Nonprofits Making the Difference
2013 Statewide Conference
September 20, 213
Executive Succession and
Deepening Your Bench
By
Tom Adams, President and Co-Founder
Jeanie Duncan, Senior Consultant
TransitionGuides
1
Executive Succession and Deepening Your Bench
September 20, 2013
9:00am - 2:00pm
AGENDA
9:00 AM
Opening & Welcome
9:15 AM
Overview: Sustainability, Succession, and Transition Planning
10:00 AM
Sustainability and Succession Mini-Assessment and Table Discussion
10:30AM
Break
10:45 AM
Getting Started with Sustainability and Succession Planning
11:15 AM
Breakouts on how to get started with succession & sustainability planning
a) Executives of organizations with operating budgets under $1 million
b) Executives of organizations with operating budgets over $1 million
c) Board and other stakeholders
12:00 PM
Lunch
12:45 PM
An Executive’s Experience with Succession and Executive Transition
1:00 PM
Topical Breakout:
a) Executive transition management and succession planning
b) Leader development and talent management
c) The Board’s role in sustainability, succession, and leader development
1:45 PM
Report Outs and Final Questions
1:55 PM
Wrap Up and Evaluation
2:00 PM
Adjourn
3
Executive Succession and Deepening Your
Bench
By
Tom Adams, President and Co-Founder
Jeanie Duncan, Senior Consultant
TransitionGuides
Silver Spring, MD
(301) 439-6635
[email protected]
www.transitionguides.com
About Tom Adams
Tom Adams
 Silver Spring Maryland-based national
consulting company
 Mission-driven focused on making the world
more just, caring and sustainable
 Work exclusively with nonprofit organizations
on leadership sustainability, succession and
t
transition
iti
 President of TransitionGuides since 1997
 Former senior executive of NeighborWorks
America
 Led research projects supported by the W. K.
Kellogg Foundation and the Annie E. Casey
Foundation on nonprofit leadership transition
and succession
 Author of articles, monographs and recent
book The Nonprofit Leadership Transition and
Development Guide: Proven Paths for Leaders
and Organizations
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5
About Jeanie Duncan
J
Jeanie
i D
Duncan
 Greensboro North Carolina–based consulting
and coaching firm.
 President, Raven Consulting Group
 Work with nonprofit organizations on strategy,
board and staff development, sustainability
and succession planning, executive
transitions, and executive coaching.
 Adjunct Faculty, Center for Creative
 Senior Consultant, TransitionGuides
Leadership
 Co-Active Coach, Coaches Training Institute
 20 year career in the nonprofit sector
 Presenter | Author
Agenda

Opening: Welcome and Introductions

Overview: Sustainability, Succession and Transition Planning

Sustainability and Succession Mini Assessment and Discussion

Getting Started with Sustainability and Succession Planning

Breakouts: How to Get Started with Sustainability and Succession Planning

Lunch

An Executive's Experience with Succession and Executive Transition

Topical Breakouts: Executive Transition Management
Management, Leader Development
and Talent Management, Board’s Role

Report Outs and Final Questions

Wrap Up and Evaluation

Adjourn
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6
Sustainability
Planning
Stability, Sustainability and Vitality
Vitality
• Exuberant strength or vigor. Capacity to live, grow
and develop. Powerful.
• Engaged. Aligned. Energized.
Sustainability
• Strong organizational fundamentals in place that
enable the nonprofit to be a high-value asset over
the long term.
• Prerequisite for true vitality.
Stability
• Basic level of health. Firmness. Enough resources
to carry out short- to mid-term activities.
• Prerequisite for sustainability.
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7
Four Core Elements of Organizational
Sustainability
Business
Model &
Strategy
p
Leadership
Resources
Culture
Four Core Elements of Sustainability:
Strategy/Business Model
 Business model: how the organization creates and delivers value,
and finances the value-creation process.
– Has at least 5-7 years of life in front of it.
– Built on quality services. Needed by clients. Valued by donors/funders.
 Business Strategy: a coordinated set of actions aimed at creating
and sustaining a market position in order to carry out your nonprofit’s
mission. (Competitive advantage.)
– Is there a strategy in place? Is it written?
– Does it position the organization to meet future needs and demands?
– Are the board and staff aligned with it and about it?
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8
Four Core Elements of Sustainability:
Leadership




Leadership in place to meet current and future needs
Succession plans for top leadership
The board is a high-value asset to the organization
The board’s work adequately covers the three core roles
of a board:
– Shaping mission and direction
– Ensuring leadership and resources
– Monitoring
M it i and
d improving
i
i performance,
f
including
i l di itits own
 Strong, positive relationship between board and executive
 Attention to diversity plus cultural and intergenerational
competence
Four Core Elements of Sustainability:
Resources – Trends & Outlook
 Sufficient financial resources to meet short to midterm
commitments (6 to 24 months)
 Revenue streams are properly diverse & have longevity
 Favorable trends in revenue, expense & margin; good
ratios
 Proactive resource development strategy in place
 Sound link: business model  strategy  resource plan
 Good stewardship of hard assets
 Growth trends in soft assets
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9
Four Core Elements of Sustainability:
Culture
 Agility – flexible, nimble in face of dynamic environment
 Resiliency – bounces back quickly from setbacks
 Future focused, results-oriented and action-based
 The value and worth of the organization is widely
understood throughout the board, staff and volunteers
– Vi
Virtually
t ll anyone on the
th team
t
could
ld make
k a compelling
lli
case for support
The Sustainability Planning Process
Organize
Assess
Plan
Implement
Review
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10
Sustainability Planning

Involves more than just finances

Is a key responsibility of top leadership; can’t be
delegated

Will be best if involvement is broad-based and
connected to ongoing succession planning
Succession
Planning
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11
Why Plan for Succession?
 Gets us beyond an ugly truth that we avoid:
– All careers end
d in
i a transition,
t
iti
eventually
t ll
– Is just a question of when, how, and how well
the transition is managed
 Helps ensure organizational sustainability
 Helps mitigate risk
 Increases successfully managed transitions
– Increased capacity, resiliency, etc.
Succession Planning Defined
 General Definition: A systematic process for ensuring
eade s p a
availability,
a ab y, continuity
co
u ya
and
d app
appropriate
op a e
leadership
development of an organization’s leadership talent.
Three Types of Succession Planning - Defined
 Leader Development Planning/Talent Management:
An ongoing process of systematically assessing, acquiring,
developing and aligning organizational talent in a way that
builds the organization’s capacity and provides a critical link
between organizational goals and performance.
(AKA “Strategic HR”)
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12
Succession Planning Defined (cont’d)
 Departure-Defined Succession Planning: A proactive
co b a o o
combination
of o
organizational
ga a o a sus
sustainability
a ab y p
planning
a
ga
and
d
capacity building to ensure organizational and executive
readiness for an executive transition. (Typically CEO and
typically 18 months to five years ahead of the transition.)
 Succession Essentials: An Executive Backup Plan and a
Board-Adopted Succession Policy. Provides the tools and
processes to
t ensure leadership
l d hi continuity
ti it ffor allll kkey positions
iti
in the event of unexpected absences as well as planned
transitions.
Leader Development
 A strategic component of talent management
–
–
–
–
–
–
–
Ongoing
O
i investment
i
t
t & positioning
iti i tied
ti d to
t goals
l
Strategizing/planning
Assessing/apprising/aligning
Developing/supporting/retaining/recruiting
Right people, right skills/abilities in leadership roles
Timely moves for organizational & individual development
Opportunity to align team with community diversity
 Benefit: Broadens and sustains leadership capacity
– Builds bench strength
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13
Leader Development Planning
Ongoing investment
and positioning tied to
organizational goals
Role of Leader Development and Talent
Management
Overall
Business
Goals
Leader
Development
& Talent
Management
Organizational
Positioning &
Performance
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14
Leader Development and Talent
Management System
•Strategizing
A
i
•Assessing
•Appraising
•Planning
•Recruiting
S l i
•Selecting
•Onboarding
•Retaining
Assess
Acquire
Organizational
Goals
Organizational
Performance
Align
Develop
•Engaging
Engaging
•Setting Goals
•Managing Performance
•Developing
De eloping Individuals
Indi id als & Teams
•Supporting/Mentoring
•Career Planning
•Planning Succession/Transition
Leader Development Benefits
 Supports sustainability and growth
 Builds bench strength for present
 Develops pipeline for future
 Increases employee engagement and retention
 Attracts new talent
 Creates an aligned,
aligned executing team
 Positions the organization and its people to be
proactive, ready, and agile
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15
Leader Development Tools
 Assessments
 External and internal training
 Mastery experiences
 Mentoring
 Coaching
 Networks
 Reflection
 Action learning
Leader Development Best Practices
1. Connect to overall organization strategy
2. Enlist CEO and board support
pp
3. Design as a process, not an event
4. Orchestrate systemically throughout an organization,
not just at the top level
5. Align with HR practices to support it
6 Approach
6.
A
h with
ith discipline
di i li and
d implement
i l
t consistently
i t tl
7. Measure and evaluate
8. Give it the time it needs
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16
Departure-Defined Succession Planning
 Two tracks:
1)
2)
Executive Preparation
O
Organizational
i ti
lP
Preparation
ti
 Goal: Increase the organization's capacity to deliver its mission
under new leadership, whenever the transition might occur.
 Outcomes:
–
Capacity-building plan strengthens the four critical elements of
organizational sustainability
sustainability.
–
Succession policy outlines the board’s policies & roles for a
chief executive transition.
–
Backup plans (including crosstraining) ensure continuity.
Succession Essentials
 Simplest and most effective place to start if no written
plans are in place
 Includes:
– Backup Plan for CEO
– Board-Adopted Succession Policy
– Ideally,
y, Backup
p Plans for senior managers/other
g
positions
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17
The Backup Plan
 An Agreement
– between an individual and his/her designated backup(s)
 Identifies Key Duties and Key Relationships
– assigns responsibility to designated backup(s)
 Includes a Crosstraining Plan
– outline enables designated backup(s) to step in
The Benefits of Succession Planning

