Overbey, 2018).
Metacognitive Knowledge
Potential Executive Candidates Need to Reflect on Lessons Learned from their Mistakes
Organizations have realized the importance of addressing the learning needs of potential
executive candidates (Rowden, 2007; Shipton et al., 2002). Likewise, potential executive
candidates need to reflect on the lessons learned on their mistakes as it helps them respond to
changes in job responsibilities, work processes, and any other issues that could generate
obstacles to meeting organizational expectations (Ellstrom, 2001; McCauley et al., 1994; Poell et
al., 2004). Organizations can help potential executive candidates reflect on lessons learned from
their mistakes and share those lessons with the workforce by enabling informal learning
activities including talking and sharing ideas, job training collaborations, job rotations, observing
others, and coaching and mentoring (Enos et al., 2003; Koopmans et al., 2006).
Table 2 provides information on the organizational mission, organizational and
stakeholder goals, and the knowledge influences discussed in this chapter. The table showcases
samples of assessments that were used to study the stakeholders’ knowledge.
20
Table 2
Knowledge Influences, Types, and Assessments for Knowledge Gap Analysis
Organizational Mission
The mission of Xrante is to provide contracted governmental strategic problem-solving
expertise.
Organizational Goal
By 2021, Xrante will implement an executive succession plan.
Stakeholder Goal
By December 2021, potential executive candidates will develop a talent management system
designed to identify qualities necessary for selection to executive roles.
Knowledge Influence Knowledge Type Knowledge Influence Assessment
Potential executive candidates need
to know the meaning of the
Succession Competencies
Factual Survey: “Do you know the definitions
of these competencies?”
Interview: “Can you tell me what three
of these competencies mean?”
Document Analysis: Review artifacts
for evidence of knowledge of facts,
information, and terminology.
Potential executive candidates need
to know the benefits of the
succession competencies to the
organization
Conceptual
Survey: “Do you know the benefits of
these competencies to the success of
the organization?”
Interview: “What are some of the
benefits of these competencies?”
Document Analysis: Review artifacts
or behaviors for examples of
knowledge of key conceptual
information
Potential executive candidates need
to know how to implement the
strategies for the Succession
Competencies
Procedural
Survey: “Do you know how to
implement strategies towards
achieving these competencies?”
Interview: “What are some of the
strategies in achieving the succession
competencies?”
Document Analysis: Review artifacts
for evidence of the necessary
methods, techniques or steps being
disseminated to employees.
21
Knowledge Influence Knowledge Type Knowledge Influence Assessment
Potential executive candidates need
to know how to monitor their
progress towards achieving the
Succession Competencies
Metacognitive Survey: “Do you know how to best
assess your progress towards
achieving these competencies?”
Interview: “Tell me about a time you
used a lesson from your career
experience to inform another
employee in their career aspirations”
Document Analysis: Observe artifacts
for evidence and examples of
employees’ metacognitive
knowledge.
Motivation
Clark and Estes (2008) highlighted that motivational issues are another possible root
cause of underperformance on potential executive candidate goal achievement. Motivational
issues can occur during three unique areas of transition: (a) hiring process, (b) after onboarding
hiring has ended, and (c) seeking educational/leadership opportunities and not being selected to
attend (Blumberg & Pringle, 1982; Oldham & Cummings, 1996). Many potential executive
candidates hold a root-level knowledge of their organizational function but are not prepared to
take a leadership role due to a lack of education or experience (McAllister, 1995). This
ultimately leads to a downfall in motivation levels and changes the look of the force when it
spreads to other employees. Following is the literature as it relates to self-efficacy theory,
attribution theory, and goal orientation theory.
22
Self-Efficacy: Potential Executive Candidates Need to have Confidence in Their Ability to
Succeed
Self-efficacy is an individual’s understanding of their own competence on a task or
subject area (Bandura, 1977). Self-efficacy is developed by four main sources of influence: (a)
mastery experiences, (b) vicarious experiences provided by social models, (c) social persuasion,
and (d) reducing people’s stress reactions (Bandura, 1977). Self-efficacy can be further defined
as a person’s belief about their own capabilities to perform at designated levels of performance
that affect their lives (Bandura, 1977). Self-efficacy furthermore determines how people think,
feel, behave, and even motivate themselves (Bandura, 1977). All of this occurs through four
major processes: cognitive, motivational, affective, and selection (Bandura, 1977).
Success is closely linked to self-efficacy and higher self-efficacy can be associated with
greater job satisfaction and performance, better health, and even academic performance
(Bandura, 1986; Judge & Bono, 2001; Robbins et al., 2004). Potential executive candidates with
low self-efficacy may believe that they are not competent in their career fields and decide they
do not have the necessary intelligence to help improve the current situation of the organization
(Landau, 2009). The positive influences of high self-efficacy are well documented with empirical
support showing an increase in output (Prussia et al., 1998). Research has shown that the beliefs
potential executive candidates form about themselves have strong implications for their work-
related motivation, attitudes, and behaviors (Pierce et al., 1989). Organizations must realize the
importance of helping to establish higher levels of confidence. Potential executive candidates
with high levels of confidence are more likely to initiate and pursue action, and persevere on
through to success; but potential candidates with doubt are less likely to become or remain
successful performers (Stajkovic, 2006).
23
Attribution Theory: Potential Executive Candidates Believe Their Success or Failure to
Secure an Executive Role is within Their Control
Attribution theory was developed by Bernard Weiner (1974) and is formally defined by
Fiske and Taylor (1991) as dealing with how individuals use the information to arrive at causal
explanations for events. It examines what information is gathered and how it is combined to form
a causal judgment (Fiske & Taylor, 1991). There are three causal dichotomies that individuals
employ to make sense of outcomes: locus (internal or external), controllability, and stability over
time (Weiner, 1974, 1980, 1986). Since the power of attribution as an influencer on motivation
depends only on what a person believes to be true, it is irrelevant if a person correctly assigns
attributions (Meece et al., 2006). If a potential executive candidate believes that ability is pliable
and effort is valuable, that attributes success or failure to internal and controllable conditions
(Hochanadel & Finamore, 2015).
Employee engagement is a combination of commitment to the organization and its values
and a willingness to help out colleagues (Savarimuthu & Jothi, 2019). A study by Falcone (2006)
demonstrated that employee engagement is about how a potential executive candidate is
emotionally and intellectually committed to an organizational group. The engaged employee is
always fully participative and enthusiastic about assigned responsibilities (Davies & Davies,
2010). Engaged employees believe they control their actions to move into a potential executive
candidate role. They hold perceptions about career path movements that are based on collectively
shared rules or guidelines for understanding movement within their organization (Metcalf &
Briody, 1995). For potential executive candidates to truly believe their success or failure is in
their control, they must first see evidence of organizational culture and underpinning that is
conducive to that ideology.
24
Goal Orientation Theory: Potential Executive Candidates Believe They Can Learn From
Their Mistakes While Pursuing a Place in Succession
Goal orientation theory is a social cognitive theory of achievement motivation mostly
used to describe academic motivation (Dweck, 1986; Eison, 1979; Nicholls, 1975, 1976, 1978).
However, goal orientation can be mastery-oriented, relating to improvement and benchmarking
against an individual’s previous performance (Urdan & Mestas, 2006). Goal orientation can also
be performance-oriented, which is driven by competition and comparing oneself to other
individuals (Anderman & Patrick, 2012). Mastery orientation is preferred over performance
orientation because it focuses on true learning and improvement rather than just performing to
appear smart or compete with peers (O’Keefe et al., 2013).
The ability to learn from mistakes and experiences, coupled with career development is
useful in developing executive leadership potential (Spreitzer et al., 1997). A study by Russell
and Kuhnert (1992) posits that potential executive candidates vary from one another in learning
from mistakes and experiences due to differences in their construction of meaning (Russell &
Kuhnert, 1992). Potential executive candidates must not only learn from their mistakes but
actively seek out learning experiences and opportunities from all facets, whether positive or
negative (McCall, 1994). The process of becoming a leader, especially one in executive roles,
requires that potential executive candidates seek out the novel, and sometimes unusual,
experience of learning moments (Bennis, 1989). The root of leadership development and
progression is associated with the pains of learning from mistakes and using the past as a
stepping stone (Mumford et al., 2013).
25
Table 3 provides information on the organizational mission, organizational and
stakeholder goals, and the motivation influences discussed in this chapter. The table showcases
samples of assessments that were used to study the stakeholder’s motivation.
Table 3
Assumed Motivation Influence and Motivational Influence Assessments
Organizational Mission
The mission of Xrante is to provide contracted governmental strategic problem-solving
expertise.
Organizational Goal
By 2021, Xrante will implement an executive succession plan.
Stakeholder Goal
By December 2021, potential executive candidates will develop a talent management system
designed to identify qualities necessary for selection to executive roles.
Assumed Motivation Influences Motivational Influence Assessment
Self-Efficacy
Potential executive candidates need
confidence in their ability to perform the
Succession Competencies.
Survey: “Rate your confidence in performing each
of the succession competencies right now.”
Interview: “How confident do you feel in your
ability to perform these competencies right
now?”
Document Analysis: Observe artifacts or
documents for evidence of the role of self-
efficacy.
Attribution
Potential executive candidates need to feel
their success in achieving the Succession
Competencies is in their control.
Survey: “Success in achieving these competencies
is within my control.”
Interview: “How do you feel you control your
success in achieving these competencies?”
Document Analysis: Observe artifacts or
documents for evidence of the role of attribution.
26
Assumed Motivation Influences Motivational Influence Assessment
Emotions
Potential executive candidates must want to
pursue the Succession Competencies.
Survey: “I am excited to pursue further
development in each of these competencies.”
Interview: “Do you feel excited to pursue these
competencies?”
Document Analysis: Observe artifacts or
documents for evidence of emotional support.
Value
Potential executive candidates need to value
the Succession Competencies.
Survey: “Rank the 10 succession competencies
according to your values.”
Interview: “How would you rank these
competencies from 1 to 10?”
Document Analysis: Observe artifacts or
documents for evidence of the role of value.
Organization
An organization’s culture can be analyzed based on the cultural settings and cultural
models that exist in it (Gallimore & Goldenberg, 2001). Cultural settings are concrete and
include the employees, their tasks, how and why tasks are completed, and the social context in
which their work is performed. Cultural models refer to cultural practices and shared mental
schema within an organization (Shore, 1998). Clark and Estes (2008) identified the following as
common organizational gaps: poor work processes, limited material resources, and dysfunctional
interactions, or ineffective goal achievement in work that occurs between departments.
Potential Executive Candidates Need to Believe That the Organizational Culture Aligns With
Their Axiology
Axiology is the study of the nature, types, and criteria of values and value judgments
especially in ethics (Merriam-Webster, n.d.). Potential executive candidates need alignment
27
between their axiology and their culture (Gardenswartz & Rowe, 1998; Hubbard & Supinsky,
2001). In fact, effective organizations embrace the unique ethical qualities of their employees
(Mone et al., 2011) and will craft ways to appeal to their axiological presuppositions for
improved organizational performance (Macey et al., 2009).
Potential Executive Candidates Perceive an Organizational Culture of Communication That
Supports the Worthwhileness of Participating in the Line of Succession
Communication plays a major role in building trust between employees and leadership.
Potential executive candidates will report higher levels of trust in leadership if they provide them
with accurate information and are open to reactions or criticism (Whitener et al., 1998).
Organizations should be in tune to provide potential executive candidates with advanced
information about their roles and future roles in the organization and their contributions towards
new community and organizational goals (Smidts et al., 2001).
Potential Executive Candidates Need to Have Rewards-Based Initiatives
Payment has long been the reward style of choice, but over the last 25 years, many new
elements of compensation have been developed to provide organizational leadership with more
scope to reward, and subsequently, motivate employees (Murphy, 2015). Reward-based
initiatives have large impacts on the workforce and even allow an organization to stand out from
their peers in terms of recruiting and retention of high-value employees (Barber & Bretz, 2000).
Rewards-based initiatives are one of the most important activities of organizational leadership as
it directly relates to the motivation and reinforcement of potential executive candidates to
encourage superior performance (Whetten & Cameron, 1991).
A potential executive candidate’s job-relevant knowledge is not necessarily increased just
because he or she received more money. There are also benefits to non-monetary awards. Non-
28
monetary awards can develop and motivate in ways that monetary awards do not (Long &
Shields, 2010). Non-monetary awards are designed to enrich the characteristics of one’s job
performance (Aguinis et al., 2013). This is often accomplished through valuable training and
developmental opportunities, which will in turn qualify a potential executive candidate for higher
positions and roles (Brown & Sitzmann, 2011).
Potential Executive Candidates Need to Feel a Sense of Belonging
When potential executive candidates start thinking about leaving their organization, it is
generally due to one or many high-level professional needs that have failed to be satisfied by the
organization (Khan, 2014). This line of thought can be traced back to self-esteem and self-
actualization needs as published by Maslow (1943) in which he posits that individuals need
intrinsic motivation, safety, and belongingness. There is a significant relationship between
organizational turnover and operational expectations (Cranny et al., 1992); which is especially
heightened if the potential executive candidate perceives he/she is being taken advantage of and
mistreated (Samad, 2006).
Table 4 provides information on the organizational mission, organizational and
stakeholder goals, and the organizational influences discussed in this chapter. The table
showcases samples of assessments that were used to study the stakeholder’s organizational
influences.
29
Table 4
Organizational Influences and Organizational Influence Assessments
Organizational Mission
The mission of Xrante is to provide contracted governmental strategic problem-solving
expertise.
Organizational Goal
By 2021, Xrante will implement an executive succession plan.
Stakeholder Goal
By December 2021, potential executive candidates will develop a talent management system
designed to identify qualities necessary for selection to executive roles.
Assumed Organizational Influences Organization Influence Assessment
Cultural Model Influence:
Potential executive candidates need an
organizational culture that is supportive of
personal growth.
Survey: “The organization has a culture that
supports personal growth.”
Interview: “Tell me about the culture of
personal growth in this organization.”
Document Analysis: Gather/review documents
to examine if personal growth is discussed or
promoted throughout the organization.
Cultural Setting Influence:
Potential executive candidates need to have
professional development.
Survey: “The organization provides
professional development for the
competencies.”
Interview: “Please explain the organization’s
approach to professional development.”
Document Analysis: Gather/review human
resources and training documents to
determine if the organization provides
applicable professional development.
Conceptual Framework: The Interaction of Stakeholders ’ Knowledge and Motivation and
the Organizational Context
A conceptual framework represents the interactions between the concepts, assumptions,
expectations, and theories that inform the methodological and analysis choices in a research
30
study (Maxwell, 2013). Merriam and Tisdell (2016) referred to this as a theoretical framework,
which they described as the supporting structure or scaffolding of a study. These frameworks can
be narrative or visual with a goal of highlighting the relationships between the important
concepts, variables, and theories that frame the study (Maxwell, 2013; Merriam & Tisdell, 2016).
In earlier phases of enacting Clark and Estes’s (2008) gap analytic framework to investigate root
causes for a performance problem, influences on the problem are intentionally developed in
isolation and divided into their KMO categories. The conceptual framework allows an
opportunity to explore the connections between the influences and to establish a working theory
to frame a research question (Maxwell, 2013).
In earlier sections of this chapter, the knowledge and motivation influences on potential
executive candidates’ self-efficacy and their lack of understanding of necessary competencies to
serve at the executive level were explored. Knowledge and motivation influences were followed
by an exploration of the cultural models and settings active within the organization. In Figure 1,
the relationship between these influences are represented in a visual which serves to highlight the
working theory that framed this research study.
31
Figure 1
Interactions Between Knowledge and Motivation within the Organizational Models and Settings
Figure 1 represents the interaction between knowledge-based and motivational influences
on the organizational developmental needs of potential executive candidates to become
marketable for ascension into executive leadership roles; and it shows how addressing these
potential root causes could contribute to the achievement of the organizational and stakeholder
goals at Xrante. The figure also models how the stakeholders’ knowledge and motivation are
separate, but inform the process of development. It also shows the continuous interaction
between KMO influences as it relates to the organizational goal of employees participating as
potential executive candidates in developing a talent management system. The circles are
Factual,
Procedural,
Metacognitive
Knowledge
Self-Efficacy
Attribution
Goal-Orientation
Cultural
Models
and
Settings
By December 2021, employees
participate in developing a
talent management system
designed to identify qualities
of potential candidates for
selection to Xrante executive
roles.
32
indicative of this being an iterative process that feeds into the other influencing aspects of this
study. The goal is squared because it is an end result with permanent goals that are fed from
previously stated influences.
