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Preface

1. Warren Bennis and Burt Nanus, Leaders: The Strategies for Taking

Charge (New York: Harper and Row, 1985), p. 2.

2. Bradley Agle, ‘‘Understanding Research on Values in Business,’’ Business

& Society, September 1999, 326–387. See also Ken Hultman and Bill

Gellerman, Balancing Individual and Organizational Values: Walking the

Tightrope to Success (San Francisco: Pfeiffer, 2002).

3. Charlene Marmer Solomon, ‘‘The Loyalty Factor,’’ Personnel Journal,

September 1992, 52–62.

4. Shari Caudron, ‘‘The Looming Leadership Crisis,’’ Workforce, September

1999, 72–79.

5. Arthur Deegan, Succession Planning: Key to Corporate Excellence

(New York: Wiley-Interscience, 1986), p. 5. [This book, while out of print, is a

classic.]

6. As quoted in Harper W. Moulton and Arthur A. Fickel, Executive Development:

Preparing for the 21st Century (New York: Oxford University Press,

1993), p. 29.

7. E. Zajac, ‘‘CEO Selection, Succession, Compensation and Firm Performance:

A Theoretical Integration and Empirical Analysis,’’ Strategic Management

Journal 11:3 (1990), 228. See also William Rothwell, ‘‘What’s Special

About CEO Succession?’’ Global CEO Magazine [India], March 2004, Special

Issue,15–20.

8. R. Sahl, ‘‘Succession Planning Drives Plant Turnaround,’’ Personnel

Journal 71:9 (1992), 67–70.

9. ‘‘Long-Term Business Success Can Hinge on Succession Planning,’’

Training Directors’ Forum Newsletter 5:4 (1989), 1.

10. Dirk Dreux, ‘‘Succession Planning and Exit Strategies,’’ CPA Journal

69:9 (1999), 30–35; Oliver Esman, ‘‘Succession Planning in Small and Medium-

Sized Companies,’’ HR Horizons 103 (1991), 15–19; Barton C. Francis,

‘‘Family Business Succession Planning,’’ Journal of Accountancy 176:2 (1993),

49–51; John O’Connell, ‘‘Triple-Tax Threat in Succession Planning,’’ National

Underwriter 102:40 (1998), 11, 19; T. Roger Peay and W. Gibb Dyer, Jr.,

‘‘Power Orientations of Entrepreneurs and Succession Planning,’’ Journal of

Small Business Management 27:1 (1989), 47–52; Michael J. Sales, ‘‘Succession

Planning in the Family Business,’’ Small Business Reports 15:2 (1990), 31–40.

Chapter 1

1. Henry Fayol, Administration Industrielle et Generale (Paris: Socie´te´ de

l’Industrie Minerale, 1916).

2. Norman H. Carter, ‘‘Guaranteeing Management’s Future Through Succession

Planning,’’ Journal of Information Systems Management 3:3 (1986),

13–14.

3. See the classic article, Michael Leibman, ‘‘Succession Management: The

Next Generation of Succession Planning,’’ Human Resource Planning 19:3

(1996), 16–29. See also Ram Charan, Stephen Drotter, and James Noel, The

Leadership Pipeline: How to Build the Leadership-Powered Company (San

Francisco: Jossey-Bass, 2001).

4. Richard Hansen and Richard H. Wexler, ‘‘Effective Succession Planning,’’

Employment Relations Today 15:1 (1989), 19.

5. See Chris Argyris and Donald Scho¨n, Organizational Learning: A Theory

of Action Perspective (Reading, Mass.: Addison-Wesley, 1978); Peter Senge,

The Fifth Discipline: The Art and Practice of the Learning Organization (New

York: Doubleday/Currency, 1990).

6. Thomas P. Bechet, Strategic Staffing: A Practical Toolkit for Workforce

Planning (New York: AMACOM, 2002).

7. David E. Hartley, ‘‘Tools for Talent,’’ T              D 58:4 (2004): 20–22.

8. Ibid., p. 21.

9. William J. Rothwell and H. C. Kazanas, The Strategic Development of

Talent (Amherst, Mass.: HRD Press, 2003).

10. Downloaded from http://news.ft.com/servlet/ContentServer?page

name_FT.com/Page/GenericPage2 &c _Page&cid_1079420675546 on 18

July 2004.

11. Stephen Overell, ‘‘A Meeting of Minds Brings HR into Focus,’’ downloaded

on 18 July 2004 from http://news.ft.com/servlet/ContentServer?page

name_FT.com/StoryFT/FullStory&c_StoryFT&cid_1079420676509&p_10

79420675546

12. The Human Capital Challenge (Alexandria, Va.: ASTD, 2003).

13. J. Christopher Mihm, Human Capital: Succession Planning and Management

Is Critical Driver of Organizational Transformation (Washington,

D.C.: U.S. General Accounting Office, 2003).

14. Walter R. Mahler and Stephen J. Drotter, The Succession Planning

Handbook for the Chief Executive (Midland Park, N.J.: Mahler Publishing Co.,

1986), p. 1.

15. ‘‘Long-Term Business Success Can Hinge on Succession Planning,’’

Training Directors’ Forum Newsletter 5:4 (1989), 1.

16. Wilbur Moore, The Conduct of the Corporation (New York: Random

House, 1962), p. 109.

17. Rosabeth Moss Kanter, The Men and Women of the Corporation (New

York: Basic Books, 1977), p. 48.

Notes 369

18. Norman H. Carter, ‘‘Guaranteeing Management’s Future Through Succession

Planning,’’ Journal of Information Systems Management 3:3 (1986),

13–14.

19. Thomas Gilmore, Making a Leadership Change: How Organizations

and Leaders Can Handle Leadership Transitions Successfully (San Francisco:

Jossey-Bass, 1988), p. 19.

20. William J. Rothwell and H. C. Kazanas, The Strategic Development of

Talent (Amherst, Mass.: HRD Press, 2003).

21. Lynda Gratton and Michel Syrett, ‘‘Heirs Apparent: Succession Strategies

for the Future,’’ Personnel Management 22:1 (1990), 34.

22. A. Walker, ‘‘The Newest Job in Personnel: Human Resource Data Administrator,’’

Personnel Journal 61:12 (1982), 5.

23. William J. Rothwell and H. C. Kazanas, Planning and Managing

Human Resources: Strategic Planning for Personnel Management, 2nd. ed.

(Amherst, Mass.: HRD Press, 2003).

24. Andrew O. Manzini and John D. Gridley, Integrating Human Resources

and Strategic Business Planning (New York: AMACOM, 1986), p. 3.

25. Peter Capelli, ‘‘A Market-Driven Approach to Retaining Talent,’’ Harvard

Business Review 78:1 (2000), 103–111; Joanne Cole, ‘‘De-Stressing the

Workplace,’’ HR Focus 76:10 (1999), 1, 10–11; Robert Leo, ‘‘Career Counseling

Works for Employers Too,’’ HR Focus 76:9 (1999), 6.

26. ‘‘The Numbers Game,’’ Time, 142:21 (1993), 14–15.

27. Ann Morrison, The New Leaders: Guidelines on Leadership Diversity

in America (San Francisco: Jossey-Bass, 1992), p. 1.

28. Ibid., p. 7.

29. Arthur Sherman, George Bohlander, and Herbert Chruden, Managing

Human Resources, 8th ed. (Cincinnati: South-Western Publishing Co., 1988),

p. 226.

30. Warren Boroson and Linda Burgess, ‘‘Survivors’ Syndrome,’’ Across

the Board 29:11 (1992), 41–45.

31. Gilmore, Making a Leadership Change, p. 10.

32. Morrison, The New Leaders, p. 1.

33. See, for instance, Robert M. Fulmer, ‘‘Choose Tomorrow’s Leaders

Today: Succession Planning Grooms Firms for Success.’’ Downloaded on 19

July 2004 from http://gbr.pepperdine.edu/021/succession.html; W. Rothwell

(Ed.), Effective Succession Management: Building Winning Systems for Identifying

and Developing Key Talent, 2nd ed. [See http://www.cfor.org/News/

article.asp?id_4.] (Lexington, Mass.: The Center for Organizational Research

[A division of Linkage, Inc.], 2004); ‘‘Succession Management: Filling the Leadership

Pipeline,’’ Chief Executive, April 2004, 1, 4.