Ensures Continuity

Builds Bench Depth and Internal Capacity

Minimizes Crisis of an Unplanned Absence

Identifies “Organizational Gaps” in Coverage
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18
Combining
Succession
&
Sustainability
Planning
Succession
Planning
Sustainability
Planning
Transition Planning
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19
What is an Executive Transition?
 Executive Transition
– Begins: Executive’s decision to depart (or Board’s decision to
t
terminate)
i t )
– Extends: Through the recruitment and hiring
– Concludes: Completion of the first full budget cycle with new
executive
 Executive Transition Management (ETM)
– A three-phase approach
1) Planning & Preparation
2) Recruitment/Selection & Platform Building
3) Post-Hire Installation & Support
– Holistic management of entire departure-recruitment-onboarding
process
Transition: Coming to Terms with Change
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20
Process Overview:
Executive Transition Management
Preparation
 Ensure the organization is ready to search/hire:
– Organization is stable – financially, politically, emotionally
– Smart,
Smart committed & available chair & committee
– Take the time - understand the current & future leadership needs
 Requires assessment, reflection & planning
– Board is clear about the Four Big Questions driving the search:








Who do you want to hire? What’s the profile?
Why? Why that profile? Link to future direction?
What do you want new executive to do? Priorities?
What do you need to do to get ready?
Clear about
Cl
b th
handling
dli iinternal
t
l candidates
did t
Clear about commitment to diversity
Resist the temptation to hire too quickly
Strive for a good ending with the current executive
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21
Search & Selection
 Clear position profile that’s not a dusted off old job
description
 Smart,
S
t strategic
t t i search
h plan
l to
t market
k t the
th position
iti
 Robust outreach to build the pool
 Diverse finalist pool; to achieve begins with strategic
outreach
 Multi-stage vetting & interviewing process that nets a
deep understanding of candidates
 Engage
E
the
th staff
t ff in
i the
th process, but
b t nott in
i committee
itt
interviews
 Identify & address legacy issues and/or make them
known to finalists - transparency
Post Hire
 Appropriate announcement plan and actions
 Provide a solid orientation for the new executive
– Strive
St i ffor a greatt llaunch
h
 New executive develops 90-100 day entry plan, ideally
before “day one”
 Pay special attention to relationships – handoffs; new
executive builds them early
 Pay attention to the board-executive social contract
–
–
–
–
Agree on 12-18 month priorities
Clarify roles, responsibilities & expectations
Phases and challenges of taking charge
Establish performance monitoring & evaluation process
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22
Resources
Resources
The Next Steps Workshop
Sustainability, Succession, and Transition Planning Nonprofit Founders and
Long-Term Executives

January 27-28, 2014 – Washington, DC

February TBD, 2014 – Los Angeles, CA
–
–
–
–
–
–
Time: 9:00am – 4:00pm, both days
Host: The Meyer Foundation
Audience: Chief Executives
Time: 8:30am – 4:00pm, both days
Host: NeighborWorks Training Institute
Audience: Board Leaders & Chief Executives
 Two-day intensive sustainability/succession/transition planning
 Confidential space for addressing personal and organizational concerns
 More information: www.transitionguides.com/nextsteps
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23
Resources
 Leadership Guide
TransitionGuides’ bimonthly eNewsletter
 See latest issue:
www.transitionguides.com
Resources