Conclusion
Chapter Two explored possible root causes for the lack of employee ascension to
potential executive candidacy in modern-day organizations. Bandura’s (1977) motivational
construct of self-efficacy was presented in terms of the factors known to improve potential
executive candidates’ self-efficacy in organizations; and the relationships between these factors
and leadership accountability of their development were investigated. While there is a known
connection between low self-efficacy and participation gaps, a broader look at all knowledge-
based, motivational, and organizational influences on potential executive candidate development
was explored in the second half of Chapter Two using Clark and Estes’s (2008) gap analytic
KMO methodology. A conceptual framework for this dissertation was then established by
highlighting the interrelationships between the KMO influences. While self-efficacy is situated
in the motivation category, its connections to other influences on potential executive candidate
engagement and ascension to executive roles in the conceptual framework. Chapter 3 presents
the study’s methodological framework that was used to explore the connection between
development, as promoted through the cultural settings of competency generation, and self-
efficacy for potential executive candidates in organizations.
33
Chapter Three: Methods
Executive succession planning is a necessary concept. Succession planning invests in the
best or highest-performing talent in any leadership role and implements plans to replace planned
or unexpected outgoing leadership, but especially at or near the top of an organization (Barnett &
Davis, 2008). A 2009 survey by the National Association of Corporate Directors revealed that
43% of U.S. public companies had no formal executive succession plan and that 61% had no
CEO emergency replacement plan as well (Miles & Bennett, 2009). Larcker and Miles (2010)
showed that nearly 50% of surveyed organizations could not immediately name a CEO successor
if the need were to arise. This research aims to examine the key KMO factors or influences
(Clark & Estes, 2008) that impede organizations from crafting, implementing, and sustaining
executive succession plans.
Chapter Three presents the overall research design and the methods for data collection
and analysis that were used to investigate the following three research questions that guided this
study:
1. What knowledge, skills, and motivation do potential executive candidates need to
develop a talent management system designed to identify qualities necessary for selection
to executive roles?
2. What is the interaction between organizational culture and context and potential
executive candidate’s knowledge and motivation?
3. What are the recommended knowledge and skills, motivation, and organizational
solutions to meet the needs of potential executive candidates?
This chapter first justifies the choice of employees, known as potential executive
candidates, as the stakeholder group for the study and outlines the sampling and recruitment
34
strategies. Following the discussion of participant recruitment and selection, is a detailed
description of the data collection methodology, a discussion of the strategy for developing and
implementing each measurement instrument, and an overview of the data analysis techniques
that were used to process the data. The next sections describe the steps that were taken to ensure
the credibility and trustworthiness of the qualitative data and the validity and reliability of the
quantitative data. The chapter concludes with a prediction on the ethics, limitations, and
delimitations of the study.
Participating Stakeholders
The stakeholder group for this study was Xrante employees, deemed as potential
executive candidates, as reflected in the research questions. The stakeholder group included
potential executive candidates in the following categories: full-time employees at Xrante
headquarters and part-time employees at outlying affiliate offices throughout the United States.
Specific criteria were used to reduce the number of stakeholders to recruit for interviews.
Survey Sampling Criteria and Rationale
This study employed purposive sampling in order to discover, understand, and gain
insight on the KMO needs of employees as potential executive candidates in relation to executive
succession planning (Chein, 1981; Patton, 2015).
Criterion 1: Length of Employment
Potential executive candidates had at least one performance-appraised year of
employment. This allowed them to draw comparisons between their new hire expectations and
documented performance analysis according to leadership observation.
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Criterion 2: Organizational Position and Echelon
Potential executive candidates served at or below the first level of Xrante staff leadership
and did not have any direct reports or subordinates. This study was specifically designed to
garner thoughts and opinions on the topic of competency-based succession planning.
Survey Sampling (Recruitment) Strategy and Rationale
This research employed a non-random sampling strategy to acquire 25 survey
participants. The quantitative data were not used to produce generalizable conclusions, but rather
to generate responses that can further investigate the experiences of potential executive
candidates with interests in succession planning (Creswell, 2014). To achieve a high response
rate, Fink’s (2013) advice was considered by making the survey easy to complete and ensuring
that the administration of the survey encourages the receipt of timely completed surveys from
respondents. The survey was delivered on a digital setting (web-based) and was short in nature,
but still proved to be thought-provoking for respondents. This survey was open to respondents
for three weeks and there were built-in notifications to remind respondents to complete it.
Interview Sampling Criteria and Rationale
Criterion 1
Interviewees have no subordinates and have taken the surveys. It was important for the
respondents to be able to think solely about themselves and not take the mind frame of a
supervisor.
Criterion 2
All interviewees were from different sections within the organization. This provided a
more unbiased output by focusing on the organization as a whole rather than just one section’s
ideas.
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Criterion 3
All employees had a minimum employment length of 2 years and were not currently
pending any punitive actions or internal investigations. This ensured that potential executive
candidates had enough time to develop a keen understanding of the organization and not be
negatively biased because of any current punitive or corrective action.
Interview Sampling (Recruitment) Strategy and Rationale
This research conducted a non-probability purposive sampling strategy of 10 interviews
over the course of two weeks. Of the participation group of survey participants, 10 participants
were randomly selected for interviews using an online randomizer. The goal was to obtain in-
depth, descriptive narratives across different sections of the organization. Narrative data helped
to identify significant patterns and differences more clearly in potential executive understanding
and perceptions of executive succession planning. Despite the relatively small sample, data
gathered in these interviews are expected to help other stakeholders become aware of lesser
known KMO elements that influence perceptions of executive succession planning.
Not all survey participants were invited for interviews. Creswell (2014) suggested that
four or five interviews for case studies may be sufficient. However, that number was higher since
the goal for qualitative inquiry is to continue until saturation of new information is reached
(Creswell, 2014; Merriam & Tisdell, 2016). Qualitative studies purposefully seek out
stakeholders who can help researchers learn the most (Merriam & Tisdell, 2016). Not all
potential executive candidates have equal insight and influence into past, current, and future
succession planning areas of focus.
37
Observation Sampling Criteria and Rationale
Due to pandemic-related limitations implemented by the institutional review board (IRB),
this study did not conduct observations and used document analysis instead.
Data Collection and Instrumentation
This study utilized a survey as the sole quantitative data collection method. Data
collected through this method remained anonymous but provided triangulation value when
compared to other study data collection methods. Two methods of qualitative data collection
were used in this research study. The two methods were interviews and observations. Interviews
were used to provide a rich understanding of the KMO needs, and potential solutions to these
needs, regarding executive succession planning at Xrante. Furthermore, the interviews sought to
understand the organizational factors that may contribute to the needs of potential executive
candidates. Observations were used to validate some of the data collected through the interviews,
especially regarding organizational limitations and barriers. Both interviews and observations are
commonly used in qualitative research to triangulate data (Merriam & Tisdell, 2016).
Surveys
Surveys included a combination of multiple choice, Likert scale items, and open-ended
questions designed to assess motivation, knowledge and organization contexts. This survey was
hosted on Qualtrics and the link was sent to all 25 previously identified participants accompanied
by the IRB approved information sheet and general information about the study. The survey
consisted of 14 questions and took approximately 15 to 20 minutes to complete, depending on
each participant. All participants surveyed were protected by online anonymous data collection,
no identifiable demographic items were asked for, and IP addresses were not tracked. Responses
38
were collected, tabulated, and stored on the secure Qualtrics servers. All results were stored on
the hard-drive of a password-protected laptop. The survey protocol is included in Appendix A.
Interviews
Interviews served as an additional data collection tool. Interviews consisted of 10
interview questions and lasted approximately 15 minutes. Participants for the interviews were
purposefully selected based upon length of employment at Xrante and their employment status
level within Xrante. Respondents reflected both full-time and part-time participants of the
organization, but a larger focus was on full-time participants.
Ten of the 25 survey participants were selected to participate in the in-person interviews.
Interviews took place on Zoom. Each interview began with a standard interview protocol that
included obtaining permission to record the interview for later transcription and coding. A copy
of the information sheet was shared with the participant and time was afforded to ask questions.
At the conclusion of the interview participants were thanked, and audio files were secured. A
transcription service was utilized to produce all interviews in print and data were examined for
patterns, themes, and conclusions. The interview protocol is included in Appendix B.
Document Analysis
Document analysis sought out examples of KMO influence breakdowns as they related to
potential executive candidate knowledge of succession planning. It also searched for situations of
career development and the overall organizational climate as discovered through data collection
in the survey and interview phase of this study.
Data Analysis
For stakeholder groups of fewer than 20, the percentage of stakeholders who strongly
agreed or agreed were presented in relation to those who strongly disagreed or disagreed. For
39
larger stakeholder groups, means and standards deviation were presented to identify average
levels of responses.
Descriptive statistical analysis was conducted once all survey results were submitted. For
interviews and observations, data analysis began during data collection. Interviews were
transcribed and coded. In the first phase of analysis, open coding was used, looking for empirical
codes and applying a priority of codes from the conceptual framework. A second phase of
analysis was conducted where empirical and a priori codes were aggregated into analytic/axial
codes. The third phase of data analysis identified pattern codes and themes that emerged in
relation to the conceptual framework and study questions.
Credibility and Trustworthiness
Rich data collection, respondent validation, and triangulation are three ways that a
qualitative researcher can minimize threats to credibility (Maxwell, 2013). During the interviews,
I asked permission to record the interviews so a complete transcript could be produced.
Interviewees were presented with a summary of the data to ensure clarity of the information the
interviewee intended to provide. This helped to eliminate any chance of misinterpretation or
researcher bias. Once interview data were checked as accurate (Maxwell, 2013), data were saved
for use in the triangulation of survey responses and document analysis.
The replication of qualitative research is not easy due to varying changes and perception-
based bias (Merriam & Tisdell, 2016). A log was kept that documents all accounts throughout
the collection process to serve as an audit trail (Merriam & Tisdell, 2016). This allows future
reviewers to visualize the research process and ensure that hasty decisions were not made
regarding data collection.
40
Validity and Reliability
This research gathered opinions from potential executive candidates about whether the
assumed needs from the theoretical and topic specific research were met. The results increased
validity because opinions cannot be wrong (Fink, 2013). To increase reliability of the surveys,
interviews, and observations, they included uniform instructions and minimal distractions
(Salkind, 2017). Individual contact was made with each target participant by email to invite them
to participate in the online survey and answer questions in follow-up interviews, if necessary. I
held no authority over the participants and therefore did not affect the way participants
responded to research prompts. The rate of research response is a factor in the validity of the data
(Fink, 2013). No incentives were offered for survey or interview participation since they were
delivered while the participants were on duty and already being compensated for that duty. The
use of laptops or other electronic tools aided in the survey and interview process and helped to
keep data confidential (Pazzaglia et al., 2016). The delivery of the surveys was done via an
online third-party survey provider called Qualtrics, which kept the data secure and anonymous
(Pazzaglia et al., 2016). Using an online survey provider minimized errors in organizing the
survey data responses. To ensure the validity and reliability of the interviews and observations,
peer reviews and examination and then subsequent respondent validation were used. This served
to reduce or eliminate researcher bias or assumptions.
Ethics
The validity and reliability of any study depends on the ethics of the investigator
(Merriam & Tisdell, 2016). In addition, all participants had enough information to make
informed decisions about participating in the study (Glesne, 2011; Merriam & Tisdell, 2016). All
potential executive candidates signed an informed consent document that (a) described potential
41
rewards and risks of involvement, (b) clarified that their participation is voluntary and that
subjects can quit the study at any time, and (c) described the ways in which their responses
would be kept confidential (Krueger & Casey, 2009). Informed consent does not erode the power
dynamic between a researcher that is in a position of authority relative to the subjects, and the
subjects themselves (Glesne, 2011). A complete list of intended interview questions, along with
possible follow-up probe questions, was approved by IRB and there were no plans to stray from
the interview protocol during interviews (Rubin & Rubin, 2012). The preliminary proposal of
this study was reviewed and approved by the University of Southern California IRB to ensure all
the necessary rules regarding the protection of rights of the participants were followed. It was
made very clear to participants that their confidentiality would be maintained in the analysis of
data and presentation of results by: removing any identifying marks or connotations from raw
survey data during aggregate analysis of survey data, using pseudonyms during interviews and
on all transcribed interview data, and storing all data in password-protected files (Glesne, 2011).
Prior to the interviews, the participants were verbally reminded that their participation is
voluntary, that they do not have to answer any questions they do not want to, and they always
have the option to withdraw.
My relationship to Xrante and to the research participants was important to understanding
the relational ethics of this study (Merriam & Tisdell, 2016). I was a senior leader within Xrante.
Because I was in a supervisory role at Xrante, the choice to use potential executive candidates as
the research subjects rather than other senior leaders generated some relational complexity.
However, the study was carefully constructed to collect data from potential executive candidates
that do not report to him or even know him that well. I was considered an authority figure to the
stakeholders of focus.
42
Other researchers were consulted in coding and interpreting the interview data to avoid
any unforeseen pitfalls of confirmation bias. I was mindful to present the research purpose to the
study participants in a way that was clear but that did not influence responses (Glesne, 2011).
Lastly, I acknowledged that in this research, I was the filter with which all the collected
information went through (Maxwell, 2013). I am a White male. However, I have experience in
non-biased information collection, documentation, and reporting for both local and U.S.
government entities. Training and experience include time as a human resources supervisor and
management advisor for multiple federal governmental agencies.
Limitations and Delimitations
This chapter presented the study’s methodology to include the stakeholder of focus and
intended sample recruited, data collection methods and instrumentation, the data analysis
process, areas of trustworthiness, creditability, and reliability, and issues regarding ethics. Given
the qualitative nature of this study, I acknowledged my positionality and potential for bias as a
member of the organization and as a White male. Therefore, every effort was made to address
biases by obtaining IRB approval for the study and documenting potential biases in the
limitations section of this study.
This study was limited by time, the number of research subjects in the study, and the
region of the study which may have influenced my culture and that of the research participants.
Delimitation choices I made in this study included the criteria used to select interviewees and
inform observations for research, as well as the scope and number of questions in the surveys
and interviews. The survey, interview, and observational data that were collected during this
research represents a case study of Xrante and is not meant to be generalizable to every
organization, executive succession plan, or talent management system.
43
The limitations of this study arose mainly from the interviewer-respondent interactions
based on the fact that both parties likely displayed biases and predispositions that could affect
both the in-person interactions and the data collected (Merriam & Tisdell, 2016). I was mindful
to check his biases and create the conditions of comfort, safety, and respect for the interview
participants (Bogdan & Biklen, 2007). I cannot control, however, the respondent. It was
impossible to know if the participants were giving honest responses or if they held a strong bias
that swayed the way they chose to answer questions (Weiss, 1995). However, this study can
provide management and leadership researchers with insight into potential factors to consider
regarding executive succession planning research. Furthermore, the KMO gap analysis
framework (Clark & Estes, 2008) can be used by other researchers for investigating problems in
their own organizations.
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Chapter Four: Results and Findings
The purpose of this study was to explore employee competency development in relation
to their inclusion in executive succession planning functions as potential executive candidates.
The Clark and Estes (2008) gap analysis model was used as the framework to study the KMO
needs of employees as potential executive candidates.
This chapter presents the results and findings aligned to the research questions, beginning
with a review of the organizational and stakeholder goals and the degree to which the data
indicated meaningful progress towards these goals. Following the review of goals, the chapter is
organized into knowledge-based, motivational, and organizational assertions supported by
quantitative and qualitative findings. This chapter concludes with a summary of the validated
KMO influences that was used to generate recommendations and an implementation and
evaluation plan in Chapter Five.
The research questions that guided data collection and framed this chapter were:
1. What knowledge, skills, and motivation do potential executive candidates need to
develop a talent management system designed to identify qualities necessary for selection
to executive roles?
2. What is the interaction between organizational culture and context and potential
executive candidates’ knowledge and motivation?
The third guiding question in this study is addressed in Chapter Five: What are the recommended
knowledge and skills, motivation, and organizational solutions to meet the needs of potential
executive candidates?
Each KMO influence is depicted in a table and followed by a summary that substantiates
the findings. Quotes are used from the individual interviews to verify data. The data establishes
45
whether a gap exists, and solutions are provided in Chapter Five, addressing the research
questions.
Participating Stakeholders
Data were collected via a confidential survey of 25 respondents, then 10 individual
interviews, and finally by document/artifact analysis. After survey participation, 10 participants
agreed to a follow-on interview. Data were collected in a purposive setting and no specific
personal demographic data; other than gender, was captured. There were nine (36%) female and
16 (64%) male survey participants. Out of the 10 who agreed to participate in a follow-on
interview; eight (80%) were male and two (20%) were female. All survey and interview
participants were in low or mid-level positions or roles, were not in supervisory positions, and
had been employed by the organization for at least one year.
Table 5
Study Demographic Data
Male
(count)
Female
(count)
Median Years
of Experience
Range of Years
of Experience
Low
Level
Mid
Level
Surveys (n = 25) 64% - (16) 36% - (9) 6 1–13 80% 20%
Interviews (n = 10) 80% - (8) 20% - (2) 5.5 1–13 80% 20%
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Data Validation
Each of the influences studied in this chapter had gaps that were either confirmed ,
partially confirmed, or not confirmed, based on the data analyzed. An influence was considered
as confirmed when survey responses and interviews concurred that the gap in the area was
significant and needed to be addressed. An influence was considered as partially confirmed when
part of the data showed a significant gap to be addressed, and another part showed no gap in the
influence. An influence was considered as not confirmed when the data consistently showed no
gap to address in the influence.