34. M. Haire, ‘‘Approach to an Integrated Personnel Policy,’’ Industrial

Relations, 1968, 107–117.

35. J. Stuller, ‘‘Why Not ‘Inplacement?‘‘ ‘ Training 30:6 (1993), 37–44.

36. William J. Rothwell, H. C. Kazanas, and Darla Haines, ‘‘Issues and Prac-

tices in Management Job Rotation Programs as Perceived by HRD Professionals,’’

Performance Improvement Quarterly 5:1 (1992), 49–69. [This article is

the only existing research-based article on management job rotations that the

author can find.]

37. William J. Rothwell, ‘‘Go Beyond Replacing Executives and Manage

Your Work and Values.’’ In D. Ulrich, L. Carter, M. Goldsmith, J. Bolt, & N.

Smallwood (Eds.), The Change Champion’s Fieldguide (Waltham, Mass.: Best

Practice Publications, 2003), pp. 192–204.

38. Matt Hennecke, ‘‘Toward the Change-Sensitive Organization,’’ Training,

May 1991, 58.

39. D. Ancona and D. Nadler, ‘‘Top Hats and Executive Tales: Designing

the Senior Team,’’ Sloan Management Review 3:1 (1989), 19–28.

40. Ken Dychtwald, Tamara Erickson, and Bob Morison, ‘‘It’s Time to Retire

Retirement,’’ Harvard Business Review, March 2004, downloaded from

the online version on 3 May 2004.

Chapter 2

1. See William J. Rothwell, ‘‘Trends in Succession Management,’’ The Linkage,

Inc. eNewsletter, 2/15/00 (2000), presented on the Web at www.linkage

inc.com/newsletter26/research.htm.

2. See the now classic article, Michael Leibman, ‘‘Succession Management:

The Next Generation of Succession Planning,’’ Human Resource Planning

19:3 (1996), 16–29.

3. William J. Rothwell, Robert K. Prescott, and Maria Taylor, Strategic

Human Resource Leader: How to Help Your Organization Manage the 6

Trends Affecting the Workforce (Palo Alto, Calif.: Davies-Black Publishing,

1998).

4. Ibid.

5. P. Smith and D. Reinertsen, Developing Products in Half the Time (New

York: Van Nostrand Reinhold, 1991).

6. See Jac Fitz-Enz, How to Measure Human Resources Management (New

York: McGraw-Hill, 1984).

7. ‘‘The Aging Baby Boomers,’’ Workplace Visions, Sept.-Oct. 1996, found

at www.shrm.org/issues/0996wv01.htm.

8. ‘‘Cross-Generational Approaches,’’ Workforce Strategies 17:11 (1999),

WS63–WS64.

9. Shari Caudron, ‘‘The Looming Leadership Crisis,’’ Workforce, September

1999, 72–79.

10. ‘‘The Aging Baby Boomers.’’

11. ‘‘Gap Between Rich and Poor Keeps Widening,’’ The CCPA Monitor,

1995, presented at http://infoweb.magi.com/ccpa/articles/article21t.html [Unfortunately

this site is restricted.]

12. Peter Cappelli, ‘‘A Market-Driven Approach to Retaining Talent,’’ Harvard

Business Review, Jan.-Feb. 2000, 103–111; Joseph Dobrian, ‘‘Amenities

Gain Ground as Recruiting/Retention Tools,’’ HR Focus, November 1999,

11–12.

13. Charlene Marmer Solomon, ‘‘The Loyalty Factor,’’ Personnel Journal,

September 1992, 52–62.

14. David L. Stum, ‘‘Five Ingredients for an Employee Retention Formula,’’

HR Focus, September 1998, S9–S10.

15. Lynn E. Densford, ‘‘Corporate Universities Add Value by Helping Recruit,

Retain Talent,’’ Corporate University Review 7:2 (1999), 8–12.

16. See, for instance, Thomas A. Stewart, ‘‘Have You Got What It Takes,’’

Fortune 140:7 (1999), 318–322.

17. Richard McDermott, ‘‘Why Information Technology Inspired but Cannot

Deliver Knowledge Management,’’ California Management Review 41:4

(1999), 103–117.

18. Dawn Anfuso, ‘‘Core Values Shape W. L. Gore’s Innovative Culture,’’

Workforce 78:3 (1999), 48–53; Donald Tosti, ‘‘Global Fluency,’’ Performance

Improvement 38:2 (1999), 49–54.

19. William J. Rothwell and John Lindholm, ‘‘Competency Identification,

Modelling and Assessment in the USA,’’ International Journal of Training and

Development 3:2 (1999), 90–105. For quality control in using competencies

for assessment, see: Harm Tillema, ‘‘Auditing Assessment Practices in Organizations:

Establishing Quality Criteria for Appraising Competencies,’’ International

Journal of Human Resources Development and Management, 3:4

(2003): 359.

20. Rothwell, Prescott, and Taylor, Strategic Human Resource Leader.

21. Bradley Agle, ‘‘Understanding Research on Values in Business,’’ Business

and Society 38:3 (1999), 326–387. See also K. Blanchard and M. O’Connor,

Managing by Values (San Francisco: Berrett-Koehler, 1997); Ken Hultman

with Bill Gellerman, Balancing Individual and Organizational Values: Walking

the Tightrope to Success (San Francisco: Pfeiffer, 2002). The classic book

on values is still, of course, Milton Rokeach, The Nature of Human Values

(New York: The Free Press, 1973).

22. W. Davidson, C., Nemec, D., Worrell, and J. Lin, ‘‘Industrial Origin of

CEOs in Outside Succession: Board Preference and Stockholder Reaction,’’

Journal of Management and Governance, 6 (2002): 4.

23. Linda Bushrod, ‘‘Sorting Out Succession,’’ European Venture Capital

Journal, February 1, 2004, p. 1; Herbert Neubauer, ‘‘The Dynamics of Succession

in Family Businesses in Western European Countries,’’ Family Business

Review 16:4 (2003), 269–282; Slimane Haddadj, ‘‘Organization Change and

the Complexity of Succession: A Longitudinal Case Study from France,’’ Journal

of Organizational Change Management 15:2 (2003), 135–154.

24. Wendi J. Everton, ‘‘Growing Your Company’s Leaders: How Great Organizations

Use Succession Management to Sustain Competitive Advantage,’’

The Academy of Management Executive, 18:1 (Feb. 2004), 137.

25. Sarah McBride, ‘‘Gray Area: In Corporate Asia, A Looming Crisis Over

Succession; As Empire Founders Age, Many Fail to Lay Proper Plans; ’You Want

to Get Rid of Me’; Daesung’s Three Heads,’’ Wall Street Journal, August 7

2003, A1.

26. Barry Came, ‘‘The Succession Question,’’ MacLean’s 112:8 (2003),

44–45. [However, admittedly, this article is about national leadership succession

rather than company succession.]

27. Matthew Bellingham and Dione Schick, ‘‘Succession Planning-Issues

for New Zealand Chartered Accountants,’’ Chartered Accountants Journal of

New Zealand 82:10 (2003), 24.

28. Will Hickey, ‘‘A Survey of MNC Succession Planning Effectiveness in

China, Summer 2001,’’ Performance Improvement Quarterly 15:4 (2002), 20.

29. William J. Rothwell, ‘‘Succession Planning and Management in Government:

Dreaming the Impossible Dream,’’ IPMA-HR News 69:10 (2003), 1,

7–9.

30. William J. Rothwell, ‘‘Start Assessing Retiring University Officials at

Your University,’’ HR on Campus 5:8 (2002), 5.

31. James Olan Hutcheson, ‘‘Triple Header: For Succession Planning to

Succeed, Retiring Business Owners Need Life-Planning Skills as Well as Financial

Advice,’’ Financial Planning, April 1, 2004, 1; Khai Sheang Lee, Guan Hua

Lim, and Wei Shi Lim, ‘‘Family Business Succession: Appropriation Risk and

Choice of Successor,’’ The Academy of Management Review 28:4 (October

2003), 657; William S. White, Timothy D. Krinke, and David L. Geller, ‘‘Family

Business Succession Planning: Devising an Overall Strategy,’’ Journal of Financial

Service Professionals 58:3 (2004), 67–86.