Annie E. Casey Foundation Monograph
Series
–
Building Leaderful Organizations
–
Ready to Lead? Next Generation Leaders
Speak Out
–
Capturing the Power of Leadership Change
–
Founder Transitions: Creating Good Endings
and New Beginnings
–
Interim Executives: The Power in the Middle
–
Up Next: Generation Change and Leadership
of Nonprofit Organizations
–
Stepping Up, Staying Engaged (Boards
During Transitions)
Available online at:
– www.TransitionGuides.com/resources/mon
ographs.htm
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24
Resources
 Chief Executive Transitions:
How To Hire And Support A
Nonprofit CEO
– Covers Executive Transition
Management
 Available from BoardSource
Resources
 The Nonprofit Leadership
Guide
– Covers Leadership Transition
and Leadership Development
 Available from Amazon.com
TransitionGuides | www.transitionguides.com | © TransitionGuides, 2013. All rights reserved. Do not duplicate.
25
Questions?
Today’s Presenters
Tom Adams, President & Co-Founder
TransitionGuides, Inc.
(301) 439
439-6635
6635
[email protected]
www.transitionguides.com
Jeanie P. Duncan, Senior Consultant
TransitionGuides,, Inc.
(336) 509-4177
[email protected]
www.transitionguides.com
TransitionGuides | www.transitionguides.com | © TransitionGuides, 2013. All rights reserved. Do not duplicate.
26
Process Charts
27
Sustainability Planning Overview
Preparation Phase
Organize Sustainability
Committee/Task Force
Preplanning with the
Executive and/or Board
Hold Project Launch/
Orientation Meeting
Emergency Backup Planning Phase
Conduct Interviews &
Unpacking the Job
Discussions
Draft Emerg . Backup
Plan and Succession
Policy
Review Draft Plans
and Policy with
Executive
Review Draft Plans
and Policy with
Committee
Finalize Plans and
Succession Policy
Board Approved
Succession Policy
Sustainability Planning Phase
Conduct Organizational
Review
Draft Sustainability Plan
Recommendations
Review Sustainability Plan
Recommendations w/
Executive and Committee
Board Review
Implement Sustainability
Plan Recommendations or
Incorporate Into
Strategic/Business Plan
May Include Recommendations for:
Management & Leadership Training
Board Development
Organizational Restructuring
Role Realignment
© 2011 TransitionGuides. www.transitionguides.com (6-15-11)
29
T
r
ans
i
t
i
onGui
desCEO Sear
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31
Gui
de
s
Phase 1 - Prepare
Phase 2 - Search & Select
Phase 3 - Onboard
Outcome: Committee and processes are organized;
board clarity and alignment about four factors
critical to the successful search and transition.
Outcome: An exceptional executive hired who fits
the current and future leadership needs, selected
from a robust, diverse pool of finalists.
Outcome: Board and executive clarity and alignment
on priorities, roles, expectations and performance
measures.
Organize the Team & Process
Conduct project launch meeting/conference
call with the search/transition committee.
Discuss work plan, timeline, roles and
communications plan.
Recruit
Recruit a strong and diverse candidate pool.
Plan
Gather Information
Review key documents.
Conduct interviews with board and executive
leaders and, if requested, external stakeholders.
Develop a preliminary draft of the position
profile.
Engage the Board
Discuss position profile with the board (or
executive committee or search/transition
committee).
Ensure alignment on four factors critical to the
success of the search/transition:
o Who do you want to hire – what profile?
o Why that profile – what's the rationale?
o What are the 12 to 18 month priorities?
o How should you prepare to work most
effectively with the new executive?
Finalize Profile & Search Plan
Finalize the position profile, one-page
announcement and online copy.
Review with the search/transition committee
and secure signoff. Discuss salary research and
affirm compensation parameters.
Screen
Manage resume receipt and candidate
communications.
Review and screen resumes.
Conduct screening interviews with promising
candidates.
Forward resumes and promising candidates to
the committee for their review.
Facilitate a resume review meeting with the
search/transition committee – identify
interviewees.
Select
Arrange for and facilitate a two-stage interview
process with the search/transition committee.
Arrange for an office/site visit for the
semifinalists including Q&A sessions with
departing or interim executive and senior staff.
Assist with employment negotiations, as
requested.
Arrange for a pre-employment background
check.
Arrange for a finalist interview with the board
of directors and confirmation vote.
Work with the board leadership to plan the
announcement, orientation and onboarding
process for the new executive.
Relate
Facilitate an entry/onboarding conversation(s)
with the board chair and new executive. Affirm
90-day entry plan and 12-18 month priorities.
Evaluate
Provide a guide for first-year evaluation
process: 90-day check-in, a six-month review
and an annual performance review.
Support
Conduct two check-in calls with the new
executive and board chair early in the new
executive’s tenure.
Hire
Confirm employment agreement with finalist.
Advise the other candidates of the completion
of the search.
© 2011, TransitionGuides, Inc.
32
Organizational Sustainability and
Leadership Succession
Mini-Tool Kit
August 2013
33
Introduction and Overview of Organizational Sustainability and Leadership
Succession Mini-Tools
Today, one of the biggest questions facing nonprofits is how to sustain and build upon this amazing legacy. While
it is tempting to take a check the box approach to succession planning, looking more deeply at the key functions
of the position, and what backup you have for those functions, informs not only your emergency plan, but also
your ongoing leader development and actions to “build your leadership bench”. As such, TransitionGuides
authored three guidance documents, published by the National Association for Community Health Centers: the
Organizational Sustainability Planning Guide; the Executive Succession Planning Guide; and the Executive
Transition Management Guide. This mini-kit provides a jump-start that allows each organization to decide where
to best start this important work and get started.
Quick-Study Tool Kit
Tool 1: Organizational Sustainability Mini-Assessment
This tool is a short mini-assessment questionnaire to identify organizational fundamentals that your organization
has in place to assure long-term viability. The action plan includes the top 3-6 priority actions that are agreed to
by the Board and management which, if advanced, will increase long-term organizational sustainability. The
sustainability review and action plan are described in the first of the Guide series: Organizational Sustainability
Planning Guide.
Tool 2: Succession Essentials Mini-Assessment
If you have not done succession essentials planning as an organization, this tool will help you know the options for
getting started. If you have done some of the succession essentials, it provides a guide to where you might want
to go deeper.
Tool 3: Getting started on an emergency back-up plan for your executive director
This is a two-part tool. Part A is a worksheet to collect information to inform your emergency backup plan. The
detailed guide provides a template for an emergency backup plan and a succession policy. Part B is a list of
questions to assist you in using the information to complete the emergency plan.
Tool 4: Planning Internal Succession Questionnaire
This tool is intended to provide executives and board leaders with a framework and set of key questions to guide
the consideration of internal succession as an option when preparing for executive succession.
Tool 5: Planning a Successful Executive Transition Questionnaire
The departure of an effective executive can be challenging for a Board and the organization. “Can we find
someone we can work with as well?” “What will change under new leadership?” For different reasons, the
departure of an under-performing executive is equally challenging. “Can we turn the organization around?” “Can
we attract candidates with the experience we need?” All executive transitions are complex and bring with them
both opportunities and challenges. This tool provides a set of questions to consider before rushing forward with
placing ads and interviewing. A more detailed guide is found in the third and final of the Guide series: Executive
Transition Management Guide.
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 2
34
Exploring Organizational Sustainability: The Sustainability Mini-Assessment
This tool is a short mini-assessment questionnaire, typically completed by your Board, or relevant Board
Committee, and your management team. A facilitator/process leader is appointed (or consultant) to facilitate the
collection of the results and to lead a discussion of “what does this mean for our sustainability action plan?”
Below are some suggested steps for completing – see the Organizational Sustainability Planning Guide for more
details.
1. Leaders complete mini-assessment below.
2. Facilitator leads a review of the mini assessment results with the management team and Board, or Board
committee (typically in two or more separate meetings and then a meeting of the Board Committee and
managers).
These conversations are an opportunity to digest and explore the results of the mini-assessment. Some
questions to consider are:
a. What do the collective results say about nonprofit’s key sustainability issue(s)?
b. Where were the similarities and differences between the board’s collective assessment versus
the senior management team’s assessment? How do those similarities and differences further
inform the sustainability planning process?
c. As we think about our sustainability issue(s), are there places where we need to dig deeper?
Do we need additional information to inform the action planning process?
3. Drill down on your sustainability issue(s), if needed.
Consider whether additional information or research is needed on your key sustainability issue(s). In
some cases, the issue, or issues, is obvious and the action plan is readily apparent. In other cases, your
presenting issue may not really be the core issue, but a pointer to some underlying factors. Sometimes,
the need to drill down does not become obvious until you get into the action planning process. Do not
get paralyzed with analysis, though you will certainly want to drill down to the real issue, or issues. Good
questions to ask are, “why is this so?”; “are there organizational strategy/business model implications?”;
“are there leadership implications?”; “are there resource implications?” and “are there organizational
culture implications?”
4. Develop your action plan & secure commitments.
Now that you have clarified your critical sustainability issue(s), you are ready to develop your action plan.
As you begin your planning process, consider whether your sustainability issue points you to actions in
one or more of the four areas reviewed (business model. strategy, leadership, resources or culture) or
some other area.
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 3
35
Tool 1: Organizational Sustainability Mini-Assessment
Culture
Resources
Leadership
Business Model/Strategy
Please read the following questions and note your response. As it applies to your organization, is this statement
completely true (yes), partially true (part), not at all true (no), or you don't know (DK)?
Our organization has a solid business model (what we do and how we pay for it) that has at
least 5-7 years of life in front of it and is built on quality services/products that are needed by Yes
clients and valued by donors/funders.
Part
No
DK
Our strategic or long-range plan (or business/organization strategy) is current and relevant to
today's and tomorrow's market conditions. Progress toward the plan is frequently reviewed
Yes
and is the subject of priority-setting discussions.
Part
No
DK
Among the board, executive and management team there’s a high degree of alignment about
Yes
the direction and strategy.
Part
No
DK
We have the staff and board leadership in place who meet our present and near-term future
leadership needs.
Yes
Part
No
DK
We have written succession plans in place for all key employees that include cross training
plans. We have a strategy in place to recruit, develop and deploy new leaders, both staff and
board.
Yes
Part
No
DK
Our chief executive could go on a six-month sabbatical tomorrow and the organization would
Yes
not miss a beat.
Part
No
DK
Our board is a high-value asset to the organization. Processes are in place and followed for
orientation of new board members and we have a pipeline of leaders and a process for board Yes