During data analysis, decisions had to be made regarding the thresholds for constructing
arguments. When making assertions in the sections that follow, 17 responses (68%) on survey
items was the threshold for asserting agreement, however, results above 19 responses (76%)
were considered more compelling evidence. Interview data used as evidence generally relied
upon seven responses (70%) alignment among interview subjects, but code typicalities above
eight responses (80%) were considered more conclusive.
Results and Findings for Knowledge Causes
The results and findings of the knowledge needs were reported using the knowledge
categories and assumed knowledge influences for each category. In the knowledge category, four
types of knowledge were examined. They are the factual, the conceptual, the procedural, and the
metacognitive knowledge types. Figure 2 highlights the large gap across all the four types of
knowledge.
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Figure 2
Overview of Knowledge Gaps
Factual Knowledge: Potential Executive Candidates Need to Know the Meanings of the
Succession Competencies
Survey Results
Survey participants were asked to define the competencies out of a list of 10
competencies. Participants were shown one competency at a time and then asked to select the
best definition for each competency from a list of definitions. The accuracy of definitions ranged
from a high of 88% to a low of 44%. The participants exceed the 68% survey agreement
threshold on eight questions. The factual knowledge section of the survey had a median
agreement percentage of 76%, leaving a 24% factual knowledge gap. Figure 3 portrays the
percentage and response count of correct selections.
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Figure 3
Factual Knowledge Survey Definitions Accuracy
Interview Findings
Ten interview participants were each asked to select and then define three competencies
from a list shared during the Zoom interview. The accuracy of definitions ranged from a high of
100% (three participants) to a low of 33% (two participants). Participant definitions showed a
median accuracy of 66% but a mean accuracy of 70%. In this instance, the mean accuracy most
closely aligns to the agreement threshold of 70%. Each participant’s answers were annotated by
a fraction of correct definitions out of three. For example, 1/3 was listed as 33%, 2/3 was listed
as 66%, and 3/3 was listed as 100%. Out of the 10 participants, there was a possibility of 30
competency choices to be defined correctly, three per participant. However, only 21/30 were
answered correctly, aligning to the mean accuracy rate of 70%. This confirms a 30% factual
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knowledge gap that nearly aligns with the 24% factual knowledge gap discovered in the survey
of 25 participants.
Document Analysis
After a review of more than five training manuals and leadership curriculums, it was
determined that the organization makes a minimal effort to ensure employees understand the
competencies they deem necessary for service at the executive level. No evidence was found that
aims to help employees understand the succession competencies in this study. However, scant
evidence showed that the organization does define generic values such as “teamwork” and
“communication.”
Summary
The majority of survey and interview participants proved that they know the meaning of
the succession competencies. Data showed definition accuracy for 76% of survey participants
and 70% of interview participants. These figures combined generate a mean and median of 73%
which are above both established cut scores. Therefore, this influence is a confirmed asset.
Conceptual Knowledge: Potential Executive Candidates Need to Know the Benefits of the
Competencies to the Success of the Organization
Survey Results
Survey participants were asked to select the benefit of each competency from a list of 10
competencies. Participants were shown one competency at a time and then asked to select the
best benefit for each competency from a list of benefits. The accuracy of the selected benefits
ranged from a high of 76% to a low of 4%. The participants fell below the 68% survey
agreement threshold on nine questions. The conceptual knowledge section of the survey had a
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median agreement percentage of 38%, leaving a 62% conceptual knowledge gap. Figure 4
portrays the percentage and response count of correct selections.
Figure 4
Conceptual Knowledge Survey Accuracy of Benefits Selections
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Interview Findings
It was evident that all of the participants lacked conceptual knowledge as to the benefits
of the succession competencies. However, there was an overarching theme that emerged across
the comments that showcased value and utility. Participants 2, 9, and 10 all stated very similarly,
“Theoretically, these competencies should allow people to operate efficiently and reach desired
outcomes seemingly easily.” Participants 3 and 6 posited, “These 10 competencies define what I
consider a well-rounded person, employee, worker, or human for the most part. They are
interconnected and bolster one’s effectiveness and could shift workplace contribution. They are
inherently part of the human experience.” Participants 4, 5, and 8 indicated that “these
competencies make an organization run smoother and breed more successful people.” Participant
7 stated in a way that captured a seriousness of the topic:
We all should be striving for this work environment because it makes working at a place,
since having worked at places that do not run very well and have issues with the things
that are set up on this board; it’s more enjoyable if you can feel more satisfied for having
a place where people seem to have these as goals and ideas in mind as they move forward
with the work they are doing.
It was also evident that the interview applicants were drawing on personal ideations of what the
benefits of the succession competencies might be instead of fully taking time to assess what the
benefits should look like on a full organizational spectrum.
Document Analysis
A review of a training development program curriculum revealed that the organization
has some competencies that it desires its employees and leaders to pursue, develop, and foster,
although the benefits of the competencies to the organization are not listed. However, there is no
52
delineation of competencies for certain levels of leadership, rather a one-size-fits-all approach.
The analysis showed that the organization is focused on providing generic development to the
entire workforce rather than developing certain bands of employees with specific training and
feedback capabilities.
Summary
The assumed influence that employees need to know the benefits of the succession
competencies to the success of the organization was determined to be a need in the survey and
interview results. All 10 interview participants similarly agreed that the succession competencies
are an essential part of employee and workforce development. But, they were unable to provide
the true benefit of each competency to the success of the organization. Therefore, this is a
confirmed need.
Procedural Knowledge: Employees Need to Know How to Implement the Strategies for the
Succession Competencies
Survey Results
Survey participants were asked to select the implementation strategy of each competency
from a list of 10 competencies. Participants were shown one competency at a time and then
asked to select the best strategy for implementation of each competency from a list of strategies.
The accuracy of the selected strategies ranged from a high of 60% to a low of 12%. The
participants fell below the 68% survey agreement threshold on all 10 questions. The procedural
knowledge section of the survey had a median agreement percentage of 30%, leaving a 70%
procedural knowledge gap. This is the largest categorical knowledge gap of the entire research
study. Figure 5 portrays the percentage and response count of correct selections.
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Figure 5
Procedural Knowledge Survey Accuracy of Strategy Implementation Selections
Interview Findings
The interviewed participants demonstrated a higher level of procedural knowledge than
was evidenced in the survey results. While the procedural knowledge gap is still at 70%, some of
the participant statements aligned with strategies one could utilize to implement the succession
competencies. These views demonstrated that discovering and learning the strategies is a
personal choice. Participant 2 stated, “an individual would have to decide for themselves what’s
important to them and their work and then take steps to achieve these outcomes.” Participant 3
said, “If an employee wants to understand how to achieve and implement these competencies,
they must first have a willingness to learn and express them.” The connections between
statements of Participants 2 and 3 show that individuals must be motivated to improve
themselves. Participant 7 stated, “It is up to the individual; there are probably ways that it can be
54
encouraged of course; but finding and learning strategies is an individual function.” Participant 8
had a slightly different approach:
There are probably a lot of strategies, but I would say the best approach would be to find
appropriate educational opportunities in and out of the organization. A person has to be
humble, learn from their mistakes, and get outside of their envelope. It isn’t easy for
everyone; but these things are important.
Participant 5 mentioned, “documents or correspondence should be used in some way so that one
knows how to address the 10 competencies in a manner that everyone expects and similarly
fashions.” Participant 6 said,
I think there should be mentorship, any kind of seminar, or training in the workplace that
teaches employees how to use proper strategies to implement these competencies. Also,
part of this training should allow successful employees to teach their peers and be
highlighted by their leadership.
Participant 10 said,
There must be transparency throughout the workforce. When everyone is together and
understanding of what is happening, things get done and people learn. The next part of
that would be to graph an employee’s learning so that the organization can track
deficiencies and plan better training events.
These interview findings boost the necessity of individual desire for improvement rather
than an organization solely trying to motivate the workforce. While organizations must still seek
to bolster employee improvement, they must also hire motivated individuals.
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Document Analysis
This analysis showed that the organization has taken steps to explain in detail strategies
for use in employee development and the building or boosting of workplace competencies.
However, only three of the strategies listed in this part of the research were represented in the
organizational documents, conflict resolution, goal setting, and communication. Conflict
resolution was mentioned in organizational documents as “conflict management” but its listed
implementation strategy was similar to the one presented in this study. Goal setting via the
SMART method was listed in a training manual for new entry level employees and for new
executives but was missing in resources designed for mid-level employees and leaders.
Communication was listed nearly identically as presented in this research study but was split into
oral and written communication.
Summary
It is evident that there is a procedural knowledge gap regarding implementation strategies
of the succession competencies. The survey found a 70% gap which was later confirmed by
answers gathered from the interview participants. However, seven of the 10 (70%) interview
participants agreed that the implementation strategies are rooted in an individual learning or
discovery process. Document analysis demonstrated that only three of the succession
competencies implementation strategies are highlighted in organizational training materials. Due
to this evidence, this is determined to be a confirmed need.
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Metacognitive Knowledge: Employees Need to Know How to Monitor Their Progress
Toward Achieving the Succession Competencies
Survey Results
Survey participants were asked to select an assessment of progress towards the
achievement of each competency from a list of 10 competencies. Participants were shown one
competency at a time and then asked to select the best assessment of progress towards the
achievement of each competency from a list of assessment options. The accuracy of the selected
assessments ranged from a high of 84% to a low of 8%. The participants fell below the 68%
survey agreement threshold on eight questions. The metacognitive knowledge section of the
survey had a median agreement percentage of 48%, leaving a 52% metacognitive knowledge
gap. Figure 6 portrays the percentage and response count of correct selections.
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Figure 6
Metacognitive Knowledge Survey Accuracy of Assessment Selections
Interview Findings
The interviewed participants demonstrated a higher level of metacognitive knowledge
than was evidenced in the survey results. While the metacognitive knowledge gap is still at 52%,
the participants displayed an understanding of how to monitor their own progress towards
achieving the succession competencies. Participant 2 stated, “consistently check in with
themselves, constantly conduct progress checks of themselves and against organizational goals
… and readjust as necessary.” Participant 3 similarly stated, “Monitoring is a day-to-day thing …
benchmarks and standards are used to benchmark progress and individual progress can be a very
personalized and unique process.” Participant 4 provided a more technical overview:
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I could only do it with data points. I would say keep a record of what is required. This
would allow me to go back and revisit the things I was supposed to do and need to do
better moving forward. Also, I think it is important to stay abreast of emerging
technologies that will help employees better track their own progress towards these
competencies or anything that they or the organization deem important.
Participant 5 echoed that perspective, but also adds “from this I can develop 6-month, 12-month,
and 24-month goals.” Participant 6 provided a more zoomed-in approach:
I have to narrow it from 10 competencies first. I would pick a few that I self-identify as
needing to work on and then set goals that I think would be demonstrative of the
assessments. Then, I would try to bake in short, medium, and long-term goals for each
competency. As I start to achieve each one, I would add new competency goals and
progress assessments periodically.
Participant 7 offered,
I keep calendars. I keep notes of what I’m doing and how I’m working towards specific
goals or sales. I track my progress. I like to see where I was in certain months and be able
to show my work in a way, through numbers, which then hopefully turn into success.
Participant 10 posited, “I would have to immediately set goals for the competencies. But to do
that, I would design a pyramid or reverse pyramid that would allow me to design steps towards
achieving each competency.” While employees did provide ideas and plans to best monitor their
assessment, it was different than originally anticipated per the metacognitive methods laid out for
each succession competency. However, it was made clear that with extra focus, employees
would not be at a major disadvantage to monitor their progress towards achieving the succession
competencies.
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Document Analysis
No documents revealed any mechanisms for monitoring progress towards achieving the
succession competencies. However, two onboarding documents reference annual follow ups to
initial supervisor expectations and employee job performance. This is an important aspect of
employee development, but it fails to align with the competency acquisition or development
identified in this research study.
Summary
Despite a high metacognitive knowledge gap survey rate of 52%, eight of the interview
participants (80%) show a strong metacognitive understanding of how to monitor their progress
towards achieving the succession competencies. The survey gap (52%) and the interview gap
(20%) generate a median metacognitive knowledge gap of 36%. Document analysis
demonstrated that the organization provides very little towards helping employees understand
how to monitor their own progress towards developing their workplace competencies. Once
employees can identify succession competencies and follow the steps for doing each one, the
evidence on this influence indicates they will be able to monitor their progress towards
implementing them. Due to this evidence, this is a confirmed asset.
Results and Findings for Motivation Causes
Value: Employees Need to Value the Succession Competencies
Survey Results
Survey participants, employees, were asked to rank the succession competencies
according to their values. Participants were shown all 10 of the competencies at once and each
had a starting number next to it. At this point, participants were able to rearrange them in a drag
and drop fashion. As participants moved a competency up or down, the new ranking would
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change and immediately display on the right side of the text. Once dropped in the desired
location, the new ranking would display. If participants felt they made a mistake, they were still
provided the capability to rearrange the competencies again, if desired. Participants also had the
option to leave a competency in its starting position if they felt the starting number matched how
they value that competency. There were three tied competencies that had majority participant
value rankings: communication - “value 1” - with seven responses (28%); efficiency oriented -
“value 8” - with seven responses (28%); and work commitment - “value 10” - with seven
responses (28%). Figure 7 portrays the full range of the competency value rankings from the 25
survey participants.
Figure 7
Survey Competency Value Rankings
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Interview Findings
Interview participants were asked to rank the succession competencies according to their
values. The full range of responses found different data and some changes of values than was
seen in the corresponding survey values question. While the survey only uncovered three tied
competencies with majority participant value rankings, the interviews yielded six tied
competencies with majority value rankings: communication - “value 1” - with three responses
(30%); teamwork - “value 4” - with three responses (30%); decision making - “value 5” - with
three responses (30%); goal setting - “value 6” - with three responses (30%); empowerment -
“value 6” - with three responses (30%); and work commitment - “value 9” - with three responses
(30%). No other investigation of this influence was conducted during the value ranking exercise
of the interviews. Figure 8 portrays the full range of competency value rankings highlighted
during the interviews. The findings from this portion of the study provided a range depiction of
values for the succession competencies which was helpful in helping to visualize similarities of
value rankings.
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Figure 8
Interview Competency Value Rankings
Document Analysis
A discovery survey from 2018 showed that 56% of respondents said they would never
consider working for certain employers due to their organizational values and standards of
conduct. It is unclear as to why the organization was investigating this topic through a survey as
no other data or explanation was publicly available. A leadership manual listed a “change of
values” as a social issue and a possible driver of necessary workplace improvements. Another
document briefly mentioned that talent management should have a connection to the “values of
the organization.” Other than these three instances, there were no mentions of values as an
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organizational topic of focus. Also, there was no mention of the succession competencies and
their value to the organization.
Summary
The participants of this study do not have a large percentage of value for the
competencies as the highest percentages of value selections reached were 30% (interviews) and
28% (surveys). This evidence supports the gap of employee-level values across the organization.
This may be an indication that employees state value for certain competencies based on societal
or organizational stigma and/or expectations. As the evidence shows levels below 30% for
survey and interview responses, this is a validated need.
Self-Efficacy: Employees Need Confidence in Their Ability to Perform the Succession
Competencies
Survey Results
Survey participants were asked to rate their confidence level in performing the procedural
component of the succession competencies. The procedural components were extracted by
separating the names of the competencies from the procedural implementation strategies.
Participants were shown all the strategies at once on a table with built-in sliders. Participants
were asked to drag these sliders horizontally along a scale of 0 (no confidence) to 10 (most
confidence) and then drop it on the number that expressed their level of confidence in being able
to perform that competency. As Figure 7 shows, the majority of participant confidence levels
ranged between a rating of seven to nine. However, the leading selection was “Analyze all
details and make the best solution,” which yielded a confidence rating of eight with 10 (40%)
participant selection counts. Figure 9 shows the full range of participant self-efficacy ratings.
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Figure 9
Survey Self-Efficacy Results
Interview Findings
Participants were asked to rate their confidence in performing the succession
competencies. This interview question was conducted differently than its survey counterpart to
generate a more closely aligned representation of participant self-efficacy. Participants were
shown the competency names instead of the procedural components of the competency. They
were not instructed to provide a 0–10 rating as in the survey, rather only asked “How confident
do you feel in your ability to perform these 10 competencies right now?” I received qualitative
assertions from six participants’ (60%) regarding their self-efficacy, but four participants (40%)
provided quantitative ratings similar to the survey question; which are highlighted in Figure 10.
This interview data showcased that most employees are confident in their abilities to perform the
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succession competencies. However, given that there is a procedural knowledge gap of 70%, it is
expected that the responding employees are overconfident in their abilities to perform the
succession competencies.
Figure 10
Interview Self-Efficacy Partial Results
Note. This table only represents four of 10 participants (40%) who provided a quantitative
response to the interview question. The other six participants (60%) are not listed due to instead
providing a qualitative response that will be highlighted below.