32. William S. White, Timothy D. Krinke, and David L. Geller, ‘‘Family

Business Succession Planning: Devising an Overall Strategy,’’ Journal of Financial

Service Professionals 58:3 (2004), 67.

33. D. Carey and D. Ogden, CEO Succession: A Window On How Boards

Can Get It Right When Choosing A New Chief Executive (New York: Oxford

University Press, 2000).

34. A classic article that summarizes much succession research is I. Kesner

and T. Sebora, ‘‘Executive Succession: Past, Present and Future,’’ Journal of

Management 20:2 (1994), 327–372.

35. S. Haddadj, ‘‘Organization Change and the Complexity of Succession:

A Longitudinal Case Study from France,’’ Journal of Organizational Change

Management 16:2 (2003), 135–153.

36. ‘‘Global CEO Turnover at Record Highs,’’ Financial Executive 19:5

(2003), 10.

37. D. Gabriel, ‘‘Lost Leaders,’’ Telephony 243:10 (2002), 44.

38. ‘‘PPG Industries Speeds, Refines Succession Preparation Process,’’

Workforce Strategies 17:10 (1999), WS57–WS58.

Chapter 3

1. This paragraph is based on information in C. Derr, C. Jones, and E.

Toomey, ‘‘Managing High-Potential Employees: Current Practices in Thirtythree

U.S. Corporations,’’ Human Resource Management 27:3 (1988), 278.

For more recent information, see also William J. Rothwell and H. C. Kazanas,

Building In-House Leadership and Management Development Programs

(Westport, Conn.: Quorum, 1999), and David D. Dubois and William J. Rothwell,

The Competency Toolkit, 2 vols. (Amherst, Mass.: HRD Press, 2000). For

more recent thinking on high-potential workers, see Morgan W. McCall, Jr.,

High Flyers: Developing the Next Generation of Leaders (Boston: Harvard

Business School Press, 1998).

2. See William J. Rothwell, The Action Learning Guidebook: A Real-Time

Strategy for Problem-Solving, Training Design, and Employee Development

(San Francisco: Pfeiffer, 1999).

3. See S. Cunningham, ‘‘Coaching Today’s Executive,’’ Public Utilities

Fortnightly 128:2 (1991), 22–25; Steven J. Stowell and Matt Starcevich, The

Coach: Creating Partnerships for a Competitive Edge (Salt Lake City: The Center

for Management and Organization Effectiveness, 1987).

4. Charles E. Watson, Management Development Through Training (Reading,

Mass.: Addison-Wesley, 1979).

5. Manuel London and Stephen A. Stumpf, Managing Careers (Reading,

Mass.: Addison-Wesley, 1982), p. 274.

6. James E. McElwain, ‘‘Succession Plans Designed to Manage Change,’’

HR Magazine 36:2 (1991), 67.

7. James Fraze, ‘‘Succession Planning Should Be a Priority for HR Professionals,’’

Resource, June 1988, 4.

8. Ibid.

9. Ibid.

10. Ibid.

11. Thomas North Gilmore, Making a Leadership Change: How Organizations

Can Handle Leadership Transitions Successfully (San Francisco: Jossey-

Bass, 1988), p. 10.

12. Fraze, ‘‘Succession Planning Should Be a Priority,’’ 4.

13. David W. Rhodes, ‘‘Succession Planning—Overweight and Underperforming,’’

The Journal of Business Strategy 9:6 (1988), 62.

14. Ibid.

15. Ibid.

16. See Roland Sullivan, Linda Fairburn, and William J. Rothwell, ‘‘The

Whole System Transformation Conference: Fast Change for the 21st Century.’’

In S. Herman, ed., Rewiring Organizations for the Networked Economy: Organizing,

Managing, and Leading in the Information Age (San Francisco:

Pfeiffer, 2002), p. 117.

17. See Jane Magruder Watkins and Bernard J. Mohr, Appreciative Inquiry:

Change at the Speed of Imagination (San Francisco: Pfeiffer, 2001).

18. See Diana Whitney, Amanda Trosten-Bloom, and David Cooperrider,

The Power of Appreciative Inquiry: A Practical Guide to Positive Change (San

Francisco: Berrett-Koehler, 2003).

Chapter 4

1. See R. White, ‘‘Motivation Reconsidered: The Concept of Competence,’’

Psychological Review 66 (1959), 279–333.

2. David C. McClelland, ‘‘Testing for Competence Rather Than for ‘Intelligence,’

’’ American Psychologist, January 1973, 1–14.

3. See J. C. Flanagan, ‘‘The Critical Incident Technique,’’ Psychological

Bulletin, April 1954, 327–358; J. Hayes, ‘‘A New Look at Managerial Competence:

The AMA Model for Worthy Performance,’’ Management Review, November

1979, 2–3; Patricia McLagan, ‘‘Competency Models,’’ Training and

Development Journal, December 1980, 23; L. Spencer & S. Spencer, Competence

at Work: Models for Superior Performance (New York: John Wiley &

Sons, 1993).

4. A. R. Boyatzis, The Competent Manager: A Model for Effective Performance

(New York: John Wiley & Sons, 1982), pp. 20–21.

5. David D. Dubois and William J. Rothwell, The Competency Toolkit, 2

vols. (Amherst, Mass.: HRD Press, 2000).

6. Ibid.

7. Ibid.

8. See David D. Dubois, The Executive’s Guide to Competency-Based Performance

Improvement (Amherst, Mass.: HRD Press, 1996); D. D. Dubois, Ed.,

The Competency Case Book: Twelve Studies in Competency-Based Performance

Improvement (Amherst, Mass.: HRD Press and the International Society

for Performance Improvement, 1998); David D. Dubois and William J. Rothwell,

The Competency Toolkit, 2 volumes (Amherst, Mass.: HRD Press, 2000);

David D. Dubois and William J. Rothwell, Competency-Based Human Resource

Management (Palo Alto, Calif.: Davies-Black, 2004); Jeffrey S. Shippman, Ronald

A. Ash, Linda Carr, Beryl Hesketh, Kenneth Pearlman, Mariangela Battista,

Lorraine D. Eyde, Jerry Kehoe, Erich Prien, and Juan Sanchez, ‘‘The Practice of

Competency Modeling,’’ Personnel Psychology 53:3 (2000), 703–740.

9. T. R. Athey and M. S. Orth, ‘‘Emerging Competency Methods for the

Future,’’ Human Resource Management 38:3 (1999), 215–226. See also Jay A.

Conger and Douglas A. Ready, ‘‘Rethinking Leadership Competencies,’’ Leader

to Leader, Spring 2004, 41–47.

10. David D. Dubois and William J. Rothwell, Competency-Based Human

Resource Management (Palo Alto, Calif.: Davies-Black, 2004).

11. Danny G. Langdon and Anne F. Marrelli, ‘‘A New Model for Systematic

Competency Identification,’’ Performance Improvement 41:4 (2002), 14–21.

If you want to see a case study online for developing a competency model (but

on a secure site open only to ASTD members), check out Karen Elizabeth

Tabet, ‘‘Implementing a Competency Model: A Short Case Study,’’ In Practice,

2004. It was found at the time this book goes to press at http://www.astd.org/

astd/Publications/ASTD_Links/April2004/InPractice_Ap ri l04_Tabet.htm

12. See, for instance, Susan H. Gebelein, Successful Manager’s Handbook:

Development Suggestions for Today’s Managers, 6th ed. (Minneapolis: Epredix,

2001).

13. Bradley Agle, ‘‘Understanding Research on Values in Business,’’ Business

& Society, September 1999, 326–387.

14. W. G. Lee, ‘‘A Conversation with Herb Kelleher,’’ Organizational Dynamics

23:2 (1994), 64–74.

15. A. Farnham, ‘‘State Your Values, Hold the Hot Air,’’ Fortune, August

1993, 117–124.

16. See, for instance, William J. Pfeiffer, Ed., The Encyclopedia of Group

Activities (San Diego: University Associates, 1989); and Barbara Singer and

Kathleen Von Buren, Work Values: Facilitation Guide for Managers, Teams &

Trainers (Durango, Colo.: Self-Management Institute, 1995).

17. Michael Hickins, ‘‘A Day at the Races,’’ Management Review 88:5

(1999), 56–61.

