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This study is anchored primarily on
the theory espoused by William Rothwell in his Succession Planning Model, according
to this theory in carrying out effective succession plan the following steps must
be done: 1) Top Managers should appoint someone to spearhead and coordinate the
succession planning program; 2) Work to clarify the purpose, policy, and
procedures to guide succession planning in the organization; 3) Work in
consultation with others to draft a proposed succession planning policy, procedures
and forms to be used; 4) Review procedures regularly to keep the pace with
organizational and environment change; 5) Leadership or Management Director of
the Agency should check to make sure progress is being made on individual
development plans; and 6) Establish a means to measure the program

This is a proactive attempt to ensure
continuity of leadership by cultivating talent from within the organization
through planned development activities. Further, Rothwell strongly emphasized
that great succession planning focuses on developing strong talent pools in all
key areas – not just for executive positions. To be successful, succession plan
must balance identifying high-potentials with developing existing leaders.

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Further, another theory that will be used
in this study is Caudron’s Six Steps to Succession Planning, according to this
theory successful Succession Plan must 1) Forecast business and leadership
needs; 2) Generate list of competencies; 3) Assess internal talent and identify
gaps; 4) Provide developmental opportunities; 5) Hold people accountable for
their own development, 6) Make succession planning an integral part of business
planning; and 6) Retention of talent developed.


Succession plan is a
component of good Human Resource planning and management. Succession planning
acknowledges that staff will not be with an organization indefinitely and it
provides a plan and process for addressing the changes that will occur when
they leave. Most succession planning focuses on the most senior manager – the
executive director, however, all key positions should be included in the plan.
Key positions can be defined as those positions that are crucial for the
operations of your organization and, because of skill, seniority and/or
experience, will be hard to replace. (, 2013)

Richards (2009) posits that the academic institutions must
formulate strategies for attracting, developing and retaining a leadership pool
that will ensure the institution’s long-term health. Colleges and universities incur a
variety of costs by not being intentional about succession planning. (Keifier, 2008),found out that high
potential employees vying for higher leadership position may easily be pirated
by other high profit organizations because the institution is incapable of
making any type of forward commitment or even giving someone a reasonable
assessment of their chances.

In their study, Evans,
Pucik, and Bjorkman (2011) reported that most succession plans have
historically focused only on high-level position, but in recent years, more
attention has been given to selecting successors for positions throughout the
organization. Knowing who are the key players, are at any level – and what
positions are vital that must be filled in as need arises. Hence, organizations
must 1) Train high-potential employees and provide them with coaching; 2)
Reward managers for developing their employees; 3) Provide more than one way to
succeed in your organization; 4) Allow employees to move laterally – not just
up in the organization – to gain valuable experiences.

Succession planning process according to (Healthfield, 2016) mean recruitment of superior
development of knowledge, skills, and abilities, and preparing employees for
advancement or promotion into ever more
challenging roles in the organization. Actively
pursuing succession planning ensures that employees are constantly developed to
fill each needed role in the organization.

On a more strategic level, succession
planning according to (Services, 2012) will help organization remain
successful even after the loss of a key worker. Some of the other benefits
include: 1) having right people in the right place at the right time,
developing a qualified pool of candidates who are ready to fill key positions,
2) helping employees realize their career plans and aspirations, improving
employee’s ability to respond to changes in the workplace, and creating more
opportunities for the timely transfer of knowledge at the corporate level.

Whenever size and
resources permit, a succession plan should involve nurturing and developing
employees from within an
organization. Employees who are perceived to have the skills, knowledge,
qualities, experience and the desire can be groomed to move up to fill
specific, key positions. Organizations should: 1) Assess their current and
future needs based on either their strategic plan, goals and objectives, or
priority programs and projects 2) Match these to the capabilities of the
existing workforce, 3) Develop a plan to manage the gaps that will arise when
individuals in key            positions
leave or are promoted.

            Rothwell and Kanasas (1999) states that top
managers should appoint someone to spearhead and coordinate the succession
planning program: Leadership and Management Director, or HR director are good
choices. These persons must be “tactful and discrete”, so the program will not
lose credibility.            As
cited by (Staff, 2013),a
study some years ago from consulting firm Booz Allen Hamilton concluded that
“over their entire tenures, CEOs appointed from the inside tend to outperform
outsiders” when it comes to returns to shareholders. Yet many organizations
struggle to take their succession planning programs beyond a static list of
names slotted for a few top spots.

Jarbou (2013)
mentioned that succession planning is not just about recognizing the talent
gaps that exist in an organization today but identifying future talent needs
and creating solutions to address those needs (Leonard, 2010, p. 4). The chief
objectives of succession process are to align today’s talents with the
leadership positions that will be required in the future and to overcome
strategic and operational challenges with the “right” people at
different points in time. Guaranteeing that the culture and memory of the
organization will be maintained is another priority (Comini and Fischer, 2009,
p. 9).

It is therefore certain to say that
succession planning is a very important scheme to achieve continuity, increase
competitiveness and ensure attainment of strategic goals of all sorts of
organization including academic institutions.