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Participant 3 simply stated “I am confident.” I assumed from the tone and body language
that this participant would have a confidence rating of eight or nine. Participant 6 said,
I feel pretty confident since they all seem to play into each other. I do not want to say
which ones specifically, but I feel weaker in some than others. However, I feel very
confident that I have the ability to learn and perform each competency.
Participant 7 offered, “I am not confident in my conflict resolution skills; but I feel
confident in being able to perform the other competencies right now.” Participant 8 had a similar
statement: “I am very confident in most of these; but I struggle with goal setting.” Participant 9
said, “I am confident; that is what I do daily.” Participant 10 mentioned some concerns:
I feel that empowerment would be a little difficult because it seems like it is going to be
different from person to person. Also, I feel that initiative will always be the hardest
competency on this list; mostly for the same reason. I see initiative as something you
either have or you do not; I do not think it can be taught. Other than that, I feel very
confident with all the rest of the competencies.
Document Analysis
I found no documentation to support employee development or assessment of self-
efficacy.
Summary
The majority of participants (survey and interview) reported a self-efficacy rating
between seven and nine towards performing the succession competencies. This is a positive
finding and leads me to determine that the participant self-efficacy is an organizational asset.
However, there was an unusual lack of organizational documentation geared towards the support
or assessment of employee self-efficacy development. This influence is confirmed as an
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identified asset. But, given the procedural knowledge gap of 70%, the overconfidence of
employees is a possible factor in this high confidence rating.
Attribution: Employees Need to Feel Their Success in Achieving the Succession
Competencies Is in Their Control
Survey Results
Survey participants were asked if success in achieving the succession competencies is
within their control. Participants were shown all 10 competencies in table format with a 4-point
Likert scale attached to each individual competency. Participants were able to select strongly
disagree, disagree, agree, or strongly agree. Although there were no competencies or 4-point
Likert sections that met or exceeded the 68% agreement threshold, three competencies were
close. Efficiency Oriented received 16 “agree” responses (64%); empowerment received 16
“agree” responses (64%); and goal setting received 16 “agree” responses (64%). Communication
received 14 “strongly agree” responses (56%) while conflict resolution received 6 “disagree”
responses (24%). Figure 11 portrays the full range of participant attribution selections.
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Figure 11
Survey Attribution Results
Interview Findings
Interview participants were asked to answer how they control their own success in
achieving the competencies. Participant 1 said, “recognizing where I fall short and being able to
track that with feedback from my supervisors and leadership.” Participant 2 declined to answer
the question. Participant 3 stated,
I do not take no for an answer. I just finished reading Admiral McRaven’s book Make
Your Bed and there is a chapter that resonates with me in relation to this question.
Basically, I now think, I have to hold myself accountable to better myself by learning
these competencies to track my overall progress.
Participant 4 said, “We have all failed, but we just have to keep learning from our mistakes.”
Participant 5 mentioned, “It is mostly based on me, but the organization should take a vested
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interest as well.” Participant 6 added, “I control my success in achieving these competencies by
focusing on the ones that I know in which I need to improve.” Participant 7 highlighted,
self-monitoring and keeping track of yourself, keeping your abilities in mind as you work
and as you do anything. You have to keep yourself committed to your work and want to
do a great job. That is the most important thing. You want to be achieving your goals and
achieving success and getting better at what you are doing. Without that, you will not go
anywhere.
Participant 8 quipped, “I am the only one that can control any or all of these competencies for
myself.” Participants 9 and 10 did not have an answer and asked to skip the question. The
answers provided by the participants were loosely aligned and did not provide great depth on
employee attribution towards the succession competencies.
Document Analysis
I found no documents related to attribution and employee-led development after an
extensive search.
Summary
Over 80% of survey participants reported high levels of attribution towards the
competencies. This was further confirmed in the interview questions and is confirmed to be a
positive event despite organizational deficiencies. No documents were found supporting or even
mentioning employee attribution. This influence is an identified asset to the study and the
organization.
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Emotion: Employees Must Want to Pursue the Succession Competencies
Survey Results
Survey participants were asked to share their excitement about pursuing further
development of the succession competencies. Participants were shown all 10 competencies in
table format with a 4-point Likert scale attached to each individual competency. Participants
were able to select strongly disagree, disagree, agree, or strongly agree. Only one competency
and 4-point Likert section met or exceeded the 68% agreement threshold and it was
communication which received 19 “strongly agree” responses (76%). The next highest
competencies and 4-point Likert sections were: empowerment which received 13 “agree”
responses (52%) and work commitment which received 5 “disagree” responses (20%). Figure 12
portrays the full range of participant emotion (excitement) selections.
Figure 12
Survey Emotion Results
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Interview Findings
Interview participants were asked if they feel excited to pursue each of the succession
competencies. Participants 1, 4, and 9 only offered “Yes.” Participant 2 said “Yes, for the most
part. I just do not look forward to pursuing “work commitment.” But, I think that is likely
because of how the organization is changing my section and the fact that I do not align with the
new goals being developed.” Participant 3 stated,
Yes, for the most part. It is continuous learning, like continuous education, whether
formal or informal. It proves that there is still so much you can do in your career or life as
a whole. The continuous and holistic view of oneself is paramount.
Participant 5 said, “Yes, the excitement helps me to be realistic with my goals and start the
process of improvement. This improvement is always crafting a newer version of myself.”
Participant 6 added “I am always excited to learn new things, especially the ones you presented
here today. These are critical, nearly essential to being well-rounded in the workplace.”
Participants 7 and 8 similarly quipped, “I am never excited about conflict resolution. But, I do
look forward to new learning.” Participant 10 added,
Sure, on the face, it sounds fun! Although, I am sure it is not all fun. But, this learning
would help with future jobs and experiences. But even outside of work life, these
competencies are beneficial for many personal life decisions.
Participant responses in this section signaled great overall excitement to pursue the succession
competencies, although there were some competencies (work commitment and conflict
resolution) mentioned that were deemed undesirable to pursue.
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Document Analysis
I again found no documents related to emotion in relation to development after an
extensive search.
Summary
The participants of this study are excited to pursue most, if not all of the succession
competencies. This is confirmed by an overwhelming survey total majority (87%) of “agrees”
and “strongly agrees.” This is additionally evidenced by largely supportive interview participant
responses. However, as with the attribution influence, there is a lack of organizational evidence
supporting connections between the emotions of employees and their pursuit of competency
development. This study identified this influence as an asset to the organization.
Results and Findings for Organization Causes
Cultural Models: The Organization Needs a Culture that Supports Personal Growth
Survey Results
Survey participants were asked whether they think the organization has a culture that
supports personal growth. Participants were provided a 4-point Likert scale consisting of
strongly disagree, disagree, agree, or strongly agree. Although no answers met or exceeded the
68% agreement threshold, there was still a leading majority. The choice of “strongly disagree”
received 1 response (4%) while the choice of “disagree” received 8 responses (32%) producing a
total disagreement rate of nine responses (36%). The choice of “agree” received 12 responses
(48%) while the choice of “strongly agree” received 4 responses (16%) producing a total
agreement rate of 16 responses (64%). Figure 13 visually portrays the full range of participant
selections.
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Figure 13
Survey Cultural Model Results
Interview Findings
Interview participants were asked whether they think the organization has a culture that
supports personal growth. The responses were very mixed and indicative of an organizational
problem. Participant 1 said, “I think it is there, but needs serious work. They are trying to find
innovative ways to develop well-rounded employees. But, that culture is not fully being
implemented.” Participant 2 went further by saying,
They do well towards standing up and checking the box by saying we encourage personal
growth. But there is no mechanism or true culture in place to ensure employees have
resources to develop themselves. It is strictly an individual thing, and it should not be.
Participant 3 offered the most striking response:
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Short answer: the culture sucks. Long answer, there is a very sad dichotomy of
personality or user mindsets within my workplace. It basically holds a certain category of
humans on a pedestal and everyone else below that. Everyone else is just supporting that
category of humans; they are viewed as expendable. Any support for the most part that I
have seen has been like “as long as it doesn’t get in the way of our ‘Group A’ of
humans.” You are always going to be “Group B;” unless you specifically want to join
“Group A,” at which point, you are required to work your butt off to become part of
“Group A.” But if you if do not want to be “Group A;” then it is like … okay; well just
put in your hours and maybe we will sign off for training; maybe we will allow you to
grow to a certain level. But the best opportunities only exist for people in “Group A.”
Some people in “Group B” do amazing things and probably have way more importance
than people in “Group A;” but that does not matter.
Participant 4 said, “I believe in personal growth; but it does not exist here.” Participant 5 stated,
I do not feel like there is a ton of personal growth. It seems more short-termed compared
to long-term goals and compared to other organizations. It almost feels like you are just
there to take up a spot for the time being. I do not feel the organization has our growth
and best interest in mind.
Participant 6 added to similar sentiment from Participants 2 and 3:
Leaders in my organization like to preach personal growth from their ivory tower but do
not like to practice that in terms of approving or developing opportunities for us entry to
mid-level employees. It is purely a self-focused thing you have to drive yourself to find
and do.
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Participant 7 said,
There does not seem to be any focus on a culture of personal growth. It is a little bit
fraught in my experience, since economically there has not been a lot of room for
improvement or advancement. It seems like I have gone about as far as I can go and that
is maybe my biggest issue with where I am at right now.
Participant 8 had the only positive note to add: “ Personal growth is applauded and encouraged.”
Participant 9 smiled, chuckled softly, and said “let’s move on to the next question.” I felt this
was a very telling indicator of internal issues related to the culture of personal growth.
Participant 10 stated, “The culture very much depends on your supervisors. Sometimes the
supervisors are not necessarily into personal growth. So, it just boils down to which section you
work in and what supervisors for whom you work. My section … does not seem to have any
interest in supporting a culture of personal growth.” The responses from this section indicate
serious organizational issues for which most employees are aware will not be easily rectified.
Document Analysis
I did not find any documentation to support the assertion that the organization supports a
culture of personal growth. I did however find a small element of professional development that
might act as a bridge to a culture of personal growth. A survey report from 2018 highlighted that
employees listed organizational culture as the most important area leadership should focus on to
make it a better place to work. It does not appear in any recent manuals and does not mention
any ongoing programs for employees of all positions and levels. All other discovered documents
were firmly nested in the topic area of professional development and will be explored further in
the following section of cultural settings.
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Summary
Data showed that 64% of survey participants reported the organization has a culture that
supports personal growth. However, 80% of interview participants candidly stated that the
organization does not have a culture that supports personal growth. I conducted extensive
research of over 50 documents and was unable to find any evidence of organizationally
supported, fostered, cultivated, or generated cultures of personal growth. This is a confirmed
need.
Cultural Settings: The Organization Needs to Provide Professional Development for the
Succession Competencies
Survey Results
Survey participants were asked whether they think the organization provides personal
development for the succession competencies. Participants were provided a 4-point Likert scale
consisting of strongly disagree, disagree, agree, or strongly agree. Although no answers met or
exceeded the 68% agreement threshold, there was still a leading majority. The choice of
“strongly disagree” received 1 response (4%) while the choice of “disagree” received 11
responses (44%) producing a total disagreement rate of 12 responses (48%). The choice of
“agree” received 10 responses (40%) while the choice of “strongly agree” received 3 responses
(12%) producing a total agreement rate of 13 responses (52%). Figure 14 visually portrays the
full range of participant selections.
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Figure 14
Survey Cultural Setting Results
Interview Findings
Interview participants were asked whether they think the organization provides
professional development for the succession competencies. Participant 1 echoed similar
sentiment to that of Participant 3 in the cultural model response:
I have not seen too much professional development. It is very dependent on employee
conversations with their supervisor. Employees cannot or do not feel like they can take
their turn on professional development because they are so bogged down and I think a lot
of that is due to money, resources, the priorities, or simply because you are not in a
specific career specialty. You will always be seen as the seventh alternate if you are not
in a specific career field; even if you were the first one to sign up.
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Participant 2 offered a different perspective:
They do a better job at that. There are systems in place to ensure professional
development and time is granted to facilitate requisite training. I do also think they follow
through on that aspect because it benefits them more. It seems they just see more value in
it as opposed to personal growth.
Participant 3 stated,
They do a good job of acknowledging that training. However, a lot of people and even
supervisors complain that professional development is one of the first things on the
chopping block when something more important takes hold. I personally had to cancel
my training because they needed me to do my job. They failed to understand my point of
view in which I was very motivated to better myself and grow my skill sets.
Participants 4, 8, and 9 said they did not have enough knowledge on this topic and preferred to
skip the question; thereby ending the interview since it was the last question. Participant 5 said,
“I was hired and then never heard anything about training again. It was like I was just dropped
in. The only reason I have been successful is because I have taken the initiative to seek out
training from peers.” Participant 6 stated,
This is very similar to my thoughts on the personal growth question. Professional
development in my part of the organization is very focused on promotion and I do not
agree with that. I do not think that my professional development should be determined by
my ability to get promoted. I think my professional development furthers my ability to
achieve higher social status someday in terms of leading and influencing others.
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Participant 7 said,
To be honest, it does not seem like the organization cares anymore. It has gotten to a
point where professional development just is not done as much and people are seemingly
ok with that. There used to be more programs and training for associates, to achieve more
leadership skills and go farther in the organization. But, they are not around anymore.
Also, there are a lot of job openings on our job boards for associate, warehouse, or even
production … but never any positions higher up in the organization. That pathway does
not seem very concrete. There is an obvious lack of interest towards creating those kinds
of pathways for future employees and leaders.
Participant 10 reported,
They approach it basically like training courses. There is nothing professional about it; it
is just on-the-job training. Sometimes they use individual development plans which is
great because it keeps everyone accountable. But, like everything else, it ebbs and flows
on the fanciful whims of the supervisor.
Most of the employees expressed displeasure with the existence or availability of training
programs within the organization.
Document Analysis
I did find evidence to support that the organization has plans and programs in place to
support general professional development. However, little evidence was found to support that
this professional development will help them towards education and achievement of the
succession competencies. One leadership development program intended to teach the basics of
“teamwork,” “conflict resolution,” and “decision making,” which are three of the 10 succession
competencies I laid out. Another leadership development program from 2018 was found that
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trained newly selected or promoted individuals on general supervisory functions and tasks.
However, there are no new documents showing renewal or current use of that program and its
overview did not include any of the succession competencies. A 2019 leadership development
continuum worksheet was discovered that lists “communication” and “conflict resolution” as
necessary competencies for newly promoted leaders.
Summary
The majority (52%) of survey participants (13 of 25) reported the organization provides
professional development for the succession competencies. Data showed that 70% (7 of 10) of
interview participants stated that the organization does not provide any such professional
development. The other 30% (3 of 10) of interview participants agreed that such professional
development does exist. I conducted extensive research of over 50 documents and did find
evidence of professional development. However, the evidence that was found was very basic in
nature and only highlighted four of the 10 succession competencies. This is a partially validated
influence due to the lack of systematic professional development programs for the full range of
succession competencies.
Summary of Validated Influences
This chapter utilized quantitative results and qualitative findings to provide answers to
the first two research questions, reporting first on the progress towards organizational and
stakeholder goals and then confirming influences as needs or assets. At the opening of this
chapter, it was clarified that when making assertions from the data, 68% agreement on survey
items was the threshold for asserting agreement, and interview data used as evidence generally
relied upon code typicalities of at least 70% among interview subjects. Similarly, the degree to
which an influence was validated depended upon the overall percent agreement on the survey
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and/or the typicality in the interview data. Given these metrics, influences were validated when
data indicated more than 68% of employees surveyed or 70% of employees interviewed were
experiencing that KMO challenge. Influences impacting between 24– 64% of survey respondents
or 30–60% of interview subjects were considered partially validated, and those influences
affecting 20% or fewer employees from either sample would have been classified as not
validated. There were no influences in the “not validated” category in this study. Table 1
reiterates the six influences explored in this study and highlights whether each was validated (V)
or partially validated (PV).
Table 6
Degree of Validation of Confirmed Needs (C = confirmed, NC = not confirmed)
Assumed
Knowledge
Influences
C
or
NC
Assumed
Motivation
Influences
C
or
NC
Assumed
Organizational
Influences
C
or
NC
Employees need to know
the benefits of the
Succession Competencies
to the success of the
organization.
C Employees need
to value the
Succession
Competencies.
C The organization
has a culture that
supports personal
growth.
C
Employees need to know
how to implement the
strategies for the
Succession
Competencies.
C The organization
provides
professional
development for
the Succession
Competencies.
C
Employees need to know
how to monitor their
progress toward achieving
the Succession
Competencies.
C
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Most of the influences in Table 1 were directly connected to the assertions made
throughout this chapter. Table 7 summarizes the key assertions and supporting data articulated in
Chapter Four, categorized as either KMO confirmed assets or KMO confirmed needs. The third
research question guiding this study asks for knowledge-based, motivational, and organizational
recommendations to address the problem of practice. The results and findings from this chapter
guide the selection of principles and the creation of context-specific recommendations that can
be incorporated into an implementation and evaluation plan in Chapter Five.