18. W. Rothwell, ‘‘Go beyond replacing executives and manage your work

and values,’’ in D. Ulrich, L. Carter, M. Goldsmith, J. Bolt, and N. Smallwood

(eds.), The Change Champion’s Filedguide (Waltham, Mass.: Best Practice Publications,

2003), pp. 192–204.

Chapter 5

1. Jac Fitz-Enz, How to Measure Human Resources Management (New

York: McGraw-Hill, 1984), p. 48. See also Jac Fitz-Enz, The ROI of Human

Capital (New York: AMACOM, 2000).

2. Fitz-Enz, How to Measure, p. 48.

3. Particularly good articles on this topic include: Paul Brauchle, ‘‘Costing

Out the Value of Training,’’ Technical and Skills Training 3:4 (1992), 35–40;

J. Hassett, ‘‘Simplifying ROI,’’ Training, September 1992; J. Phillips, ‘‘Measuring

the Return on HRD,’’ Employment Relations Today, August 1991.

4. For example, see especially the classic but dated C. Derr, C. Jones, and

E. Toomey, ‘‘Managing High-Potential Employees: Current Practices in Thirtythree

U.S. Corporations,’’ Human Resource Management 27:3 (1988), 273–

290; O. Esman, ‘‘Succession Planning in Small and Medium-Sized Corporations,’’

HR Horizons 91:103 (1991), 15–19; The Identification and Development

of High Potential Managers (Palatine, Ill.: Executive Knowledgeworks,

1987); Meg Kerr, Succession Planning in America’s Corporations (Palatine,

Ill.: Anthony J. Fresina and Associates and Executive Knowledgeworks, 1987);

and E. Zajac, ‘‘CEO Selection, Succession, Compensation and Firm Performance:

A Theoretical Integration and Empirical Analysis,’’ Strategic Management

Journal 11:3 (1990), 217–230.

5. P. Linkow, ‘‘HRD at the Roots of Corporate Strategy,’’ Training and

Development Journal 39:5 (1985), 85–87; William J. Rothwell, ed., In Action:

Linking HRD and Organizational Strategy (Alexandria, Va.: The American Society

for Training and Development, 1998).

6. Karen A. Golden and Vasudevan Ramanujam, ‘‘Between a Dream and a

Nightmare: On the Integration of the Human Resource Management and Strategic

Business Planning Processes,’’ Human Resource Management 24:4

(1985), 429.

7. William J. Rothwell and H. C. Kazanas, The Strategic Development of

Talent (Amherst, Mass.: HRD Press, 2003).

8. See William J. Rothwell and H. C. Kazanas, ‘‘Training: Key to Strategic

Management,’’ Performance Improvement Quarterly 3:1 (1990), 42–56; and

William J. Rothwell and H. C. Kazanas, Planning and Managing Human Resources:

Strategic Planning for Personnel Management, 2nd ed. (Amherst,

Mass.: HRD Press, 2003).

9. Robert C. Camp, Benchmarking: The Search for Industry Best Practices

That Lead to Superior Performance (Milwaukee, Wisc.: Quality Press/American

Society for Quality Control; White Plains, N.Y.: Quality Resources, 1989), p. 3.

See also Michael J. Spendolini, The Benchmarking Book (New York: AMACOM,

1992).

10. Ibid., p. 17.

11. Diane Dormant, ‘‘The ABCDs of Managing Change,’’ in M. Smith, Ed.,

Introduction to Performance Technology (Washington, D.C.: The National Society

for Performance and Instruction, 1986), pp. 238–256.

12. Ibid., p. 239.

13. Ibid., p. 241.

14. Jack Welch and John A. Byrne, Jack: Straight from the Gut (New York:

Warner Business Books, 2001).

15. ‘‘Business: The King Lear Syndrome: Succession Planning,’’ The Economist

369:8354 (2003), 75.

Chapter 6

1. James L. Gibson, John M. Ivancevich, and James H. Donnelly, Jr., Organizations:

Behavior, Structure, Processes, 5th ed. (Plano, Tex.: Business Publications,

1985), p. 280.

2. Walter R. Mahler and Stephen J. Drotter, The Succession Planning

Handbook for the Chief Executive (Midland Park, N.J.: Mahler Publishing,

1986), p. 8.

3. ‘‘Choosing Your Successor,’’ Chief Executive Magazine, May/June 1988,

48–63; Jeffrey Sonnenfeld, The Hero’s Farewell: What Happens When CEOs

Retire (New York: Oxford University Press, 1988); Richard F. Vancil, Passing

the Baton: Managing the Process of CEO Succession (Boston: Harvard Business

School Press, 1987); E. Zajac, ‘‘CEO Selection, Succession, Compensation

and Firm Performance: A Theoretical Integration and Empirical Analysis,’’ Strategic

Management Journal 11:3 (1990), 217–230. See also D. Carey and D.

Ogden, CEO Succession: A Window On How Boards Can Get It Right When

Choosing A New Chief Executive (New York: Oxford University Press, 2000)

and

4. ‘‘Global CEO Turnover at Record Highs,’’ Financial Executive 19:5

(2003), 10.

Chapter 7

1. Allen Kraut, Patricia Pedigo, Douglas McKenna, and Marvin Dunnette,

‘‘The Role of the Manager: What’s Really Important in Different Management

Jobs,’’ Academy of Management Executive 3:4 (1989), 287.

2. See, for instance, R. Smither, ‘‘The Return of the Authoritarian Manager,’’

Training 28:11 (1991), 40–44.

Chapter 8

1. M. Pastin, ‘‘The Fallacy of Long-Range Thinking,’’ Training 23:5 (1986),

47–53.

2. B. Staw, ‘‘Knee-Deep in the Big Muddy,’’ Organizational Behavior and

Human Performance 16:1 (1976), 27–44.

3. Karen Stephenson and Valdis Krebs, ‘‘A More Accurate Way to Measure

Diversity,’’ Personnel Journal 72:10 (1993), 66–72, 74.

4. Rosabeth Moss Kanter, The Men and Women of the Corporation (New

York: Basic Books, 1977), p. 48.

5. Ibid.

6. Glenn E. Baker, A. Grubbs, and Thomas Ahern, ‘‘Triangulation:

Strengthening Your Best Guess,’’ Performance Improvement Quarterly 3:3

(1990), 27–35.

7. Arthur W. Sherman, Jr., George W. Bohlander, and Herbert Chruden,

Managing Human Resources, 8th ed. (Cincinnati: South-Western Publishing

Co., 1988), pp. 95–96.

8. For one excellent approach, see Roger J. Plachy and Sandra J. Plachy,

Results-Oriented Job Descriptions (New York: AMACOM, 1993). See also

Model Job Descriptions for Business (N.p.: Local Government Institute, 1997).

9. W. Barlow and E. Hane, ‘‘A Practical Guide to the Americans with Disabilities

Act,’’ Personnel Journal 71:6 (1992), 54.

10. Kenneth E. Carlisle, Analyzing Jobs and Tasks (Englewood Cliffs, N.J.:

Educational Technology Publications, 1986), p. 5.

11. See Barlow and Hane, ‘‘A Practical Guide,’’ 53–60; M. Chalker, ‘‘Tooling

Up for ADA,’’ HR Magazine, December 1991, 61–63, 65; and J. Kohl and

P. Greenlaw, ‘‘The Americans with Disabilities Act of 1990: Implications for

Managers,’’ Sloan Management Review 33:3 (1992), 87–90.

12. See, for instance, Roger J. Plachy and Sandra J. Plachy, Results-Oriented

Job Descriptions (New York: AMACOM, 1993).

13. William J. Rothwell, ‘‘HRD and the Americans with Disabilities Act,’’

Training and Development 45:8 (1991), 45–47.

14. Richard Boyatzis, The Competent Manager: A Model for Effective Performance

(New York: John Wiley & Sons, 1982).

15. David Dubois, Competency-Based Performance Improvement: A Strategy

for Organizational Change (Amherst, Mass.: HRD Press, 1993), p. 9.

16. Ibid.

17. R. Norton, Dacum Handbook (Columbus, Ohio: The National Center

for Research in Vocational Education, The Ohio State University, 1985). See

also D. Faber, E. Fangman, and J. Low, ‘‘DACUM: A Collaborative Tool for

Workforce Development,’’ Journal of Studies in Technical Careers 13:2

(1991), 145–159.