officer succession.
Part
No
DK
Our organization has sufficient financial resources to meet its commitments in the short to
mid-term.
Yes
Part
No
DK
Our organization’s funding or revenue streams have longevity – the majority are likely to
continue beyond the current year's budget or current grant cycle. We have an appropriate
degree of diversification of revenue streams.
Yes
Part
No
DK
A proactive resource development strategy is in place that is tuned to our organization’s
particular market – the present market as well as future market. There is a clear logical link
between our revenue development strategy and our overall business/organization strategy.
Yes
Part
No
DK
We are good stewards of ALL of the organization’s assets, financial assets as well as “soft and
social capital,” the strengths that underpin the organization’s work, such as community
reputation, human capital, team capital, systems and processes, intellectual property, etc.
Yes
Part
No
DK
Our organization’s culture could be described as resilient, forward-focused, results-oriented
and action-based.
Yes
Part
No
DK
The value and worth of the organization is widely understood throughout the board, staff
and volunteers. Virtually anyone on the team could make a compelling case for supporting
the organization.
Yes
Part
No
DK
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 4
36
Exploring Succession Planning: The Succession Planning Mini-Assessment
There are three types of succession planning most common among nonprofit organizations. They include: 1)
Succession Essentials; 2) Departure-/Arrival-Defined Succession Planning; and 3) Leader Development and Talent
Management. This tool is intended to assist the Board and staff in determining their progress in completing the
Succession Essentials and better defining next actions to complete or update the essentials – an emergency
backup plan for the executive director/CEO and other key managers or staff, as well as a Board-adopted
succession policy.
Typically work on the emergency backup plans for the executive director and managers/key staff and
development of a Board-adopted succession policy are simplest and most productive place to start. There is a
hard to refute case for emergency preparedness. Besides preparing the organization for unplanned absences of
key leaders, it also introduces and advances more attention to leader development and talent management
through “unpacking the jobs” and development of cross training plans. This mini-assessment may be completed
by the executive director and Human Resources Director, or the whole management team, and may also include
Board involvement. Once completed, it provides a guide to what is in place and what next actions are needed to
complete your Succession Essentials. (See Tool Three for Getting Started on Emergency Backup Plan and the
Executive Succession Planning Guide for more information.)
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 5
37
Tool 2: Succession Essentials Mini-Assessment
Please read the following questions and note your response. As it applies to your organization, is this statement
completely true (yes), partially true (part) not true at all (no) or you don’t know (DK)?
Emergency Backup Plan for Executive Director/CEO
Our organization has a written emergency backup plan for the chief executive.
This plan includes a designated first and second backup to stand in for the chief
executive in case of an unplanned absence.
There is a cross training plan to prepare the first and second backups for
assuming the chief executive’s key duties.
There is a communication plan which describes who needs to know when and by
whom in case of unplanned absence of the chief executive.
Emergency Backup for Senior Managers/Key Managers or Staff
Our organization has a written emergency backup plan for senior managers/key
staff.
This plan includes a designated first and second backup to stand in for the senior
manager/key staff person in case of an unplanned absence.
There is a cross training plan to prepare the first and second backups for
assuming the senior manager/staff person’s key duties.
There is a communication plan which describes who needs to know when and by
whom in case of unplanned absence of the senior manager/key staff person.
Succession Policy
Our organization has a written succession policy to guide how the Board will fill
the opening in a planned chief executive transition.
This policy states how the Transition and Search Committee is comprised and the
role of the Committee.
This policy addresses how we will handle internal candidates and what kind of
search we will do to find candidates.
This policy states our commitment to diversity and inclusiveness in our recruiting
and hiring.
Other Helpful Actions
Our organization regularly reviews and updates position descriptions.
Our organization routinely reviews bench strength against key competencies and
functions.
Our organization unpacks jobs to make sure they have not become undoable by
anyone other than current person in the position.
Our organization has a comprehensive list of all passwords, bank accounts, IT
information in one place with more than one person familiar with details.
Our organization routinely reviews our emergency backup plans and succession
policy.
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 6
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
Yes
Part
No
DK
38
Getting Started on Emergency Backup Planning
This tool is intended to assist the Executive Director in preparing to develop a draft Emergency Backup Plan using
the template found in the Appendix of the Executive Succession Planning Guide. Once the information on the
following pages is completed, it is used both to develop the Emergency Backup Plan and to advance cross training
and leader development.
Tool 3, Part A: Emergency Backup Succession Plan Worksheet
President/CEO
First Backup: (Insert Name)
Second Backup: (Insert Name)
STAFFING STRATEGIES
Key functions.
1. Strategic Leadership & Planning
Short term staffing strategies.
Long term staffing strategies.
(Define short-term: Under 3 months)
(Define long-term: Over 3 months)
Insert name of backup
(Sustaining and advancing mission,
vision, values & culture)
Same as Short-Term?
If different, please explain
2. Policy Advocacy & Spokesperson
3. Funding Strategy & Relationship
Development
4. External Relationships &
Community Building
5. Management – People &
Finances
6. Board Relations & Board
Building
COMMUNICATION PLAN
Most important to communicate
temporary change of leadership.
Accountable for communication.
Timeline for communication.
Insert Name of person responsible
Board Chair, Board & Management
Team
Immediate (ASAP upon notification)
Charter Board
12 – 24 Hours
Staff
24 – 48 Hours
Community Partners
2 Days – 1 Week
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 7
39
CROSSTRAINING PLAN
Remaining cross-training areas
Staff to be cross-trained in areas
INITIAL
TRAINING/
TRAINEE
SUPPORT TRAINING/
TRAINER
(Note: Change to fit your needs)
(Insert name) Management Team
1. Understanding Financial
Structure and Reading
Documents
Plan and/or timeline for training.
Meeting with internal & external
trainers
Management Team
2. Understanding External
Relations, Advocacy Strategies &
Community Building
Management Team
Meeting with internal & external
trainers
Monthly Executive Team Meetings
3. Big Picture Strategy & Relations
 Program Implementation
 Funding and Funders
 Financial Structures, Reports
& Documents
 External Relations
BUSINESS AS USUAL
Underlying Assumptions” to remain “Business As Usual”
(Examples – change to meet your needs)
1. The Acting President/CEO and Executive Team have the authority to lead and manage the organization.
2. The organization will operate under the current strategic plan.
3. The Acting President/CEO may hire and terminate managers and staff based on the approved staffing plan for
the year.
4. External relations and policy work essential to the day-to-day operations will be maintained.
5. The Board Committees under the Committee Chairs will continue meeting and carry out their work plan(s).
6. The Acting President/CEO shall render proper attention to all reports, compliance and standards obligations.
CRITICAL RELATIONSHIPS
Critical relationships to be
maintained
Staff accountable for
maintaining critical
relationships
Critical relationships contact
information
Insert names
If too many, develop Key Relationships Attachment
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 8
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Tool 3, Part B: Worksheet: Getting Started on Emergency Backup Planning
After completing the worksheet on the preceding pages, use these questions to reflect on what is in place for
emergency backup planning and what additional work is needed.
1. For which positions, in addition to executive director/CEO, are emergency backup plans needed? List the
positions here and consider asking those leaders to complete the worksheets on the preceding pages (after
the executive director plan is completed). Other senior managers, other key staff?
2. How up to date and accurate is each job description? What changes, if any, are needed to describe the job
today and going forward?
3. What are the 5-8 most important functions of CEO? (see worksheet on preceding pages)
4. What backup is there for these functions? (see worksheet on preceding pages)
5. Who are the first and second backups?
6. What cross training is needed?
7. What key relationships need to be handed off?
8. What is the communications plan for informing stakeholders?
9. Who keeps the critical inventory of passwords, computer codes, etc.?
10. What else is important to your planning?
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 9
41
Considering Internal Executive Succession: Some Important Questions
Nearly half of current nonprofit CEOs were internal to the organization before their appointment – either a staff
or board member. Nearly a third of executives leave involuntarily (Daring to Lead (2010)). Clearly, a lot is at risk
when an internal candidate is selected as the executive. Simply put, a lot of nonprofit executives come from
within; some succeed and some don’t. The purpose of this mini-tool is to offer a framework and set of key
questions for boards considering hiring an executive from within the organization.
Here are examples of possible scenarios – a typology of sorts for internal succession – for your consideration:
1) The Executive Surprise – occurs when a CEO grooms an internal manager to be the next executive
without informing the Board. The executive simultaneously announces his departure and recommends his
successor. This is messy for the Board and often does not end well for the departing executive or the
organization.
2) The Executive-Board Collaborative Plan – occurs when the executive and the Board utilize ongoing
attention to succession planning and leader development to reach consensus on an internal successor.
This can be awkward for the potential candidate(s) and requires a thoughtful process and has high odds of
success when done well.
3) The Board Punt – occurs when the Board abdicates its duty of executive selection by selecting a staff or
Board member with insufficient attention to what is expected of the new executive and whether the
selected successor has the full set of skills and attributes required for success. By definition, this approach
has high risk for failure.
4) The Compromise – occurs when either an internal successor is recommended by the executive or applies
and the Board is divided about whether to appoint the internal candidate without a search or to use a
search to consider other candidates. Best practice with some rare exceptions is to compare the potential
internal successor to external candidates. This gives Board more confidence and further empowers the
new executive. Sometimes Boards choose to do a very limited search to quickly and without much
expense produce a few candidates to compare to the internal candidate. This “partial search” is hard to
do well.
5) Interim to Permanent – occurs when a short-term interim executive is selected as permanent executive.
Sometimes Boards try out an internal candidate as interim executive for purpose of determining if a good
fit. Other times a person who starts out as interim with no intention to apply has a change of heart and
seeks the position or is asked to consider applying. This is usually high risk for the interim and the
organization with an occasional exception.
There are potential challenges with leadership transitions that involve internal successors, some of which include:
1. The problem of who chooses. We see some situations where executives want to handpick or appoint