Table 7
Summary of Results and Findings, Reported as Identified Assets and Validated Influences
KMO Identified Assets KMO Identified Needs
Factual Knowledge
76% of employees can accurately define
the succession competencies.
Conceptual Knowledge
Employees displayed knowledge on the
benefits of employee and workforce
development.
62% of employees did not know the
benefits of the succession competencies to
the success of the organization.
Procedural Knowledge
Employees identified implementation
strategies with an individual learning and
discovery process.
70% of employees were unable to identify
or offer knowledge on the implementation
strategies of the succession competencies.
Metacognitive Knowledge
80% of interview participants highlighted a
strong understanding of monitoring their
progress towards achieving the
Succession Competencies.
52% of survey participants showed a weak
understanding of monitoring their
progress towards achieving the
Succession Competencies.
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KMO Identified Assets KMO Identified Needs
Motivation – Value
Employees showed low levels (less than
30%) of value for the Succession
Competencies.
Motivation – Self-Efficacy
Employees reported high levels of self-
efficacy in their ability to perform the
Succession Competencies.
Motivation – Attribution
Employees reported high levels of feeling
in control of their success in achieving the
Succession Competencies.
Motivation – Emotion
Employees showed great desire and
excitement towards pursuing the
Succession Competencies.
Cultural Model
Employees (64% survey and 80%
interview) reported that the organization
does not have a culture that supports
personal growth.
Cultural Setting
Employees disagreed (52% survey and 40%
interview-30% declined to answer the
question) that the organization provides
professional development for the
Succession Competencies.
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Conclusion
The conceptual framework that guided this study highlighted the relationships, as
determined by a review of the literature, between self-efficacy and other theories of knowledge
and motivation. The conceptual framework situated all knowledge and motivation influences
within the organization’s cultural settings and cultural models. While the results and findings
highlighted both KMO identified assets and validated influences which will frame the
recommendations in Chapter Five, the overall data from this evaluation study aligns with the
body of research that informed the conceptual framework. The correlations between improved
employee competency development and other KMO factors are evident.
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Chapter Five: Solutions and Integrated Implementation and Evaluation Plan
In Chapter Four, organizational and stakeholder goals were evaluated and a number of
knowledge-based, motivational, and organizational influences on the problem of practice were
identified. In Chapter Five these results and findings guided the selection of evidence based
solutions and recommendations, specific to the categories of confirmed assets or confirmed
needs as KMO challenges. This chapter utilizes the New World Kirkpatrick Model to generate
an integrated implementation and evaluation plan for the recommended solutions (Kirkpatrick &
Kirkpatrick, 2016). In order to frame this chapter in the context of the organizational mission,
performance goals, stakeholders, and research questions that guided the study, this chapter
begins by revisiting important sections from Chapter One.
Organizational Context and Mission
Xrante (a pseudonym) is a private company based in the eastern United States that
provides administrative research and analysis support to governmental organizations. Xrante is in
the business of strategic governmental problem-solving. The firm is led by an executive director
with several key senior-level management roles serving as direct reports. However, there is no
succession plan for the executive director or the senior-level positions. There is also no talent
management system designed to identify potential executive candidates and subsequently groom
them for a transition into senior or executive roles. Xrante has a unique blend of employees with
roughly 60% of them having past military experience. Employee hiring is heavily process-driven
with various steps, assessments, and interviews, while management selection is mostly from
outside the organization instead of inside hire. Xrante has a wide variety of age groups, but the
average age falls between 33 and 50 years old. Xrante is very racially and ethnically diverse, but
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Caucasian males still hold the racial majority. There are over 2000 employees and the
male/female ratio is roughly 60/40.
Organizational Performance Goal
By December 2021, potential executive candidates will develop a talent management
system designed to identify qualities necessary for selection to executive roles.
Description of Stakeholder Groups
Three stakeholders are involved in the achievement of this organizational goal. The first
stakeholder group is the Xrante executive and senior leadership. This group was considered
largely due to the focus of their leadership service and experience. Their perspective on the
succession planning process can provide a top-down perspective not found in the other
stakeholder groups. Also, they hold the final approval authority regarding the selection of
candidates to executive and senior leadership roles.
The second stakeholder group is the clients of Xrante. This group was considered because
they have organizational longevity and can provide an external level of expectation management.
Xrante clients have been privy to various leaders over many years that may or may not still be
with the organization. This allows them to carry sets of philosophical “lessons learned” and
better inform the other two stakeholder groups as to what has already been attempted in the past,
successfully or not.
The third group is the stakeholder of focus; the Xrante employees as potential executive
candidates. I selected this focus after consultation with the Xrante director revealed that
employees have relevant insight into competencies necessary for service at the executive level.
Employees’ have unbound access to other employees in the organization and understand many
elements of the organization’s behavior, often in response to leadership decisions or even
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indecision. Employees can either build up or destroy organizational leadership and it can
sometimes happen unexpectedly or unknowingly. This study’s inquiry of potential executive
candidates’ intuition and perception is expected to enhance leadership development that informs
the creation and implementation of Xrante’s future executive succession plan.
Goal of the Stakeholder Group for the Study
Xrante employees, as potential executive candidates, were the stakeholder of focus for
this study. While the joint efforts of all stakeholders contributed to the achievement of the
organizational goal of implementing a succession plan, it is critical to understand potential
executive candidates’ needs for their participation in the development of a talent management
system. This decision was made after evidence supported that potential executive candidates
offer great insight into the needed competencies and knowledge to perform at executive levels
(Kesler, 2002; Rothwell, 2002). Potential executive candidates are highly involved in the pursuit
of achieving the organizational goal and have many roles in implementing the future Xrante
executive succession plan.
Achievement of Xrante’s goal is expected to enable streamlined relationships throughout
the world, greater reputational success, and increased sustainability and continuity throughout
the organization. However, failure to meet the organizational goal could generate chaos amid
unexpected transitions and lock Xrante into years of being reactive rather than proactive. This
level of achievement was determined by observation of current methods of naming executives
and senior leaders and by comparing Xrante’s operating styles to other organizations of
comparable size and stature, both in literature and in worldly settings. Since this performance
goal is new for Xrante and its senior leadership, the performance gap is 100%.
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Purpose of the Project and Questions
This project conducted a needs analysis to examine the root causes of the organizational
problem described above. While a complete needs analysis would have focused on all Xrante
stakeholders, for practical purposes I only focused on employees, as potential executive
candidates. This analysis focused on causes for this problem due to gaps in the areas of potential
executive candidates’ knowledge and skill, and motivation. Three research questions guided this
study:
1. What knowledge, skills, and motivation do potential executive candidates need to
develop a talent management system designed to identify qualities necessary for selection
to executive roles?
2. What is the interaction between organizational culture and context and potential
executive candidates’ knowledge and motivation?
3. What are the recommended knowledge and skills, motivation, and organizational
solutions to meet the needs of potential executive candidates?
Introduction and Overview
Chapter Four provided insights into the first two research questions guiding this study.
The purpose of Chapter Five is to answer the third and final research question. Solutions were
recommended for validated knowledge-based, motivational, and organizational influences and
by creating an integrated implementation and evaluation plan to guide enacting those solutions.
Each set of validated influences is aligned with principles from the literature to generate context-
specific recommendations. These recommendations inform the development of a program to be
implemented as a research-based solution to the problem of practice. In this study, that program
is an employee competency development program, which incorporates data and findings from
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this study to improve effectiveness and value for employees as potential executive candidates. In
the end, this is expected to feed into the executive succession planning for the organization. After
aligning influences with recommendations, later sections in this chapter articulate the
development of an integrated implementation and evaluation plan using the New World
Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016). While the Kirkpatrick model for training
evaluation has always emphasized four levels of intended outcomes for training events, including
reactions, learning, behavior, and results, the New World Model approaches design using an
integrated approach and beginning with Level 4 results (Kirkpatrick & Kirkpatrick, 2006, 2016).
In this chapter the planning for the program begins with Level, by articulating the leading
indicators of successful accomplishment of the organizational and stakeholder goals. Level 3
planning follows, in which critical stakeholder behaviors for accomplishing goals are identified,
along with the factors that would drive the development of those behaviors. In Level 2 learning
goals are articulated which, along with the context-specific recommendations from the first half
of this chapter, inform the design of the program. Simultaneous to backwards designing the
program, which would be considered the implementation component of the integrated
implementation and evaluation plan, metrics and timelines for evaluation at all four levels are
articulated. The integrated plan concludes with a presentation of sample survey items and
proposals for data visualization for various key stakeholders. The planning is performed with the
end in mind and evaluation is integrated into implementation, both during planning and
executing the program.
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Recommendations for Practice to Address KMO Influences
Knowledge Recommendations
The data from this study validated conceptual, procedural, and metacognitive knowledge
influences on the problem of practice. Despite high levels of factual knowledge, employees
demonstrated conceptual knowledge gaps relating to the benefits of the succession competencies.
Also, employees further demonstrated procedural knowledge gaps relating to implementation
strategies of the succession competencies. In addition, employees revealed gaps in their self-
regulation and self-monitoring skills through struggles to accurately assess their progress
towards achieving the succession competencies. It is predicted that providing training and
education on these influences could help to narrow gaps in employee competency development.
Given this study’s focus on three levels of knowledge, there is a high density of
recommendations aligned to knowledge influences.
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Table 8
Summary of Knowledge Influences and Recommendations
Assumed
Knowledge
Influence
Validated as a
Gap?
Yes, No
(V, N)
Priority?
Yes, No
(Y, N)
Principle and Citation
Context-Specific
Recommendation
Employees need
to know the
benefits of the
Succession
Competencies
to the success
of the
organization.
(K-C)
V Y Information learned
meaningfully and
connected with prior
knowledge is stored
more quickly and
remembered more
accurately because it
is elaborated with
prior learning
(Schraw &
McCrudden, 2006).
Education –
provide employees
a list of concepts
and skills to
connect with prior
knowledge in
relation to the
Succession
Competencies.
Employees need
to know how
to implement
the strategies
for the
Succession
Competencies.
(K-P)
V Y To develop mastery,
individuals must
acquire component
skills, practice
integrating them, and
know when to apply
what they have
learned (Schraw &
McCrudden, 2006).
Training – provide
practice and
feedback; break
down complex
tasks related to
succession
competencies;
model effective
strategy use,
including “how”
and “when” to use
particular
strategies
Employees
know how to
monitor their
progress
toward
achieving the
Succession
Competencies.
(K-M)
V Y Self-regulatory
strategies, including
goal setting, enhance
learning and
performance (APA,
2015; Dembo &
Eaton, 2000; Denler
et al., 2006).
Education – Provide
employees
opportunities to
self-regulate their
own progress
towards achieving
the Succession
Competencies.
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Increasing Employees ’ Conceptual Knowledge of the Benefits of the Succession Competencies
The results and findings from this study indicate that 62% of employees lack conceptual
knowledge on how to accurately identify the benefits of the succession competencies. A
recommendation rooted in information processing system theory has been selected to close this
conceptual knowledge gap. Schraw and McCrudden (2006) asserted that information learned
meaningfully and connected with prior knowledge is stored more quickly and remembered more
accurately because it is elaborated with prior learning. Information processing theory also
highlights the effectiveness of frequent performance feedback during learning (Mayer, 2011).
These theories suggest that constructing a function to bridge the teaching of new concepts with
prior learned knowledge will allow employees to store and remember key concepts more
successfully. Thus, the recommendation is to provide an education tool to employees in the form
of a list that details key concepts and skills that connect with prior knowledge in relation to the
succession competencies. A list of basic prior knowledge possibilities could be derived from
results discovered in the 30% of participants that highlighted a conceptual knowledge asset. This
exercise would be best followed by quarterly practice and frequent formative feedback.
Clark and Estes (2008) indicated that any knowledge we are aware of is, by definition,
declarative. It is made up of all the facts, concepts, processes, and principles we are aware of
having learned, can remember, and still think about. When presented with new knowledge
opportunities or experiences, employees should associate that with their prior learned
knowledge. A foundational construct cited by Rueda (2011) aligns with this principle stating that
as learners, or employees in this case, become more proficient at doing something, much more of
their knowledge becomes automated, or not always consciously available (Alexander, 2003;
Clark, 2006, 2008). The example cited by Rueda (2011) portrays the process by which a person
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starts driving a car and gets better as they become more experienced. In time, many of the simple
tasks of driving are instinctual. Therefore, I recommend a similar approach to closing the
conceptual knowledge gap in this study. The recommendation is to utilize the Anderson and
Krathwohl (2001) taxonomy for teaching, learning, and assessing matrix with steps 1through 6:
remember, understand, apply, analyze, evaluate, and create. This could serve to connect
employees’ prior knowledge to new knowledge and close the conceptual knowledge gap.
Augmenting Employee ’s Procedural Knowledge of the Implementation Strategies of the
Succession Competencies
The results and findings from this study indicate that 70% of employees lack procedural
knowledge on how to implement strategies of the succession competencies. A recommendation
rooted in information processing system theory has been selected to close this procedural
knowledge gap. In order for employees to develop mastery of necessary procedures, they must
acquire component skills, practice integrating them, and know when to apply what they have
learned (Schraw & McCrudden, 2006). This theory would suggest that a training-based
environment or scenario could augment the procedural knowledge of employees as it relates to
succession competency implementation strategies. Therefore, the recommendation is to create a
recurring training event that breaks down complex tasks and models effective strategic
implementation, including “how” and “when” to use the strategies identified to each succession
competency.
Clark and Estes (2008) highlighted that training is the most effective method when
employees need demonstration, guided practice, and feedback to perfect a new procedure (p. 62).
In this area of procedural knowledge for succession competency implementation strategies, it is
imperative to train employees on the proper steps associated with the competencies. This training
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method should be outlined and structured according to the same sequence in which the
employees will encounter in their workplace experiences (Anderson & Lebiere, 1998; Rueda,
2011; Tobias & Fletcher, 2000). If employees receive disorganized training, it is highly likely
that their mental connections to this new knowledge will also be disorganized (Clark & Estes,
2008). Therefore, the recommendation is to provide logically sequenced training to employees in
the form of recurring sessions (monthly or quarterly; based on needs) that breaks down complex
tasks and models effective strategic implementation, including “how” and “when” to use the
strategies identified to each succession competency.
Developing Employees ’ Self-Regulation and Self-Reflection Strategies
The data from this study indicates that 52% of employees lack metacognitive knowledge
related to their ability to monitor their own progress towards achieving the succession
competencies. A recommendation rooted in social cognitive theory (Bandura, 1986) has been
selected to close this metacognitive knowledge gap. Employees need to utilize self-regulatory
strategies, including goal setting, learning enhancement, and performance to develop their self-
regulation and self-reflection capabilities (APA, 2015; Dembo & Eaton, 2000; Denler et al.,
2006). This theory would suggest that employees can be taught (Rueda, 2011) how to self-assess,
self-regulate or self-reflect through customized education, if they utilize the specific educational
aids designed for that purpose. The recommendation is to provide education to employees
through a new job aid, in checklist form, that clearly describes how to monitor one’s progress
towards competency achievement.
Clark and Estes (2008) clarified that while training is appropriate for teaching and
practicing the execution of a particular technique, education is the more appropriate tool to
prepare learners to solve future, novel challenges. Therefore, education is a good fit for the
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closing of metacognitive knowledge gaps. Rueda (2011) noted a major goal of education is to
produce self-regulated learners who have acquired expertise and can transfer their knowledge
and skills to real world problems (p. 17). Self-regulation and self-evaluation skills are necessary
for adaptive learning, resilience, and autonomy (Giammatteo & Obaya, 2018; Rueda, 2011).
Furthermore, Rueda (2011) defined metacognitive knowledge as the source of strategic problem-
solving behaviors. Therefore, it is recommended that a training program of self-reflection and
self-regulation be developed with a special focus on modeling the effective uses of the strategies
for the succession competencies.
Motivation Recommendations
Data analysis for this study revealed a motivation influence aligned to value and the
expectancy value theory. Pintrich (2003) predicted the presence of this influence and asserted
that competence beliefs, control beliefs, and goals are among the keys to motivating learners, or
employees in this case. Motivation involves the processes of initiating, sustaining, and ensuring
the quality of goal-oriented activity (Rueda, 2011). These three motivational indexes are also
referred to as active choice, persistence, and mental effort (Clark & Estes, 2008). In the context
of employee competency development, recommendations for addressing employee motivation
issues exist mostly in training aids and employee instruction. Table 9 highlights the theoretical
principle aligned to addressing the motivation influence and suggests context-specific
recommendations.
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Table 9
Summary of Motivation Influences and Recommendations
Assumed
Motivation
Influence
Validated as a
Gap?
Yes, High
Probability, No
(V, HP, N)
Priority?
Yes, No
(Y, N)
Principle and Citation
Context-Specific
Recommendation
Value –
Employees need
to value the
Succession
Competencies.