18. Ibid., pp. 1–2.

19. See A. Osborn, Applied Imagination, 3rd ed. (New York: Scribner,

1963); A. Van Gundy, Techniques of Structured Problem Solving (New York:

Van Nostrand Reinhold, 1981); Michael Michalko, Thinkertoys: A Handbook

of Business Creativity for the 90s (Berkeley, Calif.: Ten Speed Press, 1991);

Dario Nardi, Multiple Intelligences and Personality Type: Tools and Strategies

for Developing Human Potential (Huntington Beach, Calif.: Telos Publications,

2001); Pamela Meyer, Quantum Creativity (New York: McGraw-Hill,

2000).

20. A. Van Gundy, Techniques of Structured Problem Solving.

21. G. Huet-Cox, T. M. Nielsen, and E. Sundstrom, ‘‘Get the Most From

360-Degree Feedback: Put It on the Internet,’’ HR Magazine 44:5 (1999), 92–

103; ‘‘Finding Leaders: How Ameritech Feeds Its Pipeline,’’ Training Directors’

Forum Newsletter 15:5 (1999), 4.

22. Leanne Atwater and David Waldman, ‘‘Accountability in 360-Degree

Feedback,’’ HR Magazine 43:6 (1998), 96–104. The article asserts that over 90

percent of Fortune 1000 companies use some form of multisource assessment.

For more information on full-circle, multirater assessment, see David D. Dubois

and William J. Rothwell, The Competency Toolkit, 2 vols. (Amherst, Mass.:

HRD Press, 2000); Keith Morical, ‘‘A Product Review: 360 Assessments,’’ Training

and Development 53:4 (1999), 43–47; Kenneth Nowack, Jeanne Hartley,

and William Bradley, ‘‘How to Evaluate Your 360-Feedback Efforts,’’ Training

& Development 53:4 (1999), 48–53; David Waldman and David E. Bowen,

‘‘The Acceptability of 360-Degree Appraisals: A Customer-Supplier Relation-

ship Perspective,’’ Human Resource Management 37:2 (1998), 117–129.

Other recent writings on 360-degree assessment include Anne Freedman,

‘‘The Evolution of 360s,’’ Human Resource Executive, 16:17 (2002), 47–51;

Marnie E. Green, ‘‘Ensuring the Organization’s Future: A Leadership Development

Case Study,’’ Public Personnel Management 31:4 (2002), 431–439; Fred

Luthans and Suzanne J. Peterson, ‘‘360-Degree Feedback with Systematic

Coaching: Empirical Analysis Suggests a Winning Combination,’’ Human Resource

Management 42:3 (2003), 243–256; Bruce Pfau and Ira Kay, ‘‘Does

360-Degree Feedback Negatively Affect Company Performance?’’, HR Magazine

47:6 (2002), 54–59; Scott Wimer, ‘‘The Dark Side of 360-Degree Feedback,’’

T              D 56:9 (2002), 37–42.

23. See, for instance, Paul J. Taylor and Jon L. Pierce, ‘‘Effects of Introducing

a Performance Management System on Employees’ Subsequent Attitudes

and Effort,’’ Public Personnel Management 28:3 (1999), 423–452.

24. See, for instance, Performance Appraisals: The Ongoing Legal Nightmare

(Ramsey, N.J.: Alexander Hamilton Institute, 1993).

25. Mary Walton, The Deming Management Method (New York: Perigee

Books, 1986), p. 91.

26. See, for instance, S. Cunningham, ‘‘Coaching Today’s Executive,’’ Public

Utilities Fortnightly 128:2 (1991), 22–25; David L. Dotlich and Peter C.

Cairo, Action Coaching: How to Leverage Individual Performance for Company

Success (San Francisco: Jossey-Bass, 1999); Steven J. Stowell and Matt

Starcevich, The Coach: Creating Partnerships for a Competitive Edge (Salt

Lake City: The Center for Management and Organization Effectiveness, 1987).

27. BLR Encyclopedia of Performance Appraisal (Madison, Conn.: Business

and Legal Reports, 1985). See also Richard C. Grote, The Complete Guide

to Performance Appraisal (New York: AMACOM, 1996).

28. David D. Dubois and William J. Rothwell, Competency-Based Human

Resource Management (Palo Alto, Calif.: Davies-Black, 2004).

29. Paul Kaihla, ‘‘Getting Inside the Boss’s Head,’’ Business 2.0 4:10

(2003), 49.

30. Scott Highhouse, ‘‘Assessing the Candidate as a Whole: A Historical

and Critical Analysis of Individual Psychological Assessment for Personnel Decision-

Making,’’ Personnel Psychology 55:2 (2002), 363–396.

Chapter 9

1. See William J. Rothwell and H. C. Kazanas, Planning and Managing

Human Resources: Strategic Planning for Personnel Management, 2nd ed.

(Amherst, Mass.: HRD Press, 2003).

2. William J. Rothwell and H. C. Kazanas, ‘‘Developing Management Employees

to Cope with the Moving Target Effect,’’ Performance and Instruction

32:8 (1993), 1–5.

3. See, for instance, Newman S. Peery, Jr., and Mahmoud Salem, ‘‘Strategic

Management of Emerging Human Resource Issues,’’ Human Resource Development

Quarterly 4:1 (1993), 81–95; Raynold A. Svenson and Monica J. Rinderer,

The Training and Development Strategic Plan Workbook (Englewood

Cliffs, N.J.: Prentice-Hall, 1992). For works specifically on environmental

scanning, see F. Aguilar, Scanning the Business Environment (New York: Macmillan,

1967); Patrick Callan, Ed., Environmental Scanning for Strategic Leadership

(San Francisco: Jossey-Bass, 1986); L. Fahey, W. King, and V. Narayanan,

‘‘Environmental Scanning and Forecasting in Strategic Planning—The State of

the Art,’’ Long Range Planning 14:1 (1981), 32–39; R. Heath and Associates,

Strategic Issues Management: How Organizations Influence and Respond to

Public Interests and Policies (San Francisco: Jossey-Bass, 1988).

4. Harry Levinson, Organizational Diagnosis (Cambridge, Mass.: Harvard

University Press, 1972); A. O. Manzini, Organizational Diagnosis (New York:

AMACOM, 1988); and Marvin Weisbord, Organizational Diagnosis: A Workbook

of Theory and Practice (Reading, Mass.: Addison-Wesley, 1978).

5. This is an issue of classic debate: Does structure affect strategy or does

strategy affect structure? The first discussion appears in A. Chandler, Strategy

and Structure: Chapters in the History of American Industrial Enterprise

(Cambridge, Mass.: Massachusetts Institute of Technology, 1962). Other authors

are not sure that strategy always affects structure. See, for instance, J.

Galbraith and D. Nathanson, ‘‘The Role of Organizational Structure and Process

in Strategy Implementation,’’ in D. Schendel and C. Hofer, Eds., Strategic

Management (Boston: Little, Brown and Co., 1979).

6. See Kees Van Der Heijden, Scenarios: The Art of Strategic Conversation

(New York: John Wiley & Sons, 1996); and William J. Rothwell and H. C. Kazanas,

The Strategic Development of Talent (Amherst, Mass.: HRD Press, 2003).

7. See, for instance, the classic article by J. Wissema, A. Brand, and H.

Van Der Pol, ‘‘The Incorporation of Management Development in Strategic

Management,’’ Strategic Management Journal 2 (1981), 361–377.

8. See remarks in Larry Davis and E. McCallon, Planning, Conducting,

Evaluating Workshops (Austin, Tex.: Learning Concepts, 1974).

9. Rothwell and Kazanas, ‘‘Developing Management Employees,’’ 1–5.

10. See Rothwell and Kazanas, Planning and Managing Human Resources.

11. Melvin Sorcher, Predicting Executive Success: What It Takes to Make

It Into Senior Management (New York: John Wiley & Sons, 1985), p. 2.

12. William J. Rothwell and H. C. Kazanas, Building In-House Leadership

and Management Development Programs (Westport, Conn.: Quorum Books,

1999).

13. Ibid.

14. See the classic study: E. Lindsey, V. Homes, and M. McCall, Key Events

in Executives’ Lives (Greensboro, N.C.: The Center for Creative Leadership,

1987).