Literature reviews confirm
that succession planning and development is rarely practiced not only among
HEIs in the Philippines but also among our neighboring countries in Asia. In
Malaysia for example, (Abdulla, 2009) cited that Clunies believes that higher
education institutions has historically been slow to adopt many corporate
management processes such as succession planning. He further discussed a
reasonable doubt for the readiness of the institution to employ succession
planning or any executive development program because of dramatic cultural
differences between the boardroom and the campus. As cited by (Abdulla, 2009),Rosse& Levine
(2003) support this argument by stating the complex and bureaucratic procedures
for hiring among HEIs compared with many profit organizations or business

This findings is supported by another study
of (Heuer J. , 2010) stating that succession
planning in higher education conducted in the University of Pennsylvania in
2003, found that among the elite, so-called “Ivy-plus” institutions, none had
implemented a formal succession plan. However, most of these institutions had
programs that could be integrated into a succession plan (e.g., assessment and
training protocols).

Succession planning among
HEIs may not be common due to the belief that it is applicable only among
profit organizations which have managerial positions. However, the idea that
succession planning is applicable only among managerial positions is refuted by(Rothwell, 2005), he stressed the
importance of succession planning as an effort for individual development that
should include any job category, he seems to believe that in any case of staff
shortage, it would bring to a disaster or chaos to the performance of the
organization for that particular time.

As cited by (Malhotra, 2010), board members should be closely
involved in evaluating highest ranking managers, a pool of candidates should be
developed for a key leadership position and promote insiders with an outside
perspective. By doing this people from within the organization offers the
advantage of more hope to insiders.

Hall (2006) supports this idea as he recommends
enhancing personal learning for executives and
for better integrating this learning with the strategic succession planning of
the organization. (Hall, 2006) This sort of strategic approach to executive
succession is seen as the “acid test” in a firm’s strategic planning process.
Further, employees according to (Farashah, Nasehifa, & Karahrudi, 2011)  are also in support of practice of Succession
Planning. In a survey conducted by Bernthal and Wellins (2001), it was found
that  two–third  of 
employees  prefer to grow inside
their present organization than leave. 
The  study  also 
revealed  that  the 
ultimate  reason that made
employees leave an  organization is  that they are 
not  being  developed 
and/or  they 
do  not  have meaningful work. (Kim, 2003)
supports this study stating that employees
are key factors in determining training, self-improvement and career
development needs as they affect succession planning. Thus, a primary function
of a personnel office should be to provide employee assessments that also serve
as sources of data for future workforce projections. Therefore, this is evident that
effective succession planning improves the
organization’s chances of retaining key personnel.

As cited by (Mehrabani & Mohamad, 2011), Conger and Fulmer (2003) supports the
contention of this study. They argued that the effectiveness of a succession
management system is strongly dependent on its respond to the needs of users.
In addition, it depends on the easiness of its tools and processes for using
and providing the reliable and up-to-date information. Hence, assessment of
Human Resource Information System must be conducted inorder to properly
evaluate the current succession plan of the University. Further, (Hirsh, 2000) stressed that
organizations like the Civil Service and ICI ran computer stimulations of how
chains of jobs could be filled when a senior person left. This depicts the need
for Human Resource Information System in establishing an effective succession

Many of
today’s leading international high profit companies have also long been
practicing succession planning, General Electric (GE) for example moves
individuals identified as future leaders through different positions and
geographic locations to prepare them for eventual leadership.  Xerox managers, are not eligible for
promotion unless they have recruited, trained, and developed their own
replacements.(Caldwell, 2007). 
Nestle has a history of promoting internally,
it had continuously built a strong and deep management bench to ensure that a
capable new CEO is ready whenever necessary, thus many stakeholders believed
that such practice will continue as it has contributed to the sustainability
and competitiveness of Nestle as it reached 150 years of existence. (Koltrowitz, 2016)

Berlin (2011) cited that Apple Inc.
had probably employed a very extensive and comprehensive succession plans,
prior to CEO Steve Jobs untimely death, it has been a public knowledge that Apple has been grooming Tim Cook for several years.
 The latter has already experienced the CEO role, has worked directly with
Jobs on the company’s supply chain – and hence, has a deep understanding of the
internal operations of the company. But
unknown tomany, the company founded Apple University in 2008, the university’s
mission – “toteach Apple employees how to think like Steve Jobs and make
decisions he would make.”  In many ways it was built to solve the
problem of “running Apple after Steve Jobs” – and setting in place
the tools and information which helps Apple learn from his collective 30 years
of wisdom. This is a tangible example that companies spent money and time for
succession planning and development.

Indeed, investing
in a reliable forecast about the future makes it possible to understand the
skills and capabilities a company may need to be sustainable and competitive. Business
organizations therefore, must ensure that qualified employees are always
available and in place to carry out its plethora of job functions to ensure
that discontinuity of job due to lack of knowledge and skills of employees in
case of retirement or resignation of a key personnel will always be avoided, –
this is the heart of succession planning. (Succession Planning and Management Guide, 2008)

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