V Y Rationales that include a
discussion of the
importance and utility
value of the work or
learning can help
learners develop
positive values (Eccles,
2006; Pintrich, 2003).
Model value,
enthusiasm,
and interest in
organizational
tasks
It is important to increase employees’ value perception and the results and findings of this
study indicate that 30% of employees expressed low value of the succession competencies. A
recommendation rooted in expectancy value theory (Vroom, 1964) has been selected to close this
motivation value gap. Research shows that rationales that include discussions of the importance
and utility value of work or learning can help employees value the succession competencies at a
higher level (Eccles, 2006; Pintrich, 2003). These findings imply that the employees’ value of
the succession competencies will be bolstered with a summary tool that models value,
enthusiasm and interest in organizational tasks and purposes. The recommendation moving
forward is to generate an employee summary that details the value and enthusiasm of tasks and
competencies in the organization.
The National Research Council (2004) asserted that values are most influential in starting
an activity, while expectancies are most influential in persisting at an activity. The higher an
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individual values an activity, the more likely he or she chooses it, persists, and engages in it
(Rueda, 2011). Clark and Estes (2008) stated that most motivation researchers agree that there
are three motivational “indexes” or types of motivational processes in a work environment. They
are: active choice, persistence, and mental effort. The correct mixing of these facets of motivated
performance generates increased performance (Rueda, 2011). Therefore, the recommendation is
to provide employees a summary that teaches them how to boost or improve their value of the
succession competencies. This would be done by guiding them to organizationally aligned active
choices, providing models of enthusiasm and persistence, and piquing their interest through
increased mental effort towards development of smarter and novel solutions. This method could
see employees finding new realms of value and increased performance towards the succession
competencies.
Organization Recommendations
The data from this study confirmed organizational influences on both the needs for a
culture of personal growth and professional development opportunities for the succession
competencies. Clark and Estes (2008) assert that missing or inadequate processes and materials
can prevent the achievement of performance goals, even for employees with top motivation and
exceptional knowledge and skills. This section breaks down into two sections: the cultural setting
(Schein, 2004) and the cultural model (Gallimore & Goldenberg, 2001). Table 10 highlights the
cultural model and cultural setting recommended for adjustment through context-specific
recommendations to affect change on these problems. Strategies for addressing these
organizational influences include: assessing the parts of the culture in question by engaging in
dialogue about employee needs and creating research-based education materials that are
culturally relevant for the organization. Table 10 illustrates how these theoretical principles
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could be applied to address cultural models that don’t fully value the succession competencies.
The table also describes how cultural settings of both organizational policies and procedures
could be adjusted to address the gaps in self-efficacy and participation.
Table 10
Summary of Organizational Influences and Recommendations
Assumed
Organization
Influence
Validated
as a Gap?
Validated,
No
(V, N)
Priority?
Yes, No
(Y, N)
Principle and Citation
Context-Specific
Recommendation
Cultural Model —
The organization
needs a culture
that supports
personal growth.
V Y A strong organizational
culture controls
organizational
behavior and can
block an organization
from making
necessary changes for
adapting to a
changing
environment (Schein,
2004).
Provide employees
an organizational
process that
identifies and
resolves
discrepancies
between values and
behavior.
Cultural Setting —
The organization
needs professional
development for
the succession
competencies.
V Y Effective change
efforts ensure that
everyone has the
resources
(equipment,
personnel, time, etc)
needed to do their
job, and that if there
are resource
shortages, then
resources are aligned
with organizational
priorities (Clark &
Estes, 2008).
Provide employees
with a career
specialty map that
highlights
necessary and
optional resources
(equipment,
personnel, time,
etc) needed to do
their job and
expected processes
outcomes during
shortage
environments.
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Developing a Cultural Model Supportive of Personal Growth
While survey participants (n = 25) agreed with the statement “The organization has a
culture that supports personal growth” at a rate of 64%, interview participants (n = 10) candidly
stated at a rate of 80% that the organization does not have that supportive culture. While the
survey response rate is below the agreement threshold of 68%, it is indicative of a growing
organizational issue. A recommendation rooted in organizational culture theory has been selected
to close this organizational gap. A strong organizational culture controls organizational behavior
and can block an organization from making necessary changes for adapting to a changing
environment (Schein, 2004). The annotation of strong culture extends to both a good and bad
environment for employees. An overly strong culture that is not supportive of personal growth
can likewise block the organization from making necessary changes. Although attempts to
correct or change organizational culture may be upsetting for a portion of the workforce, it is
important to develop a culture that supports growth for the total workforce. The recommendation
is to provide employees an organizational process that identifies and resolves discrepancies
between values and behaviors of all employees.
Rueda (2011) asserted that organizational structures, policies, and practices can influence
whether the performance goals of individuals, groups, or entire organizations are met. Clark and
Estes (2008) state that organizational culture is the most important work process because it
dictates how employees work together to achieve organizational goals. Furthermore, Gutierrez
and Rogoff (2003) proposed that culture should not be seen as static or monolithic, but as a
dynamic process that is jointly created and recreated by individuals while negotiating everyday
life. I add this reference to highlight that organizational culture should similarly be jointly
created and recreated, as needed.
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Increasing Professional Development Opportunities
Survey participants (n = 25) agreed with the statement “The organization provides
professional development for the succession competencies” at a rate of 52% while interview
participants (n = 10) highlighted, at a rate of 70%, that the organization does not actually provide
that professional development. This survey response rate of 52% is well below the agreement
threshold of 68% but it is important to note that the other 48% of survey participants stated
disagreement to the same question. This survey data and its alignment to the data discovered in
the interviews highlights a serious organizational issue of professional development. A
recommendation rooted in Clark and Estes’s (2008) KMO change model has been selected to
close this organizational gap. Effective change efforts ensure that everyone has the resources
(training, development, equipment, personnel, time, etc.) needed to do their job, and that if there
are resource shortages, then resources are aligned with organizational priorities (Clark & Estes,
2008).
Peter Drucker (1995) asserted that leadership rests on being able to do something others
cannot do at all or find difficult to do even poorly. He continued by saying that leadership relies
on core competencies that meld market or customer value with a special ability of the producer
or supplier. This study adopts and refocuses that mentality in that the succession competencies
are necessary for employees to develop, as potential executive candidates, for selection to or
service at the executive level. This study and this section have exposed a gap in professional
development on the succession competencies for employees. Interview data highlights that 80%
of participants feel disenfranchised in relation to the organization’s approach to professional
development and education. Rueda (2011) noted that it is important that these types of
organizational gaps be systematically uncovered and considered alongside knowledge and
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performance gaps to target solutions and expend resources in the most efficient manner possible.
Clark and Estes (2008) further asserted that implementing organizational change and
improvement processes is one of the most important problems facing the business community
today. Organizational structures, policies, and practices can influence whether performance goals
are met (Clark & Estes, 2008). The recommendation is derived from that frame of mind and
presents as setting about change efforts to boost resource availability across the organization.
The organization should provide employees with career specialty maps that highlight necessary
and optional resources (training, education, equipment, personnel, time, etc.) needed to do their
job and expected processes outcomes during shortage environments.
Integrated Implementation and Evaluation Plan
Implementation and Evaluation Framework
The model that guided the design of this implementation and evaluation plan is the New
World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016), based on the original Kirkpatrick
Four Level Model of Evaluation (Kirkpatrick & Kirkpatrick, 2006). In the sections that follow,
Level 4 is considered first as the desired internal and external outcomes are defined. Level 4
outcomes are informed by the organization’s mission and goals, and in this study the outcomes
align to the stakeholder group of the employees, in pursuit of status as potential executive
candidates. Level 3 follows with defining the critical behaviors that must be cultivated in the
employee stakeholder group, identifying the necessary drivers to correct or adjust employees’
knowledge and motivation influences, and articulating the necessary organizational support
structures to enact the drivers. In Level 2 the learning goals are articulated in support of the
desired critical behaviors, and programs are planned to both target and evaluate declarative,
procedural, and metacognitive knowledge, and value as motivation. In Level 1 a plan is
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developed for measuring employees’ engagement, satisfaction, and their perception of the
relevance of executive succession planning. The use of Kirkpatrick and Kirkpatrick’s (2006)
levels is meant to increase the likelihood that enduring learning, behavior change, and
organizational results are the ultimate outcomes of education or training interventions.
Organizational Purpose, Need and Expectations
Xrante (a pseudonym) is a private company that provides administrative research,
problem-solving, and analytic support to governmental organizations. The firm is led by an
executive director with several key senior-level management roles serving as direct reports.
There is no succession plan for the executive director or the senior-level positions and no talent
management system designed to identify and groom potential executive candidates for service in
senior or executive roles. Employee hiring is heavily process-driven with various steps,
assessments, and interviews, while management selection is mostly from outside the
organization instead of inside hire. Three stakeholders are involved in the achievement of this
organizational goal: executive and senior leadership, clients, and the stakeholder of focus which
is the employees as potential executive candidates. Potential executive candidates offer great
insight into the needed competencies and knowledge to perform at executive levels (Kesler,
2002; Rothwell, 2002). Potential executive candidates are highly involved in the pursuit of
achieving the organizational goal and have many roles in implementing the future Xrante
executive succession plan.
Achievement of Xrante’s goal is expected to enable streamlined relationships throughout
the world, greater reputational success, and increased sustainability and continuity throughout
the organization. However, failure to meet the organizational goal could generate chaos amid
unexpected transitions and lock Xrante into years of being reactive rather than proactive. This
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level of achievement was determined by observation of current methods of naming executives
and senior leaders and by comparing Xrante’s operating styles to other organizations.
Level 4: Results and Leading Indicators
Table 11 shows the proposed Level 4 results and leading indicators organized into
external and internal outcomes and the metrics and methods that could be used to evaluate them.
The outcomes are the lead indicators of continual, successful attainment of the goal for
employees to fully adopt and achieve the succession competencies that will set them up as
potential executive candidates for future service at the executive level. Internal indicators are
likely to occur if critical behaviors of employees can be cultivated by a unified and skilled
faculty stakeholder group. External indicators should follow upon successful attainment of
internal outcomes.
Table 11
Outcomes, Metrics, and Methods for External and Internal Outcomes
Outcome Metric(s) Method(s)
External Outcomes
1. Potential executive
candidate program
established
Notice of announcement to
community, clients, partners,
and prospective new hires
Monthly reports
2. Internship opportunities Number of community and/or
government partners
Public search statistics
Internal Outcomes
3. Employees attend new
leadership course
Number of employees identified
for attendance and potential
for advancement
Quarterly human
resources report
4. Increased employee
retention
Number of employees retained
versus previous timeframe
(months, years)
Workforce analytics
retention report
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Level 3: Behavior
Critical Behaviors
The stakeholder group of focus in this study was the employees as potential executive
candidates. The first critical behavior identified is that employees must cultivate skill sets and
mindsets based on the succession competencies. The second critical behavior is that employees
set organizational and personal goals aligned to their growth in skills. The third critical behavior
is that employees sustain and further develop their values through a focus on organizational job
aids. Table 12 specifies the metrics, methods, and timing for the evaluation of each of these
critical behaviors.
Required Drivers
Employees will need supportive organizational cultures with mentors that have the
knowledge and skills to cultivate the critical behaviors described in Table 12 in order to
influence the achievement of the desired outcomes. As such, mentors and their levels of
engagement with the employees’ will be the drivers for developing employees’ critical
behaviors. Kirkpatrick and Kirkpatrick (2016) categorized drivers as either reinforcing,
encouraging, rewarding, or monitoring. Many of the knowledge-based recommendations align
with the category of reinforcing, as training and education solutions are incorporated in
organizations. Motivational recommendations fall primarily into the encouraging category, as
organizational practices support students in initiating and sustaining goal-oriented behaviors.
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Table 12
Critical Behaviors, Metrics, Methods, and Timing for Evaluation
Critical Behavior Metric(s)
Method(s)
Timing
1. Employees must
cultivate skill sets
and mindset
based on the
succession
competencies
a. The number of
educational aids in
which an employee
expresses interest
b. The number of
training aids in
which an employee
expresses interest
a. Human resources
shall keep a log of
interested employees
b. Training
department shall
annotate training
requests
Monitor this metric
monthly
Monitor this metric
monthly
2. Employees set
organizational
and personal
goals aligned to
their growth in
skills.
The number of
completed employee
executive
development plans
(EEDP)
Human resources shall
keep a repository of
completed EEDP’s
with employee and
supervisor
endorsements
Senior leadership
will review the
repository
quarterly
3. Employees
further develop
their values
through a focus
on organizational
job aids
The number of job
aids document
downloads from the
share point
IT shall install a
counting macro that
displays the amount of
downloads next to the
file name
Ongoing counter;
reviewed by
leadership semi-
annually for topic
refresh and/or
additions
Occasionally, motivation solutions involve an incentive, which places those drivers in the
rewarding category as students are celebrated for their successes. Finally, monitoring is most
often an organizational level solution, laying the foundation for accountability measures and data
driven decision making. Table 13 identifies and categorizes the required drivers identified in this
study. It further outlines the time interval for enacting each strategy and then demonstrates the
alignment of each driver to particular critical behaviors.
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Table 13
Required Drivers to Support Critical Behaviors of Employees
Method(s) Timing
Critical Behaviors Supported
1, 2, 3 Etc.
Reinforcing
Training sessions on skill sets of the
succession competencies
Quarterly 1, 2
Education on connection between
organizational goals and the succession
competencies
Monthly 1, 2
Emphasis on development of personal values
in relation to organizational goals and the
succession competencies
Quarterly 1, 2, 3
Education on recognition and memorization
of the succession competencies
Weekly 1, 2
Encouraging
A positive environment of learning and
collaboration in which employees see as
beneficial to their long-term success
Daily 1, 2, 3
Provide employees frequent, feedback
aligned to their succession competencies
and organizational goals
Monthly 2
Rewarding
Recognition of employees who model value,
enthusiasm, and interest in organizational
tasks
Monthly 1, 2
Celebration of in-the-moment actions and
values that align to the succession
competencies and organizational goals
Daily 1, 2, 3
Monitoring
Assess employee executive development
plans (EEDP) for signs of increasing
knowledge and acceptance of the succession
competencies
Quarterly 2
Engage in PDSA cycle with the potential
executive candidate course, ensure course is
aligned with organizational goals and
succession planning objectives
Quarterly 1, 2, 3
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Organizational Support
The highlighted critical employee behaviors in Table 12 and required drivers highlighted
in Table 13 serve to ground the implementation of the organizational level recommendations. I
utilized perspectives from Bolman and Deal (2017) to offer a fuller picture of the proposed
organizational support. To support training efforts, the organization must reinforce participation
and involvement and ongoing psychological support throughout the process. As the employees’
train to develop new skills on the succession competencies, there must be emphasis on
concurrent development of their personal values as well. These areas may serve to reduce
employee anxiety and uncertainty (Bolman & Deal, 2017). Furthermore, the senior leadership
must work to prevent loss of direction and clarity during the time of change and seek to
encourage a positive environment in which employees feel capable of attaining long-term
success. The senior leadership should embrace the symbolic nature of change (Bolman & Deal,
2017) to prevent employees from feeling a loss of meaning and purpose so that they do not cling
to the past. This would be best accomplished by ensuring recognition of employees who model
the succession competencies and celebrating actions and values in keeping with the desired
organizational change laid out in this study. This focus would allow the organization to develop
arenas where issues can be renegotiated (Bolman & Deal, 2017) and allow new organizational
coalitions that will be able to engage in the four-part plan, do, study, and act (PDSA) model. This
model will enable the potential executive candidate course to remain aligned with organizational
goals and succession planning objectives.
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Level 2: Learning
Learning Goals
The following program learning goals target the Level 3 critical behaviors to support
stakeholder of focus behavior change en route to achieving internal leading indicators at Level 4
for ultimate alignment to the stakeholder and organizational goals. Following the implementation
of the recommended solutions, particularly as facilitated in the potential executive candidate
course, the employee stakeholders will be able to:
1. Connect prior knowledge about succession competencies to new learning (C)
2. Implement strategies pertaining to development of succession competencies. (P)
3. Demonstrate they know “how” and “when” to use particular strategies based on certain
scenarios. (P)
4. Apply strategies that facilitate monitoring their own progress towards achieving the
succession competencies. (K-M)
5. Reflect on their alignment of personal or professional goals to the organizational goals.
(K-M)
6. Monitor one’s progress toward achieving the succession competencies. (K-M)
7. Value the importance of the succession competencies. (value)
8. Model interest in organizational tasks. (value)
9. Resolve discrepancies between values and behavior. (cultural model)
Program
The potential executive candidate program that was featured in this study was designed to
serve as an organizational change management tool concentrated on solving executive
succession planning with a unique focus on employee competency development. Hence, the
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program required employees, as potential executive candidates, to begin a movement towards
mastery learning of the succession competencies. Beginning this year, the first program will be
conducted within the organization and will continue as a quarterly program. This program will
have a target goal of five employees per program iteration with four iterations per year. This will
allow up to 20 employees to receive executive training per year. This is a 96-hour program that
will meet over a spread of four hours a day, three days a week, for two months. The four hours
per day can be split into two separate two-hour blocks per day, with respect to the organizational
focus or challenge at any given time. This will allow the organization to train potential executive
candidates while still ensuring the advancement of organizational goals and its mission. The
training will utilize instructor-led lectures, guest speaker seminars, group exercises or activities,
individual written assessments, periodic checks on learning, group discussions, pre-and-post
tests, demonstrations, practice and feedback, and group survey assessments.