15. This approach is described at length in George S. Odiorne, Strategic

Management of Human Resources: A Portfolio Approach (San Francisco: Jossey-

Bass, 1984).

16. Ibid.

17. Ibid.

18. Ibid.

19. Ibid.

20. Rose Mary Wentling, ‘‘Women in Middle Management: Their Career

Development and Aspirations,’’ Business Horizons (January-February 1992),

47–54.

21. ‘‘Assessment Centres Show Signs of Growth’’ (2004, February 24), 47.

22. Cam Caldwell, George C. Thornton III, and Melissa L Gruys. ‘‘Ten

Classic Assessment Center Errors: Challenges to Selection Validity.’’ Public

Personnel Management 32:1 (2003), 73–88.

23. For more on assessment centers, see: International Task Force on Assessment

Center Guidelines, ‘‘Guidelines and Ethical Considerations for Assessment

Center Operations: International Task Force on Assessment Center

Guidelines,’’ Public Personnel Management 29:3 (2000), 315–331; P. G. Jansen

and B. A. M. Stoop, ‘‘The Dynamics of Assessment Center Validity: Results

of a 7-Year Study,’’ Journal of Applied Psychology 86:4 (2001), 741–753; G. C.

Thornton, Assessment Centers in Human Resource Management (Reading,

Mass.: Addison-Wesley, 1992); A. Tziner, S. Ronen, and D. Hacohen, ‘‘A Fouryear

Validation Study of an Assessment Center in a Financial Corporation,‘‘

Journal of Organizational Behavior 14 (1993), 225–237.

Chapter 10

1. Walter R. Mahler and Stephen J. Drotter, The Succession Planning

Handbook for the Chief Executive (Midland Park, N.J.: Mahler Publishing Co.,

1986).

2. Peter F. Drucker, ‘‘How to Make People Decisions,’’ Harvard Business

Review 63:4 (1985), 22–26.

3. Lawrence S. Kleiman and Kimberly J. Clark, ‘‘User’s Satisfaction with

Job Posting,’’ Personnel Administrator 29:9 (1984), 104–108.

4. Lawrence S. Kleiman and Kimberly J. Clark, ‘‘An Effective Job Posting

System,’’ Personnel Journal 63:2 (1984), 20–25.

5. Malcolm Knowles, Using Learning Contracts: Practical Approaches to

Individualizing and Structuring Learning (San Francisco: Jossey-Bass, 1986),

pp. 28–32.

6. R. Fritz, Personal Performance Contracts: The Key to Job Success (Los

Altos, Calif.: Crisp, 1987).

7. Arthur X. Deegan II, Succession Planning: Key to Corporate Excellence

(New York: Wiley-Interscience, 1986), p. 167.

8. Robert F. Mager, Preparing Instructional Objectives, 2nd ed. (Belmont,

Calif.: Lear-Siegler, 1975).

9. M. Lombardo and R. Eichinger, Eighty-eight Assignments for Development

in Place: Enhancing the Developmental Challenge of Existing Jobs

(Greensboro, N.C.: The Center for Creative Leadership, 1989).

10. A. Huczynski, Encyclopedia of Management Development Methods

(London: Gower, 1983).

11. See, for instance, Paul R. Yost and Mary Mannion Plunkett, ‘‘Turn Business

Strategy Into Leadership Development,’’ T        D 56:3 (2002), 48–51.

12. See, for instance, William J. Rothwell and H. C. Kazanas, Building In-

House Leadership and Management Development Programs (Westport,

Conn.: Quorum, 1999) and Marshall Tarley, ‘‘Leadership Development for

Small Organizations,’’ T                D 56:3 (2002), 52–55.

13. Maryse Dubouloy, ‘‘The Transitional Space and Self-Recovery: A Psychoanalytical

Approach to High-Potential Managers’ Training,’’ Human Relations

57:4 (2004), 467–496; ‘‘A Formal Coaching Program,’’ Sales and

Marketing Management, 156:7 (2004), 14; Stephen Hrop, ‘‘Coaching Across

Cultures: New Tools for Leveraging National, Corporate, and Professional Differences,’’

Personnel Psychology 57:1 (2004), 220–223; Leigh Rivenbark,

‘‘Adaptive Coaching,’’ HR Magazine 49:5 (2004), 128–129; Mark Rotella, Sarah

F Gold, Lynn Andriani, Michael Scharf, and Emily Chenoweth, ‘‘Leverage Your

Best, Ditch The Rest: The Coaching Secrets Top Executives Depend On,’’ Publishers

Weekly 251:20 (2004), 45.

14. Chris Bones, ‘‘Coaching? It’s What Managers Are For,’’ Human Resources,

June 2004, 14.

15. James M. Hunt and Joseph R. Weintraub, The Coaching Manager: Developing

Top Talent in Business (Thousand Oaks, Calif.: Sage Publications,

2002).

16. See the Coaching Federation of Canada Web site (http://www

.coach.ca/e/nccp/) and an ERIC Web site with a list of them available, at least

on 17 July 2004, at http://www.ericdigests.org/pre-9212/coaching.htm

17. See, for instance, http://www.coachfederation.org/credentialing/en/

core.htm. [That is the Web site of the International Coaching Federation,

which has a competency model for coaching on the Web in downloadable

format.]

18. Heather Johnson, ‘‘The Ins and Outs of Executive Coaching,’’ Training

41:5 (2004), 36–41.

19. See, for instance, the Worldwide Association of Business Coaches at

http://www.wabccoaches.com/.

20. See, for an example, http://mycoach.com/ethics_abeta.shtml

21. See http://www.execcoach.net/Competences.htm

22. Edgar Schein, Process Consultation Revisited: Building the Helping

Relationship (Reading, Mass.: Addison-Wesley, 1998).

23. S. J. Armstrong, C. W. Allinson, and J. Hayes, ‘‘Formal Mentoring Systems:

An Examination of the Effects of Mentor/Prote´ge´ Cognitive Styles on the

Mentoring Process,’’ The Journal of Management Studies 39 (December

2002), 1111–1137; N. Bozionelos, ‘‘Mentoring Provided: Relation to Mentor’s

Career Success, Personality, and Mentoring Received,’’ Journal of Vocational

Behavior 64 (February 2004), 24–46; C. Conway, Strategies for Mentoring: A

Blueprint for Successful Organizational Development (New York: John

Wiley & Sons, 1998); V. M. Godshalk and J. J. Sosik, ‘‘Does Mentor-Prote´ge´

Agreement on Mentor Leadership Behavior Influence the Quality of a Mentoring

Relationship?’’ Group and Organization Management 25 (September

2000), 291–317; B.A. Hamilton and T. A. Scandura, ‘‘E-Mentoring: Implications

for Organizational Learning and Development in a Wired World,’’ Organizational

Dynamics 31:4 (2003), 388–402.

24. Reg Revans, Developing Effective Managers (New York: Praeger,

1971).

25. David L. Dotlich and James L. Noel, Action Learning : How the World’s

Top Companies are Re-Creating Their Leaders and Themselves (San Francisco:

Jossey-Bass, 1998); Ian McGill and Liz Beaty, Action Learning: A Guide for

Professional, Management & Educational Development, 2nd ed. (New York:

Taylor and Francis, 2001); Michael Marquardt, Action Learning in Action:

Transforming Problems and People for World-Class Organizational Learning

(Palo Alto, Calif.: Davies-Black, 1999); Michael Marquardt, Optimizing the

Power of Action Learning: Solving Problems and Building Leaders in Real

Time (Palo Alto, Calif.: Davies-Black, 2004).

26. Michael Marquardt, ‘‘Harnessing the Power of Action Learning,’’

T              D 58:6 (2004), 26–32.

27. William J. Rothwell, The Action Learning Guidebook: A Real-Time

Strategy for Problem-Solving, Training Design, and Employee Development

(San Francisco: Jossey-Bass/Pfeiffer, 1999).

Chapter 11

1. James L. Adams, Conceptual Blockbusting: A Guide to Better Ideas, 3rd

ed. (Reading, Mass.: Addison-Wesley, 1986), p. 7.

2. Michael Hammer and James Champy, Reegineering the Corporation: A

Manifesto for Business Revolution (New York: HarperBusiness, 1993), p. 32.