their successor. This is a fairly common practice in the corporate sector where boards are dominated by
executives, but a potentially dangerous practice for nonprofits whose boards are almost always largely
external and independent.
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 10
42
2. The problem of pain avoidance. Clearly some boards will gravitate to the internal successor “solution”
because it's viewed as an easy way to avoid the work and pain involved in full search – a shortcut
bypassing having to think about the leadership challenges ahead.
3. The problem of rigor. Internal succession can involve situations where there's less rigor than might be
applied to an external hire. These include situations where there may be less of a critical examination of
the internal executive, an overreliance on the recommendation of the CEO, a lack of discernment about
the link between their executive skill set and attributes needed to move the organization forward, or even
a lack of examination of future direction and how that should influence the hiring decision.
4. The problem of misdirected criteria. Often, even the best boards don’t have a deep enough
understanding of the CEO role to make a good choice without some solid exploration of the role and
develop good criteria. Sometimes boards conflate familiarity with experience, or allow familiarity to trump
experience, believing that familiarity will lead to a better fit.
As the challenges and typology above indicate, there are loads of risks in considering internal succession. Among
the most common are:
Breakdown in communication between departing executive and Board before or during the succession
planning and transition.
Lack of investment on the part of the board in the new executive.
Hiring on hope and “good feeling” a talented person for whom the requirements for success for this
executive position are too big a stretch or there is insufficient support to make success possible.
The selection process is flawed and the Board and/or staff become divided around the selection decision.
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 11
43
Tool 4: Considering Internal Succession Questionnaires
Here are some questions for consideration:
1) If you are considering an internal successor, are any of the four challenges or “problems” above looming
or risks for your transition?
2) As you look at the typology of what sometimes occurs in internal succession considerations
a. What type or scenario currently describes your situation?
b. What type or scenario do you think is ideal for your organization?
c. What opportunities come with possible internal succession?
d. What risks come with possible internal succession? What are actions to help reduce those risks?
3) Is there agreement between executive and Board about the potential for internal succession and the
process that will guide leader development and consideration of internal candidates?
4) Are the Board and staff aligned around strategic direction and what will be required for the new executive
to succeed? Is there a position profile to guide selection?
5) Does the process respect and treat fairly all internal candidates from Board and staff?
6) Is there a clear policy that avoids conflicts of interest for Board candidates and ensures confidentiality for
all candidates?
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 12
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Reflection Questions for Executive Director/CEO
1) What is your understanding of your responsibility for “grooming” a successor? Is it “find and recommend
one candidate” (usually not recommended) or “support development of your executive team”, one or
more of whom may have the potential to be your successor?
2) How often do you and the Executive Committee have a conversation about the management team of the
organization and your progress in building the team and adding bench strength?
3) What are your key functions and duties as executive? When you depart, is it likely the position will require
the same or different skills and competencies?
4) If you are in discussion with the Board about possible internal successors, what a assumptions about:
a. Position requirement for next executive and how they might change?
b. When transition might occur?
c. What are strengths and challenges or growth areas for any possible internal candidates?
d. Your succession policy and whether there is always an external search?
e. Your role, if any, in selecting your successor?
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 13
45
Planning a Successful Executive Transition: Some Important Considerations
Executive transitions are exciting times of change full of new opportunity. They also bring risks and challenges
which require effective leadership and attention to more than searching and finding the next executive. As
important as the search is, experience shows repeatedly that without attention to the key transition issues and
the emotional work of good ending and good beginning, the best search may not work. This tool offers a set of
steps and questions to consider at each step along the process. Attention to these steps and questions increases
the odds of a successful transition. For more details, see the Executive Transition Management Guide.
Tool 5: Executive Transition Process Questionnaire
Process
Questions to Consider
1. Organize the transition / search committee
1. Does the committee reflect the past, present
and future leadership of the organization and
its diversity?
2. Does the committee charge include both
oversight of transition issues and search? If
not, what is the charge?
3. How is the board involved and when is the
executive selection?
4. Will you engage a consultant or search firm?
2. Announce the departure
1. Do the executive and board agree on exit
message and who delivers it?
2. Is there a communication plan to avoid
surprises or important stakeholders not
knowing?
3. How will staff be involved in the process and
who is communicating with the staff?
3. Understand the transition
1. What is precipitating this transition?
2. What is organizational health?
3. What are implications for transition and
search?
4. How is input being sought from the board, staff
and stakeholders about the condition and
needs of the organization?
5. Who is collecting that information and
facilitating discussions about the transition and
search with the board and staff?
PREPARE:
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 14
46
4. Clarify who’s in charge
1. Is the current executive in charge until
successor begins?
2. If not, who are you considering to serve as an
interim executive? What skills and
competencies must the interim have to be
successful?
3. If the interim executive is from the staff or
board, is it clear that they are not a candidate
for the position?
5. Engage the board
1. What is the culture of the Board and its
involvement?
2. What is the current state of the boardexecutive relationship?
3. What, if any, change is desired in Board roles,
its way of relating to the executive,
composition, etc.
6. Develop the profile and search plan
1. Is there a written summary of 12-18 month
priorities for the new executive and of the
competencies required for success, which can
be shared with candidates?
2. Is there a search plan that includes proactive
outreach to achieve a diverse and qualified
pool?
7. Identify the transition issues and begin the
handoff plan
1. What are the priority transition issues, based
on the organizational review above?
2. Which issues ought to be addressed before the
new executive starts and which after?
3. Is there a planned handoff report from the
departing executive?
SEARCH AND SELECT:
1. Recruit
1. Is the profile of the desired finalist clear and
agreed to by the Board and management
team?
2. Is there a proactive outreach effort to attract
the candidates with desired attributes?
3. What are the actions necessary to ensure a
diverse and inclusive finalist pool?
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 15
47
2. Screen
1. Is the screening process and criteria clear?
2. Besides a formal interview, what else is
planned with semi-finalists as a two way “get
acquainted” opportunity?
3. Who is doing reference checks? Are the
questions clear?
3. Select
1. Will the Committee recommend one or more
candidates to Board?
2. What is the final decision process?
4. Hire
1. Who will negotiate with the finalist?
2. Is the salary and benefits package clear and
competitive?
3. Is there overlap with the outgoing executive? If
so, how long and for what purpose?
ONBOARD:
1. Plan
1. Is there an orientation and briefing file for new
executive?
2. Is Board engaged in welcome and planning
onboarding?
3. Is there a 90 day work plan for new executive?
2. Relate
1. What actions are taken to introduce the new
executive to key stakeholders?
2. How are the board-executive relationship and
the performance management approach being
addressed?
3. Support
1. What resources are available to the new
executive?
4. Evaluate
1. Is there agreement between the board and the
executive on a 90-day informal review and 6
month evaluation and process?
Organizational Sustainability and Leadership Succession Mini-Tool Kit – Page 16
48
Templates
49
[Organization]
Executive Director/President/Chief Executive Officer
EMERGENCY BACKUP SUCCESSION PLAN
Guideline for the Appointment of an Acting Executive Director
in the Event of an Unplanned Absence of the Incumbent
1. Rationale
The Executive Director position in a nonprofit organization is a central element in the
organization’s success. Therefore, ensuring that the functions of the Executive Director are
well-understood and even shared among the executive team and senior staff is important to
ensure organizational stability and leadership continuity in the event of unplanned and
unexpected change. This kind of risk management is equally helpful in facilitating a smooth
leadership transition when it is predictable and planned.
The purpose of this plan is to ensure the continuous coverage of duties critical to the
ongoing successful operations of [Organization]. The Board of Directors/Trustees is
adopting policies and procedures for the temporary appointment of an Acting Executive
Director in the event of an unplanned and extended absence of the Executive Director. The
Board President/Chair, or Board Vice President/Chair in the absence of the Board
President/Chair, may determine the appropriate time to initiate the implementation of this
plan.
While the Board of Directors/Trustees acknowledges that such an absence is highly
improbable and certainly undesirable, they believe that due diligence in exercising
executive-level management functions requires that it have an emergency backup
succession plan in place. It is expected that this plan will ensure continuity in the
administration of the organizations day-to-day programs and operations, management of
external relationships and supervision of staff and finances.
2. Priority functions of the Executive Director position at [Organization]
The full Executive Director position description is attached. (See Attachment 1)
Of the duties listed in the position description, the following are considered to be examples of
the key functions of the Executive Director, and therefore, have a corresponding temporary
staffing strategy. Functions to be covered by an Acting Executive Director are attached. (See
Attachment 2: Emergency Backup Succession Plan Detail: Executive Director)
The positions assigned in the Temporary Staffing Strategy are based on [Organization]
organizational structure as of July 2008. In the event this plan is implemented and assigned
positions are vacant or no longer available, the Board President/Chair may select other
senior staff to support each of the key Executive Director functions. It is the responsibility of
the Executive Director to ensure that positions have appropriate cross-training to
successfully implement the temporary staffing strategy.
51
3. Business as Usual
This emergency backup succession plan and the staffing structure at [Organization] are
intended to minimize disruption in quality service and maintain business as usual to the
extent possible. In the absence of the Executive Director, unless otherwise determined by
the Board of Directors/Trustees, business as usual includes maintenance of the following
(See Attachment 2):
A.
B.
C.
D.
Delivery of services
Accounting, billing, payroll, purchasing and payables
Fundraising
Liaison with the Board of Directors/Trustees
E. Facilities and information technology oversight
F. Supervision and oversight of management and staff
While this timeline may vary based on circumstances, the suggested steps for
implementation are:




Executive Management Team informs Board President/Chair immediately of
unplanned absence.
The Board President/Chair informs Board of appointment of Patricia Ritter, Assistant
Executive Director to the post of Acting Executive Director.
The Board President/Chair (and potentially other officers) consults with the Acting
Executive Director on circumstances of the absence, organizational situation and
related factors.
After Board President/Chair and Acting Executive Director consult, stakeholders will
be notified following the plan.
4. Emergency Backup Succession Plan Implementation
The Board of Directors/Trustees authorizes the Board President/Chair to implement the
terms of this emergency backup succession plan in the event of a planned or unplanned
temporary, short-term absence of the Executive Director.


It is the responsibility of the Executive Director to inform the Board of
Directors/Trustees of a planned temporary or short-term absence, and to plan
accordingly.
As soon as feasible, following notification of an unplanned temporary or short-term
absence, the Board President/Chair may convene an Executive Committee meeting
to affirm the procedures prescribed in this plan, or to modify them if needed.
5. Emergency Backup plan in event of a temporary, unplanned absence
(SHORT-TERM)
A. Definitions
1. A temporary absence is one in which it is expected that the Executive Director
will return to his/her position once the events precipitating the absence are
resolved.
52
2. An unplanned absence is one that arises unexpectedly, in contrast to a planned
leave, such as a vacation or a sabbatical.
3. A short-term absence is three months or less.
B. Who may appoint the Acting Executive Director?
1. The Board of Directors/Trustees authorizes the Board President/Chair to
implement the terms of this emergency backup succession plan in the event of
the unplanned absence of the Executive Director.
2. In the event of an unplanned absence of the Executive Director, Patricia Ritter,
Assistant Executive Director, may immediately inform the Board
President/Chair of the absence.
3. As soon as is feasible, the Board President/Chair may convene a meeting of
the Executive Management Team to affirm the procedures prescribed in this
plan or to make modifications the team as deems appropriate.
C. First backup for the position of Acting Executive Director
The Board President/Chair may designate [Name], [Title] to the position of Acting
Executive Director. His/her position description may specify that s/he may serve as
the first backup and Acting Executive Director in the absence of the Executive
Director unless otherwise decided by the Board President/Chair. S/he will have an
emergency backup succession plan with designated appointees if s/he becomes
Acting Executive Director or if s/he is otherwise unable to serve his/her own
functions as [Title].
D. Second backup for the position of Executive Director
The Board President/Chair may also consider splitting duties among designated
appointees based on the primary functions to be carried out. (See Emergency
Backup Detail for complete listing).
[Name], [Title], may serve as second backup for the position of Acting Executive
Director. S/he may serve should [Name], [Title], be unable or unwilling to serve as
Acting Executive Director unless otherwise decided by the Board President/Chair.
They will have an emergency backup plan with designated appointees.
E. Cross-training plan for appointees
The Executive Director, in collaboration with the Board President/Chair, may
develop a plan for training the potential appointees in the priority functions of the
Executive Director which are listed in section 2 above. The training plan will be
attached to this document when the plan is completed. The Human Resources
Manager may have the responsibility of handling the logistics of the plan’s
implementation.
F. Authority and restrictions of the appointee
The person appointed as Acting Executive Director may have the same authority
for day-to-day decision making and independent action as the
53
Executive Director except as further defined by the Board President/Chair.
Decisions that may be made in consultation with the Board President/Chair or
other appropriate committee include senior management staff hiring and
terminations, financial issues, taking on a new project, and taking public policy
positions on behalf of the organization.
G. Compensation
The Board President/Chair, in consultation with the Executive Committee, may
consider a salary adjustment for the Acting Executive Director.
H. Board President/Chair responsibility for oversight and support to the Acting Executive
Director
As with the Executive Director, the Board President/Chair and Board of
Directors/Trustees will have the responsibility for monitoring the work of the Acting
Executive Director. The Acting Executive Director may report biweekly in writing to
the Board President/Chair, provide regular updates as agreed to by the Board
President/Chair and meet with the Board President/Chair as agreed. The Board
President/Chair will also be alert to the special support needs of the Acting
Executive Director serving in this temporary leadership role and act to address
them.
I. Communications plan
Within eight (8) hours after an Acting Executive Director is appointed, the Board
President/Chair and the Acting Executive Director may meet to implement an
external communications plan to announce the organization’s temporary
leadership structure including the kind of information that will be shared and with
whom (e.g. major donors, civic leaders, government officials). (See Attachment
2)
Within 24 hours to 48 hours after an Acting Executive Director is appointed, the
Board President/Chair and Acting Executive Director may implement the
communications plan to announce the organization’s temporary leadership
structure to the management team, the Board of Directors/Trustees and the
Advisory Board.
Notifications will take place in sequence on the following timetable:

Within 24 hours, the Board President/Chair will notify the Management
Team.

Within 24 hours, the Assistant Executive Director will notify the staff.

Within 72 hours, the Board President/Chair and the Acting Executive
Director will notify parents via mailed letter.

Within seven days, the Board President/Chair and the Acting Executive
Director will notify other consumers via newsletter.
54

Within seven days, the Director of Operations will notify the closest
vendors, the banks and the auditor.

Within seven days, the Director of Development will notify the closest
donors and foundations.

Within seven days, the Acting Executive Director will notify the local and
state governmental funding agencies and officials and the landlords.
Updated Key Contact information may be maintained in the organization’s
database for easy access on an ongoing basis by a member designated by the
Executive Director.
For a full overview of the communications plan, see Attachment 2: Emergency
Backup Succession Plan Detail: Executive Director
6. Emergency Backup plan in event of a temporary, unplanned absence (LONG-TERM)
A. Definition
1. A temporary absence is one in which it is expected that the Executive
Director will return to his/her position once the events precipitating the
absence are resolved.
2. An unplanned absence is one that arises unexpectedly, in contrast to a
planned leave, such as a vacation or a sabbatical.
3. A long-term absence is one that is expected to last more than 3 months.
B. Procedures
The procedures and conditions to be followed may be the same as for a short-term
absence with one addition: The Board President/Chair will give immediate
consideration, in consultation with the executive management team, to temporarily
back-filling the position left vacant by the Acting Executive Director. This is in
recognition of the fact that, for a term of more than three months, it may not be
reasonable to expect the Acting Executive Director to carry the duties of both
positions. The position description of a temporary director would focus on covering
the priority areas in which the Acting Executive Director needs assistance.
7. Emergency Backup plan in event of a PERMANENT unplanned absence
A. Definition
A permanent absence is one in which it is firmly determined that the Executive
Director will not be returning to the position.
B. Procedures
The procedures and conditions may be the same as for a long-term temporary
absence with one addition: The Board President/Chair may appoint a Transition
55
and Search Committee of no less than five members in accordance with the terms
of [Organization] Succession Policy and follow the procedures set forth in
[Organization] Succession Policy.
8. Approvals and maintenance of record
A. Emergency Backup plan approval
This emergency backup plan will be approved by the full Board of
Directors/Trustees and reviewed annually at a formal Board meeting to make any
needed changes in the standing appointees or backups. The Board
President/Chair may review and amend the plan at other times if a standing
appointee or backup is no longer available to serve in an Acting Executive Director
capacity. The Board President/Chair may reevaluate the plan when new designees
are appointed.
B. Signatories
This plan may be signed by the Board President/Chair, the Executive Director, the
Human Resources Administrator, the standing appointees and the backup
appointees designated in this plan.
C. Maintenance of record
Copies of this plan may be maintained by the Board President/Chair, the Executive
Director, the Human Resources Administrator, the standing appointees and the two
backup appointees designated in this plan.
Approved by [Organization] Board of Directors/Trustees on ____________.
____________________________________
John/Jane Doe, Board President/Chair
___________________________________
Jane/John Doe, Executive Director
Plan has been reviewed and accepted by:
____________________________________
[Name], [Title]
____________________________________
[Name], [Title]
56
Attachment 1
[Organization]
POSITION DESCRIPTION
Position Title:
Supervisor:
Executive Director
Board of Directors/Trustees
Exempt
Overview:
The Executive Director of [Organization] plans, organizes, leads, directs, coordinates and
controls the Centers’ overall operations, adhering to the highest professional standards consistent
with the objectives and policies established by the Board of Directors/Trustees. The Executive
Director may support and implement the philosophy and policies established by the Board of
Directors/Trustees and is accountable and reports to the President of the Board of
Directors/Trustees. As Chief Administrative Officer of the Corporation, has legal authority to
carry out any and all directives of the Board of Directors/Trustees.
Qualifications:
The Executive Director must have, at a minimum, a Master’s degree with a major emphasis in
either a health care profession or in management from an accredited program. Extensive
experience in directing services to individuals, preferably in a non-profit organization, is
required.
The Executive Director must demonstrate leadership, organizational and administrative skills
including leading and directing professionals working collaboratively with budget planning and
control, staff development, fund raising, Board development and public relations.
Responsibilities:
I.
Administrative:
A. Work closely with the President of the Board of Directors/Trustees to insure that Board
policies and programs are established and implemented.
B. Establish annual operating objectives, which fulfill the mission and vision of the
Centers.
C. Lead the Board in developing short and long-range strategic plans which clarify the
direction the Center is taking to fulfill its mission.
57
D. Oversee the preparation of an annual operating budget for Board approval, control
expenditures, insure sources of revenue to meet these expenditures and manage the
overall finances of the organization.
E.
Coordinate inter and intra-department affairs to provide services in the best interest of
the consumer.
F.
Direct the activities of the Management Team in administering the services and
programs operated by the Centers.
G. Oversee the direction, recruitment, employment and motivation of qualified personnel
to assume responsibility for the Centers’ services and terminate those who are not
meeting performance standards. Assure adequate, current personnel policies. Recruit
and hire Management Team members, Development Director, Information Technology
Director and Facilities Manager.
H. Assure that services and facilities meet all applicable program standards required by
government and accrediting agencies.
I.
Develop a fund raising program to meet annual targets for the Center and supervise the
Development Director in implementing this program.
II. Board Relationships:
A. Provide the Board with all pertinent information about the state of operations so that
plans and policies can be implemented.
B. Participate in the consideration of policy options with the Board and sit ex-officio on all
teams.
C. Provide the Board President/Chair and Executive Committee the necessary support
required to carry out the duties of their offices, prepare and consult on meeting agendas
and other materials presented to the Board.
D. Provide support to the Nominating Committee in recruiting new Board members,
interviewing prospective Board members and orienting new members.
E.
Serve as staff liaison to the Consumer Advisory Board (CAB) and assist the Consumer
Advisory Board Chair to achieve the objectives of the CAB.
III. Community:
A. Develop and actively maintain relationships with outside agencies and individuals
relating to the disabled.
B. Assure an active public relations program to secure visibility and support for the
Center.
C. Maintain medical and professional relationships in the community.
D. Testify on County and State legislation affecting the Centers= operations.
________________________________
Signature
Reviewed: 7/87, 9/05, 9/06
______________
Date
Revised: 11/00, 5/01, 12/07
58
Attachment 2
Emergency Backup Succession Plan Detail
Name:
John/Jane Doe, Executive Director
First Backup(s):
Jane/John Doe, Assistant Executive Director
Second Backup(s):
Jane/John Doe, Director of Operations
Short-Term Staffing of Key Functions
Key functions
1. Financial: Signatory on agreements,
contracts, transactions, budget approvals
and legally binding documents
2. Development/Fundraising: Direct the
activities, sign foundation grant proposals,
applications and oversee donor relations
3. Direct Management Team to deliver
services and administer operations
4. Work with the Board of Directors/Trustees
and the Consumer Advisory Board to
ensure policies and plans are implemented
and the strategic direction is followed
5. Facilities maintenance/repair or acquisition
and development of new space, facilities.
Short term staffing strategies
(Under 3 months)
[Name], [Title] (County/State Contracts)
[Name], [Title] (Budget & loan agreements)
[Name], [Title]
[Name], [Title]
[Name], [Title]
[Name], [Title]
Notifications
Who to notify in event of
temporary change of
leadership
Management Team
Person accountable for
notification
Timeline for notification
[Name], [Title]
24-48 Hours
Staff
[Name], [Title]
24-48 Hours
Board of Directors/Trustees &
Consumer Advisory Board
[Name], [Title]
24-48 Hours
Banks, Auditor
[Name], [Title]
Within a week
Local/state government agencies
[Name], [Title]
Within a week
Donors, Foundations
[Name], [Title]
Within a week
59
Local and state government
officials
[Name], [Title]
Within a week
Facilities Vendors
[Name], [Title]
Within a week
Landlords
[Name], [Title]
Within a week
Cross-Training Plan (on Executive Director Role)
Training area
Staff to be Cross-Trained
Trainee
Trainer
[Name(s)]