The intent is for employees to grow and develop in the succession competencies and
increase their likelihood of being selected to executive roles. Each future iteration of the
potential executive candidate program will be methodically informed by the evaluation of the
program conducted during the previous quarter. As such, the first iteration of the program I laid
out will incorporate the KMO needs analysis from this dissertation study. The second and
following iterations will derive necessary updates from the first iteration. The recommended
program offers suggestions on how to facilitate employee competency development that will lead
to inclusion in the organizational executive succession planning and talent management
frameworks. This program will focus on the benefits of each succession competency and its
relation to organizational goals. Program managers and instructors will conduct prior knowledge
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tests at the beginning of each program iteration. This will allow them to connect prior knowledge
to soon to be received information.
The program will further explore the strategies connected to each succession competency
and engage the course in scenario-based training that utilize demonstrations as well. This will
allow each employee to witness the “how” and “when” involved with each strategy. Employees
will also be taught performance indicators that allow them to better know how to track their own
progress towards achieving the succession competencies. Furthermore, employees will
specifically train on recognition and memorization of the succession competencies and how they
factor into their employee executive development plans. Employees will engage in a variety of
training methods designed to facilitate a transfer of skills from a theoretical space to on-the-job
behaviors. These methods will include role-playing of employee-employee and employee-leader
interactions, dramatizations of workplace incidents, group activities, simulations, pre and post
assessments, and group discussions. Employees will navigate these methods through the use of
job aid checklists that help them to differentiate whether they are exuding good or bad skill sets
of the succession competencies. Employees will be expected to journal detailed notes of their
progress and thoughts before and after each training method. This program will also use a teach
back system that informs a later action planning process. At the end of each week, employees
will teach back to their peer’s portions of material or lessons learned in that week’s exercises as a
way of confirming their own understanding. Employees will be allowed to reference their journal
entries from that week’s training for the teach back portion. At the end of each week, employees
will also be asked to write down one thing from the week’s training that they would like to
further develop. These topics will be discussed in group discussions and will form the basis from
which individual employee actions plans will be developed. The action plans, combined with
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their journal entries, will be used as guiding paths designed to form concrete transfers of
knowledge and skills from the program to on-the-job behaviors.
Attendees will also be taught how to further develop personal values in relation to
organizational goals. This will enable critical behaviors that are necessary to developing
potential executive candidates that embody the succession competencies in leadership functions.
Employees will engage in peer-to-peer training exercises designed to teach them the specific
skill sets that rest within the succession competencies. These skills include benefits,
implementation strategies, and task procedures. Employees will receive extensive training on the
expectations of the employee executive development plan and further teach them how to
implement these plans as future supervisors.
Instructors will also use this block of the training to connect their progress towards
teaching employees how to ascertain the organizational goals and sync their plans. The course
shall take dedicated time to highlight models of value, enthusiasm, and interest in organizational
tasks. This will further explain how to identify and resolve discrepancies between value and
behavior. Instructors will have latitude to use organizational examples or bring in external case
studies that align to the block of instruction. Lastly, instructors will introduce and teach the
organizational career specialty maps. This training will summarize required and desired
performance levels in each specialty and then showcase how to maintain high levels of
performance amidst shortage environments.
Evaluation of the Components of Learning
Throughout instruction, there must be checks of the employees’ conceptual, procedural,
and metacognitive knowledge. This will ensure effectiveness and serve as a corrective measure if
the course is seemingly off track for any reason. Additionally, continued assessment of the
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employees’ value development will be climacteric so as to ensure the training is not inhibiting
permanent learning. If there are gaps in employees’ perceptions of the value of this program and
a lack of commitment on their part to setting challenging goals and candidly reflecting on
progress, the cultivation of critical behaviors is less likely. Table 14 highlights the methods and
timing for evaluating these knowledge-based and motivational components of learning.
Table 14
Evaluation of the Components of Learning for the Program
Method(s) or Activity(ies) Timing
Declarative Knowledge “I know it.”
Knowledge checks through formative
quizzes
End of each training block after the “checks on
learning” and at conclusion of the program
Knowledge checks via instructor
call/responses format and group activities
End of each training block as a “check on
learning”
Pre-test and post-tests Beginning and end of program
Procedural Skills “I can do it right now.”
Observations of employees’ application of
succession competency skills
Periodically throughout the program
Individual/group activity Beginning, middle, and end of program
Pre-test and post-tests Beginning and end of program
Attitude “I believe this is worthwhile.”
Discussions with employees about value Periodically throughout the program
Pre-test and post-assessments Beginning and end of program
Confidence “I think I can do it on the job.”
Likert scaled survey items related to
confidence
Periodically throughout the program
Pre-test and post-assessments Beginning and end of program
Commitment “I will do it on the job.”
Practice goal setting and creating individual
action plans
Periodically throughout the program
Likert scaled survey items related to
commitment
Periodically throughout the program
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Level 1: Reaction
Level 1 evaluation seeks to measure reactions to the potential executive candidate
program in the categories of engagement, relevance, and customer satisfaction. Table 15
articulates the methods or tools for evaluating these reactions and indicating the frequency and
timing of each evaluation.
Table 15
Components to Measure Reactions to the Program
Engagement
Observations by instructor of peer
assessments/interactions
Periodically throughout the program
Observations by instructor during program that
indicate value, excitement, and cognitive
engagement
Periodically throughout the program
Program evaluation At the end of each program
Relevance
Employee survey Quarterly
Program evaluation At the end of each program
Customer Satisfaction
Employee survey Quarterly
Program evaluation At the end of each program
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Evaluation Tools
Immediately Following the Program Implementation
In this chapter, course evaluations and specific items were listed as ways to measure
Level 1 and Level 2 outcomes immediately following implementation of the potential executive
candidate course. This evaluation plan highlighted Level 1 questions that were designed to be
reflective of only the post-program reactions. The goal of this is to measure employees’ own
perceptions of their engagement while learning, their satisfaction with the experience, and the
relevance of what they learned using a four-point Likert scale. Level 2 evaluations incorporated
measures of declarative and procedural knowledge, commitment, confidence, and attitude. This
evaluation plan also highlighted Level 2 rating items that were designed to include both post-
course assessments and pre-course reflections using a five-point Likert scale. These items seek to
measure both the effectiveness of the program at achieving the intended learning goals, while
also assessing employees’ perceptions of their opportunities for growth in knowledge,
confidence, commitment, and attitude. Appendix E provides examples of Level 1 and Level 2
rating items, such as those that might be used on a course evaluation at the conclusion of each
potential executive candidate course.
Delayed for a Period After the Program Implementation
Kirkpatrick and Kirkpatrick (2016) advised an additional; but delayed post-program
evaluation. This would come after the required drivers have been activated and the employees
have had ample opportunities to enact the knowledge and skills acquired from the potential
executive candidate program. The recommended timeframe will vary from organization to
organization, depending upon how long it takes to activate both the drivers and the stakeholders’
critical behaviors (Kirkpatrick & Kirkpatrick, 2016). The drivers articulated in this
115
implementation and evaluation plan describe actions to be taken by employees in the potential
executive candidate program to reinforce, encourage, and reward them as they work on
developing critical behaviors. Due to the employee’s ongoing acquisition of learning goals and
continuous development of their critical behaviors, progress on Level 3 drivers should be
evaluated at the midpoint of the program. This might allow instructors to adjust the
implementation of drivers in order to achieve better employee outcomes. Appendix E showcases
Level 3 rating items for drivers using a four-point Likert scale, for a survey to be administered
mid-way through an iteration of the potential executive candidate program. Level 3 critical
behaviors will be better measured after completion of the program and should indicate the level
to which employees’ critical behaviors were developed while in training. Furthermore, Level 4
outcomes are expected to describe long-range indicators of success which are generally aligned
to the accomplishment of the stakeholder and organizational goals. Hence, it would be most
appropriate to assess level 4 rating items between four to six months after completion of a
program iteration. Kirkpatrick and Kirkpatrick (2016) encouraged revisiting Level 1 metrics of
relevance and customer satisfaction in a delayed survey. They further suggested a check for
retention of Level 2 knowledge and skills-based learning goals. Appendix F highlights a sample
delayed survey with Level 1, 2, 3, and 4 rating items that could be administered to employees
five months after completion of a program iteration. The rating items include a combination of
open-ended questions, indications of degree of application of behaviors on a five-point scale, and
check box questions.
Data Analysis and Reporting
I expected this implementation and evaluation plan to generate a significant amount of
data. Kirkpatrick and Kirkpatrick (2016) advised on how to avoid the common pitfalls in data
116
collection and analysis including (a) spending too much time and energy on Level 1 and Level 2
feedback, (b) asking questions that don’t generate useable data, (c) making presentations of data
analysis too complicated, and (d) simply not using the data that has been collected. The
following plan for data analysis and reporting has been designed to avoid these pitfalls by
adhering to the advice of Kirkpatrick and Kirkpatrick (2016).
This plan for data analysis and reporting includes creating a web-based portal for use by
the program instructors, employees, and organizational leadership. Since piloting organizational
change requires the need for continuous data collection and analyzation, I assert that the program
instructors, employees, and organizational leadership might benefit from a filterable visual
display of results of the measures for Level 1, Level 2, and Level 3 drivers administered at the
conclusion of each program iteration. The display of results would be aggregated, and employee
survey responses would be kept confidential with no collection of identifying information.
This web-based portal would have a second section that allows for monitoring of the
Level 3 behaviors and Level 4 results. The goal of the second page would be to monitor if the
potential executive candidate program is working to accomplish the organizational goal and
increase employee knowledge on succession competencies. This web-based portal allows the
organization to quickly visualize aggregate results of changes in Level 2 confidence throughout
the program while illustrating the Level 3 critical behaviors and Level 4 indicators relating to
employee gaps. The overall purpose of collecting, visualizing, and analyzing data is to monitor
progress toward the achievement of stakeholder and organizational goals. In addition to data
from the evaluations designed in this chapter, progress toward the stakeholder goal should
continue to be monitored using samples of employee assessments as was modeled in Chapter
Four of this dissertation.
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Summary
This chapter utilized the New World Kirkpatrick Model to design an integrated
implementation and evaluation plan to enact recommended solutions to the problem of employee
competency development on the succession competencies (Kirkpatrick & Kirkpatrick, 2016). I
designed the potential executive candidate course using backwards planning, starting from the
Level 4 indicators of goal attainment and Level 3 stakeholder critical behaviors. The program
offers guidance on how to implement the first and recurring iterations of the potential executive
candidate course. The successful first iteration of this program will allow each subsequent
iteration of this program to offer better employee development of the Level 2 learning goals.
These goals will continue to be driven by the behaviors articulated by the Level 3 drivers.
It is not recommended to wait until the end of implementation to assess program success
of changing behaviors and creating desired organizational results, but to instead gather data
continuously (Kirkpatrick & Kirkpatrick, 2016). Frequent and repeated data collection allows the
opportunity to explore the following three questions about outcomes at any of the four
Kirkpatrick levels: (a) Does this outcome meet expectations?; (b) if so, why?; and (c) and if not,
why not? (Kirkpatrick & Kirkpatrick, 2016). I believe that eventually new evaluation instruments
will need to be developed in order to involve the other stakeholder groups of this study. The
current evaluation tools were only designed for use with the employee stakeholder group. To
best assess if expectations are being met, observations of instructors will be critical to inform
whether employees are meeting expectations according to Level 3 critical behaviors and the
Level 2 learning goals.
Return on expectations are defined as the best indicator of value of a training program
(Kirkpatrick & Kirkpatrick, 2016) and the New World Kirkpatrick Model ensures this value by
118
articulating expectations from the very beginning. They further make clear that the measure of
success for an implemented program is discovered by the attainment of successful attainment of
the leading indicators laid out in the study. If an organization or its leaders are left wondering
how to prove if a change initiative was successful, then there is room for disagreement on the
value of that initiative. Initiatives that utilize an integrated implementation and evaluation plan
create buy-in and a greater chance for success. This chapter has provided Xrante a greater
likelihood of its potential executive candidate program experiencing success due to the
developed planning and support process.
Strengths and Weaknesses of the Approach
All methodological and theoretical approaches have strengths and weaknesses, and this
research study proved no different. The Clark and Estes (2008) gap analysis model provided
great strengths through a lens of KMO due to the connections to employee needs and
development. Also, there was a unique relationship between theories of learning and motivation
that was amplified for greater understanding through the KMO lens. It was well aligned for the
problem of practice and recommended solutions laid out throughout this chapter.
The backwards planning method of the New World Kirkpatrick Model was highly
effective towards designing the potential executive candidate program. This reverse thought
process helped to idealize first what success should look like and then guided me through each
step designed to bolster each next level. Although the components have been researched and
proven to be beneficial, I did feel a slight disconnect from some previous experience in the KMO
model. For example, it was felt that the critical behaviors section of Level 3 would be more
complete with an “observation” portion. I credit this to the fact that employees watch and
occasionally, copy one another. Whether this occurs in the right or wrong, there is a belief that
119
this could be built into an employee development function and could be an add-on to scenarios
based on the succession competencies.
Limitations and Delimitations
This study leaves ample room for future researchers. It could be adapted for use in many
other types of organizational research and could even be shifted to center on various stakeholder
groups of focus. Ideally, the next phase of this research would lend itself to investigating the
senior leadership as the stakeholder of focus and improving top-down mentorship programs.
These programs could be modified as add-ons into the potential executive candidate program in
which employees’ pair with a mentor in the last days or weeks of the program. This dual focus
would then be improving employee development via succession competencies and senior
leadership mentoring skills through live action. This study could also be adapted as a field study
that attempts to research multiple organizations at once for a comparison study across industries.
Due to constraints put in place during the COVID pandemic, I had to shift from observations to
document analysis. It is believed that observations would have allowed a closer connection to
workplace displays of the succession competencies than document analysis was able to provide.
This study saw a disproportionate gender spread with survey participants showing 16 males and
nine females and interview participants showing eight males and two females. It is felt that this
may have perpetuated a deeper male perspective and it was unintentional. A future study would
be best served to recruit a balanced gender pool for survey and interview participants.
Future Research
Future research on this topic should consider senior leadership as the principal
stakeholder of focus and seek to add exploration on sub-component of top-down mentoring. It
would serve a wider scope of an organization if education of the succession competencies were
120
to be expanded into new forms of leadership. I felt that having to switch from observations to
document analysis thwarted findings of succession competencies in action. This should be
explicitly explored in future research through extensive observation. After said observation,
triangulation would be best served by looking for alignment between that and document analysis.
I believe this would highlight a more rounded story and could expose training needs that have
not been realized yet. The research study recruited 25 participants for surveys and 10 from that
group agreed to interview. I think that future research should look to double that participant pool
at a minimum to provide an even more holistic picture of perspectives towards organizational
change and employee development.
Conclusion
This study focused on the underperformance of executive succession planning
expectations and the overall lack of an executive succession plan at Xrante using Clark and Estes
(2008) KMO framework. This was sub-focused to explore how employees, as potential executive
candidates, can be developed for inclusion into future executive succession planning by
investigating their development through succession competencies established by this research
study. A deeper understanding of the employee’s knowledge and motivation through
investigation ultimately provided the opportunity to generate recommendations in support of a
potential executive candidate program. This program was created through research on
competencies necessary for employment at the executive level and analysis through the
Kirkpatrick & Kirkpatrick (2016) and the New World Kirkpatrick Model (Kirkpatrick &
Kirkpatrick, 2016) four levels of training and evaluation. This study allowed gaps to be identified
in knowledge areas of conceptual, procedural, and metacognitive while also showing room for
improvement on employee values of the succession competencies. Cultural models and settings
121
around professional growth and a culture of personal support were among the foremost
organizational gaps identified. This approach is expected to enable Xrante to build an employee
talent management system based on succession competencies, skills, and mindsets, that will
invariably feed into the organizational succession planning.
122
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Appendix A: Survey Protocol
The purpose of this survey is to assess the knowledge, motivation, and organizational needs of
employees in the areas of competency development and executive succession planning. Please
provide your opinion on the following 10 questions. If you have any questions regarding the
survey items, please feel free to contact the researcher.
Knowledge
Table A1
Question 1
Question 1 Do you know the definitions of these competencies?
Select the correct definition for each term.
Factual:
Employees need to know the
meaning of the Succession
Competencies
Conflict Resolution Two or more parties work towards a
solution to a problem or dispute.
Efficiency Oriented Focus on high output with least amount
of input.
Decision Making Analyze data and information to make
considered decisions.