3. G. Rummler and A. Brache, ‘‘Managing the White Space,’’ Training 28:1

(1991), 55–70.

4. See Eva Kaplan-Leiserson, ‘‘Aged to Perfection,’’ T  D 55:10 (2001),

16–17; and Neil Lebovits, ‘‘Seniors Returning to the Accounting Workforce:

Supply Meets Demand,’’ The CPA Journal, 73:11 (2003), 14.

5. Anne Freedman, ‘‘What Shortage?’’ Human Resource Executive 18:4

(2004), 26–28.

6. Dayton Fandray, ‘‘Gray Matters,’’ Workforce 79:7 (2000), 26–32.

Chapter 12

1. For assistance in conceptualizing a skill inventory and/or a recordkeeping

system for that purpose, see D. Gould, Personnel Skills Inventory Skill

Study (Madison, Conn.: Business and Legal Reports, 1986).

Chapter 13

1. William J. Rothwell and Henry J. Sredl, The American Society for Training

and Development Reference Guide to Workplace Learning and Performance,

3rd ed., 2 vols. (Amherst, Mass.: HRD Press, 2000).

2. See Nancy Dixon, Evaluation: A Tool for Improving HRD Quality (Alexandria,

Va.: The American Society for Training and Development, 1990); Jack

Phillips, Handbook of Training Evaluation and Measurement Methods, 2nd

ed. (Houston: Gulf Publishing, 1991); Leslie Rae, How to Measure Training

Effectiveness (Brookfield, Vt.: Gower Publishing, 1991); William J. Rothwell,

Ed., Creating, Measuring and Documenting Service Impact: A Capacity Building

Resource: Rationales, Models, Activities, Methods, Techniques, Instruments

(Columbus, Ohio: The Enterprise Ohio Network, 1998).

3. Paul Brauchle, ‘‘Costing Out the Value of Training,’’ Technical and

Skills Training 3:4 (1992), 35–40; W. Cascio, Costing Human Resources: The

Financial Impact of Behavior in Organizations, 2nd ed. (Boston: PWS-Kent

Publishing, 1987); C. Fauber, ‘‘Use of Improvement (Learning) Curves to Predict

Learning Costs,’’ Production and Inventory Management 30:3 (1989),

57–60; T. Jackson, Evaluation: Relating Training to Business Performance

(San Diego: Pfeiffer and Company, 1989); L. Spencer, Calculating Human Resource

Costs and Benefits (Somerset, N.J.: John Wiley and Sons, 1986); Richard

Swanson and Deane Gradous, Forecasting Financial Benefits of Human Resource

Development (San Francisco: Jossey-Bass, 1988).

4. See Donald Kirkpatrick, ‘‘Techniques for Evaluating Training Programs,’’

Journal of the American Society for Training and Development [now

called T                 D] 14:1 (1960), 13–18.

5. R. Brinkerhoff, ‘‘The Success Case: A Low-Cost High-Yield Evaluation,’’

Training and Development Journal 37:8 (1983), 58–61. See also Rothwell,

Ed., Creating, Measuring and Documenting Service Impact.

6. See William J. Rothwell and H. C. Kazanas, Planning and Managing

Human Resources: Strategic Planning for Personnel Management, 2nd ed.

(Amherst, Mass.: HRD Press, 2003).

Chapter 14

1. See Pamela Babcock, ‘‘Slicing Off Pieces of HR,’’ HR Magazine 49:7

(2004), 70; Karen Colteryahn and Patty Davis, ‘‘8 Trends You Need to Know

Now,’’ T                D 58:1 (2004), 28–36; Simon Kent, ‘‘When Is Enough, Enough?’’

Personnel Today, June 15, 2004, 7; James F. Orr, ‘‘Outsourcing Human Resources,’’

Chief Executive, June 2004, 16; Sara L. Rynes, ‘‘’Where Do We Go

From Here?’ Imagining New Roles for Human Resources,’’ Journal of Management

Inquiry 13:3 (2004), 203–213; William B. Scott and Carole Hedden,

‘‘People Issues: Good Leaders, Ethics, Growth Opportunities Rank High on

Employee Preference Lists,’’ Aviation Week and Space Technology 160:18

(2004), 61; Uyen Vu, ‘‘HR Responds to Cost Crunch with Workforce Cuts:

Survey,’’ Canadian HR Reporter 17:11 (2004), 1–2; Joe Willmore, ‘‘The Future

of Performance,’’ T         D, August 2004, 26–31, 49, 53; Ron Zemke, ‘‘The Confidence

Crisis,’’ Training 41:6 (2004), 22–27.

2. Anonymous, ‘‘An HR Outsourcing Report,’’ Employee Benefit Plan Review

59:1 (2004), 5–6; ‘‘The Return of Work/Life Plans,’’ HR Focus 81:4

(2004), 1–3; Damon Cline, ‘‘Companies Seeking ‘Right’ Candidates Increasingly

Turn to Personality Tests,’’ Knight Ridder Tribune Business News, March

9, 2004, 1; Kristine Ellis, ‘‘Top Training Strategies,’’ Training 40:7 (2003),

30–36; Brandon Hall, ‘‘Time to Outsource?’’, Training 41:6 (2004), 14; Fay

Hansen, ‘‘Currents in Compensation and Benefits,’’ Compensation and Benefits

Review 36:3 (2004), 6–25.

3. Craig E. Aronoff and Christopher J. Eckrich, ‘‘Trends in Family-Business

Transitions,’’ Nation’s Business 87:5 (1999), 62–63; John Beeson, ‘‘Succession

Planning,’’ Across the Board 37:2 (2000), 38–41; Ram Charan and Geoffrey

Colvin, ‘‘The Right Fit,’’ Fortune 141:8 (2000), 226–233; Robert J. Grossman,

‘‘HR On the Board,’’ HR Magazine 49:6 (2004), 56–63; William J. Rothwell,

‘‘What’s Special about CEO Succession?’’ Global CEO Magazine, March 2004,

15–20; William J. Rothwell, ‘‘Knowledge Transfer: 12 Strategies For Succession

Management,’’ IPMA-HR News, July 2004, 10–12; William J. Rothwell, ‘‘Competency-

Based Succession Planning: Do I Fit In? The Individual’s Role in Succession

Planning,’’ Career Planning and Adult Development Journal 18:4

(2003), 120–135; William J. Rothwell, ‘‘Succession Planning and Management

in Government: Dreaming the Impossible Dream,’’ IPMA-HR News 69:10

(2003), 1, 7—9; William J. Rothwell and Christopher Faust, ‘‘Managing the

Quiet Crisis: The Impact of an Effective Succession Plan: Leveraging Web-

Based Human Capital Management Systems to Plan for the Future and Manage

the Talent Pool Today,’’ Published online at http://www.softscape.com/white

papers/whitepapers.htm.; William J. Rothwell ‘‘Beyond Succession Management:

New Directions and Fresh Approaches,’’ Linkage Link and Learn Newsletter,

published at http://www.linkageinc.com/newsletter/archives/leadership/

beyond_succession erothwell.shtml.; William J. Rothwell, ‘‘Go Beyond Replacing

Executives and Manage Your Work and Values,’’ in D. Ulrich, L. Carter, M.

Goldsmith, J. Bolt & N. Smallwood (Eds.), The Change Champion’s Fieldguide

(pp. 192–204). (Waltham, Mass.: Best Practice Publications, 2003); George B.

Yancey, ‘‘Succession Planning Creates Quality Leadership,’’ Credit Union Executive

Journal 41:6 (2001), 24–27.

4. Susan Ladika, ‘‘Executive Protection: Terror Alerts and Corporate Board

Liability Are Focusing New Attention on Security Issues for Top Company Officers,’’

HR Magazine 49:10 (2004), 105–106, 108–109.

5. See Thomas Hoffman, ‘‘Labor Gap May Drive Mergers,’’ Online News,

July 13, 1998, at http://www.idg.net/crd[lh.5,p6]it[lh.5,p6]9–65593.html.

6. Jennifer Reingold and Diane Brady, ‘‘Brain Drain,’’ Business Week, September

20, 1999, 112–115, 118, 120, 124, 126.

7. Ibid.

8. Ibid.

9. Leslie Gross Klaff, ‘‘Thinning the Ranks of the ’Career Expats,’ ’’ Workforce

Management 83:10 (2004), 84–84, 86–87.