[Name(s)]
Timeline
Fundraising, donor
relations
[Name(s)]
First 30 days
Management of staff
and services
[Name(s)]
[Name(s)]
First 30 days
Board governance and
management
[Name(s)]
[Name(s)]
First 30 days
Facilities management,
space planning, building
terminology, basic
knowledge of facility
operating systems
[Name(s)]
[Name(s)]
First 30 days
[Name(s)]
First 30 days
Underlying Assumptions to remain “Business As Usual”
1.
2.
3.
4.
5.
Accounting, billing, payroll, purchasing and payables must be maintained.
Delivery of services must be maintained.
Fundraising must be maintained.
Liaison with the Board of Directors/Trustees must be maintained.
Facilities oversight, particularly IT, is critical to maintain.
Critical Relationships
Critical relationships that must
be maintained
See attached
Person accountable for
maintaining the relationship
See attached
Contact information
See attached
60
Annual Calendar
Month
Key Events
Supporting Activities
January
Board Meeting
Develop Agenda, Prepare Reports
February
March
April
May
June
July
August
September
October
November
December
61
[Organization Name]
Executive Director
Succession Policy
Introduction
A change in executive leadership is inevitable for all organizations. It is a time of both risk and
opportunity. It is a period in an organization’s history when the Board President must increase
his/her level of engagement. It is also a time when some may seek assurance of the
organization’s viability and long-term sustainability.
A succession policy for the Executive Director position is a routine risk management and
sustainability planning tool. The Policy ensures organizational sustainability by providing a
proactive, orderly plan for executive leadership transitions.
To that end, the Board of [Organization Name] is adopting this succession policy for purposes
of:
Focusing Board attention on leadership team development through annual
communications between the Executive Director and Board about the depth of staffing
and succession plans for Management Team positions
Establishing principles, role clarity and procedures to support positive leadership
transitions that foster good endings and beginnings with departing and arriving leaders
and build organizational capacity when a planned or unplanned executive leadership
change occurs
The Board President/Chair shall be responsible for implementing this policy and its related
procedures, and for annually reviewing and updating the policy as needed.
In the event of a planned or unplanned leadership transition, the Board shall immediately
appoint a Transition Committee which shall plan and manage the transition, including the search
for a new Executive Director.
Guiding Principles
[Organization Name] is open to and will consider both internal and external candidates
when filling the Executive Director position. A national search will be conducted unless
the board concludes that a current staff member is appropriate and available for the job.
In organizations such as [Organization Name], the Executive Director’s position is often
shaped by the incumbent’s talents and areas of specialized interest. That person’s
departure might necessitate other organizational changes including the creation of new
positions and/or realignment of current positions.
The preeminent goal of a transition to a new Executive Director is maintaining continuity
of [Organization Name]’s mission-related work. A transition also presents an opportunity
for the organization to continue to grow and develop.
..
63
Lines of Authority
1. The selection of the Executive Director is the responsibility of the Board.
2. The current Executive Director has the responsibility to continuously identify, encourage,
and help to develop senior managers within the organization who are qualified to meet
future leadership needs, whether that be on a temporary or permanent basis.
3. The current Executive Director has the responsibility to plan for the orderly transition of
all senior managers.
Emergency Backup Plan
1. Related to the position of Executive Director: To be prepared at all times for a leadership
transition, the organization shall maintain an up-to-date Emergency Backup Plan with
guidelines for the planned or unplanned short-term and long-term absence of the
Executive Director. This plan is approved by the Board and should be reviewed annually.
The plan can also serve as the Transition Plan when there is a vacancy in the Executive
Director position.
2. Related to Management Team Positions: To be prepared at all times for a senior
management transition, the Executive Director shall maintain an up-to-date Emergency
Backup Plan with guidelines for the planned or unplanned short-term and long-term
absence of members of the Management Team. Those plans shall be provided to the
Board President and made available to the Board.
Board Action in the Event of Vacancy in the Executive Director Position
1. Organizational Assessment: The Board or Transition Committee shall take time to
assess the leadership needs of the organization before the search for a new Executive
Director is conducted. The assessment shall include a review and update (if needed) of
the organization’s strategic plan. The assessment will be designed to help assure the
selection of a qualified and capable leader who fits well with the organization’s mission,
vision, values, culture, goals, and objectives, and who has the necessary skills to lead
the organization.
2. Option of appointing an Acting or Interim Executive Director: To assure the
organization’s operations are not interrupted while the Board assesses the leadership
needs and recruits a new Executive Director, the Board may appoint an Acting Executive
Director from among senior executive staff or hire an Interim Executive Director from
outside the organization.
3. Duties of the Acting/Interim Executive Director: Among such duties will be to ensure that
the organization continues to operate without disruption and that all organizational
commitments previously made are appropriately executed, including but not limited to,
speaking engagements, grant and contract obligations, reports, licenses, certifications,
membership renewals, and other obligations to funders and other stakeholders.
4. Simultaneous transitions for the Executive Director and Senior Management Positions:
After appointing an Acting or Interim Executive Director from within, the Board may make
64
2
other temporary senior management appointments from among other senior
management staff, external hires, or whatever combination of those options best
assures continuity in leadership and program success through the transition period and
afterwards.
Preparation Time Frame for Replacement of the Executive Director
1. The optimal period for the Executive Director to announce his/her departure from that
role – or proposed commencement of a new role in the organization – is at least six to
twelve months before the date of departure.
2. The organization’s Board understands that the time required for successfully completing
a planned leadership transition is approximately eight to twelve months.
Role of the Outgoing Executive Director in Planned Transitions
The departing Executive Director, unless otherwise directed by the Transition Committee, will be
involved in some transition activities such as: fundraising, communicating with funders and other
stakeholders, and briefing the incoming Executive Director. The departing Executive Director's
role during the transition and after the new Executive Director starts shall be developed in
consultation with the Board President and/or Transition Committee and communicated to the
Board.
Initial Implementation of the Transition Plan
1. Within fifteen (15) days of the announcement of a planned departure, the Board
President shall appoint a Transition Committee. This Committee shall be comprised of at
least three members of the Board. Other external stakeholders and/or staff may be
recruited to advise or assist the Committee at the discretion of the Board President and
Transition Committee.
2. The Transition Committee shall be responsible for implementing this transition plan and
further developing the plan as needed.
At its first meeting, the Transition Committee shall determine its role, including
responsibilities related to conducting the search process. (The Transition Committee
may recommend that the Board President appoint a separate Search Committee, while
the Transition Committee manages the overall transition process for the organization.)
The Committee shall also discuss and decide on how the senior staff will be
substantively involved in the transition planning process and consulted in the selection
process.
3. The Transition Committee shall also determine the need for consulting assistance (i.e.,
transition management consultant and/or executive search firm) based on the
circumstances.
4. As needed, the Board President shall authorize an organizational assessment and
schedule a Board Retreat to review and refresh the organization’s strategic plan.
65
[Organization Name] Commitment Regarding Diverse Candidates and Staff Leader
Development
1. In order to provide career advancement for staff, the organization shall encourage the
professional development of current employees.
2. In order to support the Board’s due diligence and ensure that the best possible
candidate is hired, the organization shall implement a search and selection process that
is open to internal and external candidates.
3. In order to develop a finalist pool that is reflective of the community, the organization
shall work proactively to develop a diverse pool of candidates for the Executive Director
position.
Adopted by the Board of Directors on the ___ day of ____________, 2008.
________________________________
[First Name] [Last Name], [Title]
66