Initiative Identifies what needs to be done and
acts before being asked.
Teamwork Ability, and desire to work
cooperatively with others
Work Commitment Enthusiasm towards one’s workplace
and tasks assigned.
Goal Setting Development of an action plan
designed to motivate and guide a
person or group toward a goal.
Communication Sharing of information verbally and in
writing.
Results Oriented Ability to focus on the desired result of
one’s own or one’s unit’s work.
Empowerment Convey confidence in an employee’s
abilities.
144
Table A2
Question 2
Question 2 Do you know the benefits of these competencies to the success
of the organization?
Select the correct benefit for each term.
Conceptual:
Employees need to know the
benefits of the Succession
Competencies to the success
of the organization.
Conflict Resolution Commitment and new insight
between partners.
Efficiency Oriented Greater productivity in a
shorter amount of time.
Decision Making Long-term prosperity and
improved business
operations.
Initiative Self-drive, self-awareness,
insight and personal
motivation.
Teamwork Organizational creativity and
innovation.
Work Commitment Ownership of work and
ambassadorship.
Goal Setting Shared organizational vision
and increased optimism.
Communication Employee engagement and
flow of information.
Results Oriented Continuous improvement.
Empowerment Employee satisfaction and
branding.
145
Table A3
Question 3
Question 3 Do you know how to implement strategies towards achieving
these competencies?
Select the correct strategy for each term.
Procedural:
Employees need to know
how to implement the
strategies for the Succession
Competencies.
Conflict Resolution Manage stress quickly while
remaining alert and calm.
Efficiency Oriented Practice strict time
management.
Decision Making Analyze all details and select
the best solution.
Initiative Align proactiveness with
organizational goals.
Teamwork Establish the outcome of
desired improvement.
Work Commitment Seek feedback and career
growth opportunities.
Goal Setting Utilize the SMART method.
Communication Employ verbal, listening,
writing, and social skills.
Results Oriented Enable targeted direction and
objectives of performance.
Empowerment Take prudent risks to elevate
business operations.
146
Table A4
Question 4
Question 4 Do you know how to best assess your progress towards
achieving these competencies?
Select the correct performance assessment for each term.
Metacognitive:
Employees know how to
monitor their progress toward
achieving the Succession
Competencies.
Conflict Resolution Acknowledges problems and
works to understand all
perspectives.
Efficiency Oriented Completes tasks in the most
optimal way.
Decision Making Chooses actions that give the
best outcomes for themselves
and others.
Initiative Assesses issues and generates
solutions.
Teamwork Emulates observed strong
organizational behavior.
Work Commitment Demonstrates responsibility
towards the organization.
Goal Setting Highlights realistic impact
planning and measurement.
Communication Boosts engagement through
leveled employee
interactions.
Results Oriented Recognizes what is important
and takes steps to achieve it.
Empowerment Values others through
encouragement, delegation,
and gratitude.
147
Motivation
Table A5
Question 5
Question 5 Rate your confidence in performing each of the 10 Succession
Competencies right now.
0 (no confidence) to 10 (most confidence)
Self-Efficacy:
Employees need confidence
in their ability to perform
the Succession
Competencies.
Manage stress quickly while
remaining alert and calm.
0–10 Self-Efficacy Scale
Practice strict time
management.
0–10 Self-Efficacy Scale
Analyze all details and select
the best solution.
0–10 Self-Efficacy Scale
Align proactiveness with
organizational goals.
0–10 Self-Efficacy Scale
Establish the outcome of
desired improvement.
0–10 Self-Efficacy Scale
Seek feedback and career
growth opportunities.
0–10 Self-Efficacy Scale
Utilize the SMART method. 0–10 Self-Efficacy Scale
Employ verbal, listening,
writing, and social skills.
0–10 Self-Efficacy Scale
Enable targeted direction and
objectives of performance.
0–10 Self-Efficacy Scale
Take prudent risk to elevate
business operations.
0–10 Self-Efficacy Scale
148
Table A6
Question 6
Question 6 Rank the 10 Succession Competencies according to your
values.
1 (least important) to 10 (most important).
Value:
Employees need to value the
Succession Competencies.
Conflict Resolution 1–10 participant ranking
Efficiency Oriented 1–10 participant ranking
Decision Making 1–10 participant ranking
Initiative 1–10 participant ranking
Teamwork 1–10 participant ranking
Work Commitment 1–10 participant ranking
Goal Setting 1–10 participant ranking
Communication 1–10 participant ranking
Results Oriented 1–10 participant ranking
Empowerment 1–10 participant ranking
149
Table A7
Question 7
Question 7 Success in achieving these 10 competencies is within my
control.
Select the best answer.
Attribution:
Employees need to feel their
success in achieving the
Succession Competencies is
in their control.
Conflict Resolution
Efficiency Oriented
Decision Making
Initiative
Teamwork
Work Commitment
Goal Setting
Communication
Results Oriented
Empowerment
(Each has its own scale)
Strongly Disagree
Disagree
Agree
Strongly Agree
Table A8
Question 8
Question 8 I am excited to pursue further development in each of these
competencies.
Select the best answer.
Emotions:
Employees must want to
pursue the Succession
Competencies.
Conflict Resolution
Efficiency Oriented
Decision Making
Initiative
Teamwork
Work Commitment
Goal Setting
Communication
Results Oriented
Empowerment
(Each has its own scale)
Strongly Disagree
Disagree
Agree
Strongly Agree
150
Organization
Table A9
Question 9
Question 9 The organization has a culture that supports
personal growth.
Select the best answer.
Cultural Model
Culture Supportive of Personal Growth
Strongly Disagree
Disagree
Agree
Strongly Agree
Table A10
Question 10
Question 10 The organization provides professional
development for the succession competencies.
Select the best answer.
Cultural Setting
Professional Development
Strongly Disagree
Disagree
Agree
Strongly Agree
151
Appendix B: Interview Protocol
Time in: __________________ Time out: __________________
Introduction
Thank you for meeting with me today. I am conducting this interview as part of my dissertation
research with my doctoral program at University of Southern California. I am seeking your insight
and experiences to better understand the knowledge, motivation, and organizational needs of
employees (as potential executive candidates) to help them engage in self-improvement activities
of competencies necessary to succeed other leaders. I anticipate taking no more than 30 minutes
of your time, and I only have 10 questions for your consideration.
Your participation is completely voluntary. We can skip any question you want at any time, and
you may stop the interview at any time. No identifiable information will be obtained or saved in
connection with this study.
If you are comfortable with it, I would like to record our conversation and the recording will be
destroyed after it is transcribed. Are you comfortable if I record the conversation?
Knowledge
Question 1 (Factual): Employees need to know the meaning of the Succession Competencies.
Here is a list of the Succession Competencies. Can you tell me what three of them mean?
Question 2 (Conceptual): Employees need to know the benefits of the Succession Competencies
to the success of the organization.
Tell me some of the benefits of the Succession Competencies.
Question 3 (Procedural): Employees need to know how to implement the strategies for the
Succession Competencies.
What are some of the strategies in achieving the Succession Competencies?
Question 4 (Metacognitive): Employees know how to monitor their progress toward achieving
the Succession Competencies.
How do you monitor your progress towards achieving these Succession Competencies?
Motivation
Question 5 (Self-Efficacy): Employees need confidence in their ability to perform the
Succession Competencies.
How confident do you feel in your ability to perform the 10 Succession Competencies
right now?
152
Question 6 (Value): Employees need to value the Succession Competencies.
Tell me how you would rank the 10 Succession Competencies.
Question 7 (Attribution): Employees need to feel their success in achieving the Succession
Competencies is in their control.
How do you feel you control your success in achieving these competencies?
Question 8 (Emotions): Employees must want to pursue the Succession Competencies.
Are you excited to pursue each of these competencies? Why/Why Not: Please explain
what led you to that decision.
Organization
Question 9 (Cultural Model): Culture Supportive of Personal Growth
Tell me about the culture of personal growth in this organization.
Question 10 (Cultural Setting): Professional Development
Please explain the organization’s approach to professional development.
153
Appendix C: Document Analysis Protocol
Area Goal / Purpose Findings / Notes
Knowledge - Factual
Employees need to know the
meaning of the Succession
Competencies
Review artifacts or for evidence of
knowledge of facts, information,
and terminology.
Knowledge - Conceptual
Employees need to know the
benefits of the Succession
Competencies to the success of
the organization.
Review artifacts or behaviors for
examples of knowledge of key
conceptual information.
Knowledge - Procedural
Employees need to know how to
implement the strategies for the
Succession Competencies.
Review artifacts for evidence of
the necessary methods,
techniques or steps being
disseminated to employees.
Knowledge - Metacognitive
Employees know how to monitor
their progress toward achieving
the Succession Competencies.
Observe artifacts for evidence and
examples of employee’s
metacognitive knowledge.
Motivation - Self-Efficacy
Employees need confidence in
their ability to perform the
Succession Competencies.
Observe artifacts or documents for
evidence of the role of self-
efficacy.
Motivation - Value
Employees need to value the
Succession Competencies.
Observe artifacts or documents for
evidence of the role of value.
Motivation - Attribution
Employees need to feel their
success in achieving the
Succession Competencies is in
their control.
Observe artifacts or documents for
evidence of the role of
attribution.
Motivation - Emotions
Employees must want to pursue
the Succession Competencies.
Observe artifacts or documents for
evidence of emotional support.
154
Area Goal / Purpose Findings / Notes
Organization
Cultural Model
Culture Supportive of Personal
Growth
Gather/review documents from the
organizational leadership to see if
personal growth is discussed and
promoted throughout the
organization.
Organization
Cultural Setting
Professional Development
Gather/review documents from the
human resources and training
department to determine if the
organization provides
professional development.
155
Appendix D: Sample Survey Items Measuring Kirkpatrick Levels 1 and 2
1. This program consistently held my interest. (Level 1 Engagement)
Strongly Disagree, Disagree, Agree, Strongly Agree
2. I was constantly learning and growing in this program. (Level 1 Engagement)
Strongly Disagree, Disagree, Agree, Strongly Agree
3. The competencies that were the focus of this program will have relevance in my life
beyond this program. (Level 1 Relevance)
Strongly Disagree, Disagree, Agree, Strongly Agree
4. I enjoyed the succession competency-based approach to employee development.
(Level 1 Customer Satisfaction)
Strongly Disagree, Disagree, Agree, Strongly Agree
Questions 5–9. Use the four-point scale articulated below to respond to the prompts. Each
question asks you to consider the way you would have responded before participating in this
program compared to how you respond now, at the conclusion of the program.
1 2 3 4
strongly
disagree
disagree agree
strongly
agree
Before this program:
1 2 3 4
5. I am committed to applying
the skills I developed in this
program to future leadership
opportunities. (Level 2
Commitment)
After this program:
1 2 3 4
Before this program:
1 2 3 4
6. I can summarize the
necessary skills to engage in
the succession competencies.
(Level 2 Declarative
Knowledge)
After this program:
1 2 3 4
156
Before this program:
1 2 3 4
7. I can execute the steps of
workplace employee
development according to the
succession competencies.
(Level 2 Procedural
Knowledge)
After this program:
1 2 3 4
Before this program:
1 2 3 4
8. I feel confident that I can
set specific, targeted goals
for my growth aligned to
the succession
competencies.
(Level 2 Confidence)
After this program:
1 2 3 4
Before this program:
1 2 3 4
9. I feel confident that I
can master the succession
competencies in my daily
duties at my workplace.
(Level 2 Confidence)
After this program:
1 2 3 4
Before this program:
1 2 3 4 5
10. I see the value in the
succession competency-based
model of employee
development.
(Level 2 Attitude)
After this program:
1 2 3 4 5
157
Appendix E: Sample Survey Items Measuring Kirkpatrick Level 3 Drivers
Level 3 drivers should be assessed at the program’s midpoint, as monitoring the drivers at the
midpoint could help employees to adjust their personal and professional goals. Sample Level 3
rating items for an employee survey are shown below.
1. I have received adequate training on the required skills of the succession competencies.
(Level 3 Required Driver — Reinforcing)
Strongly Disagree, Disagree, Agree, Strongly Agree
2. I have opportunities for repeated practice connecting the succession competencies to
organizational goals. (Level 3 Required Driver – Reinforcing)
Strongly Disagree, Disagree, Agree, Strongly Agree
3. I have frequent, detailed supervisory feedback that is well aligned to the succession
competencies and organizational goals. (Level 3 Required Driver – Encouraging)
Strongly Disagree, Disagree, Agree, Strongly Agree
4. I am encouraged that I am capable of long-term success. (Level 3 Required Driver —
Encouraging)
Strongly Disagree, Disagree, Agree, Strongly Agree
5. I feel recognized when successfully modeling succession competencies
(Level 3 Required Driver — Rewarding)
Strongly Disagree, Disagree, Agree, Strongly Agree
6. My leadership highlights my actions and values that align to the succession
competencies and organizational goals. (Level 3 Required Driver — Rewarding)
Strongly Disagree, Disagree, Agree, Strongly Agree
158
Appendix F: Sample Blended Evaluation Items Measuring All Levels of Kirkpatrick
SAMPLE BLENDED EVALUATION ITEMS MEASURING KIRKPATRICK
LEVELS 1, 2, 3, AND 4
It is recommended to revisit Level 1 relevance and satisfaction and Level 2 knowledge and
skills in a delayed survey to employees that completed the potential executive candidate
program. In addition, Level 3 critical behaviors and Level 4 indicators and results should also
be assessed in this measure administered at least 4 months after completion of the potential
executive candidate program. Sample items are shown below.
Open-Ended Questions for Revisiting Level 1 and Level 2
1. What lessons or competencies from the potential executive candidate course continue to
feel relevant to you now? (Level 1 Relevance)
2. Knowing what you know now, what would you change about the succession
competency-based employee development program? (Level 1 Customer Satisfaction)
3. Scenario Question: You are asked to create a job aid in checklist form that details how
to connect your individual goals to the organizational goals. Explain the steps you would take
to design the checklist. Discuss what hurdles you could anticipate during interactions with
other employees and the strategies you would use to overcome them. (Level 2 Procedural
Knowledge)
Four-Point Scale Questions for Evaluating Level 3 Critical Behaviors
For questions 4–7 below, identify the degree to which you have continued to practice the
behaviors that were cultivated in your succession competency-based employee development
program. (Level 3 Critical Behaviors)
1 — Little or no application
2 — Mild degree of application
3 — Strong degree of application
4 — Very strong degree of application
4. I cultivate skill sets and mindsets based on the
succession competencies.
1 2 3 4
159
5. I set organizational goals that are aligned to growth from my
skills in the succession competencies.
1 2 3 4
6. I set personal goals that are aligned to growth from my skills
in the succession competencies.
1 2 3 4
7. I develop my values further through ongoing use of
organizational job aids.
1 2 3 4
Level 4 Indicators and Results Sample Metrics
8. I have noticed the following continued positive outcomes from my participation in the
executive candidate program. Check all that apply.
❏ I have more self-confidence in myself and my future as a potential executive.
❏ I contribute more to group processes.
❏ I have strategies for improving my understanding when I am stuck.
❏ I can identify the relevance of succession-based development.
❏ I produce higher quality work with increased understanding of the succession
competencies.
❏ I value feedback from my supervisors and use it to set new goals.
❏ I am better at setting specific, targeted goals for my improvement.
❏ Other positive outcomes, please specify.
❏ None of the above — I do not feel any continued positive outcomes.
9. To what degree do you feel ready to serve at the executive level as a result of this training?
Please explain your answer.
10. As a result of my training, I intentionally strive to exhibit the qualities necessary for
selection to an executive role.
Strongly disagree, disagree, agree, strongly agree
Abstract (if available)
Abstract
This study sought to explore the knowledge-based, motivational, and organizational root causes preventing Xrante from implementing an executive succession plan. Moreover, this study further examined the underdevelopment of workplace competencies for employees as potential executive candidates, as aligned to the ten succession competencies, and their lack of involvement in the design of the executive succession plan. Clark and Estes’ (2008) gap analysis provided the conceptual and methodological framework for this study. Through the use of an explanatory sequential mixed methods design, relationships between knowledge, self-efficacy, value, attribution, and emotion were investigated. Results from surveys, interviews, and document analysis identified six verified needs on the problem of practice in the areas of conceptual, procedural, and metacognitive knowledge, value, and cultural models and settings. The verified needs were utilized in the selection of evidence-based recommendations for solutions and the creation of an integrated implementation and evaluation plan using the New World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016). The suggested executive candidate training program in Chapter 5 informs a potential change initiative towards competency-based employee development that would feed into the organizational executive succession planning for many following years.
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Asset Metadata
Creator
Flak, Robert Michael (Mb.)
(author)
Core Title
Executive succession planning: a study of employee competency development
School
Rossier School of Education
Degree
Doctor of Education
Degree Program
Organizational Change and Leadership (On Line)
Degree Conferral Date
2021-08
Publication Date
07/08/2021
Defense Date
06/10/2021
Tag
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