10. W. Rothwell and S. Poduch, ‘‘Introducing Technical (Not Managerial)

Succession Planning,’’ Personnel Management, 33(4), 2004, pp. 405–420.

WHAT’ S ON THE CD?

SelectedWorksheets and Resources from the Book

Exhibit 2-1. An Assessment Questionnaire: How Well Is Your Organization

Managing the Consequences of Trends Influencing Succession Planning

and Management?

Exhibit 3-2. Assessment Questionnaire for Effective Succession Planning and

Management

Exhibit 3-3. A Simple Exercise to Dramatize the Need for Succession Planning

and Management

Exhibit 5-4. A Questionnaire for Assessing the Status of Succession Planning

and Management in an Organization

Exhibit 5-5. A Worksheet for Demonstrating the Need for Succession Planning

and Management

Exhibit 5-6. An Interview Guide for Determining the Requirements for a Succession

Planning and Management Program

Exhibit 5-7. An Interview Guide for Benchmarking Succession Planning and

Management Practices

Exhibit 6-3. A Worksheet to Formulate a Mission Statement for Succession

Planning and Management

Exhibit 6-4. A Sample Succession Planning and Management Policy

Exhibit 6-6. An Activity for Identifying Initial Targets for Succession Planning

and Management Activities

Exhibit 6-7. An Activity for Establishing Program Priorities in Succession Planning

and Management

Exhibit 6-8. Handout: U.S. Labor Laws

Exhibit 7-1. A Worksheet for Preparing an Action Plan to Establish the Succession

Planning and Management Program

Exhibit 8-1. A Worksheet for Writing a Key Position Description

Exhibit 8-2. A Worksheet for Considering Key Issues in Full-Circle, Multirater

Assessments

Exhibit 8-5. A Worksheet for Developing an Employee Performance Appraisal

Linked to a Position Description

Exhibit 9-1. A Worksheet for Environmental Scanning

387

388 WHAT’S ON THE CD?

Exhibit 9-2. An Activity on Organizational Analysis

Exhibit 9-3. An Activity for Preparing Realistic Scenarios to Identify Future Key

Positions

Exhibit 9-4. An Activity for Preparing Future-Oriented Key Position Descriptions

Exhibit 9-5. Steps in Conducting Future-Oriented ‘‘Rapid Results Assessment’’

Exhibit 9-6. How to Classify Individuals by Performance and Potential

Exhibit 9-7. A Worksheet for Making Global Assessments

Exhibit 9-8. A Worksheet to Identify Success Factors

Exhibit 9-9. An Individual Potential Assessment Form

Exhibit 10-1. A Sample Replacement Chart Format: Typical Succession Planning

and Management Inventory for the Organization

Exhibit 10-2. Succession Planning and Management Inventory by Position

Exhibit 10-4. A Worksheet for Preparing Learning Objectives Based on Individual

Development Needs

Exhibit 10-5. A Worksheet for Identifying the Resources Necessary to Support

Developmental Experiences

Exhibit 10-7. A Sample Individual Development Plan

Exhibit 10-8. Methods of Grooming Individuals for Advancement

Exhibit 10-9. Key Strategies for Internal Development

Exhibit 11-1. Deciding When Replacing a Key Job Incumbent Is Unnecessary:

A Flowchart

Exhibit 11-2. A Worksheet for Identifying Alternatives to the Traditional Approach

to Succession Planning and Management

Exhibit 12-4. A Worksheet for Brainstorming When and How to Use Online

and High-Tech Methods

Exhibit 13-3. A Worksheet for Identifying Appropriate Ways to Evaluate Succession

Planning and Management in an Organization

Exhibit 13-4. A Sample ‘‘Incident Report’’ for Succession Planning and Management

Exhibit 13-5. Steps for Completing a Program Evaluation of a Succession Planning

and Management Program

Exhibit 13-6. A Checksheet for Conducting a Program Evaluation for the Succession

Planning and Management Program

Exhibit 14-1. A Worksheet to Structure Your Thinking about Predictions for

Succession Planning and Management in the Future

Exhibit 14-2. A Worksheet to Structure Your Thinking about Alternative Approaches

to Meeting Succession Needs

Exhibit 14-7. Important Characteristics of Career Planning and Management

Programs

Exhibit 14-8. An Assessment Sheet for Integrating Career Planning and Management

Programs with Succession Planning and Management Programs

What’s on the CD? 389

Also:

Effective Succession Planning: A Fully Customizable Leader Guide for

The Manager’s Role in Succession Planning

Effective Succession Planning: A Fully Customizable Participant Guide

for The Manager’s Role in Succession Planning

PowerPoint Slides to Accompany The Manager’s Role in Succession

Planning

Assessment Instrument for Use with The Manager’s Role in Succession

Planning

Executive Assessment Instrument for Use with The Manager’s Role in

Succession Planning

PowerPoint Slides to Accompany Executive Briefing on Succession Planning

Frequently-Asked Questions About Succession Planning (from the

Book) for Use with the Executive Briefing on Succession Planning

Effective Succession Planning: A Fully Customizable Leader Guide for

Mentoring from A to Z

Effective Succession Planning: A Fully Customizable Participant Guide

for Mentoring from A to Z

PowerPoint Slides to Accompany Mentoring from A to Z

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INDEX

ABCD model, 118–121

accomplishment, evidence of, 240

accountability, 345–346

accounting, 53

acquisitions, 313, 329

action learning, 74, 255–256

action plans

communication of, 147–160

components of effective, 156–157

preparation of, 156–158

technological support for, 280, 283

active roles, 128, 129

Adams, James L., on problem-solving, 257–258

adopted children, 154

adopters, 119–120

advancement, 36

Advance Organizer, 1–4

advisory boards, 362

affirmative action, 149

Aftercare program, 351

Age Discrimination in Employment Act (ADEA)

(1967), 150, 154

agenda, 231, 283

aging workforce, xviii, xx, 45, 122

agriculture, 152

alternative corporate headquarters, xvii

AMACOM, see American Management Association

ambassadors, 345

American Management Association (AMACOM), 69,

114

American Society for Training and Development

(ASTD), 17, 20, 114

Americans with Disabilities Act (ADA) (1990), 153,

154, 185, 187

anecdotal evaluation, 296, 300

anecdotes, 96

application service provider (ASP) model, 340

appraisals of individual performance, see performance

appraisals

appreciative inquiry (AI), 77

‘‘Ask, formulate, and establish’’ approach, 132,

136, 138

assessment(s)

with assessment centers, 221–222

of current practices, 98–104

of current problems, 96–97

full-circle, multirater, see full-circle, multirater

assessments

of future individual potential, 80

of future work/people requirements, 80

391

of individual potential, see individual potential

assessments

of performance, see performance appraisals

of present work/people requirements, 80,

184–189

with work portfolios, 222–224

assessment centers, 221–222

Austin, Michael J., on reason for transition,

343–344

automated talent inventory systems, 289

average performers, 84

avoidable turnover, 228

awareness building, 126

awareness stage, 119, 121

balance, work/family, 323

Bardach, Eugene, on work of dirty-minded implementors,

348

Barr, Michael, 354–360

Baumrin, Sara, on dismissals, 343

behavioral event interviewing, 90

behaviorally anchored rating scales (BARS),

197–198

behavior level of training, 293–294

Bell, Charlie, 14, 15

Ben & Jerry’s, 70

best practices, 31–32, 113–118

best-practice SP&M programs, xxiii

blackbox, 119

bonus plans, 122–123

Boston Consulting Group, 213

bottom-line value, 105–107

bottom-up approach, 30, 32

Brache, A., 258

Brown, Ron, 16, 67

‘‘bureaucratic kinship system,’’ 19

business case for SP&M, 333–334

Business Decisions, Inc., 273

business process reengineering, 258

Calhoun, David, 12

Camp, Robert C., on benchmarking, 113

Cantalupo, Jim, 14, 15

career development, 323–327

career maps, 36

career path meetings, 75

career planning meetings, 75

Carlisle, Kenneth E., on job/task analysis, 185

catastrophe, 16

392 INDEX

Champy, James, on business process reengineering,

258

change agents, 119–120

Chief Executive magazine, 32

childbirth, 151

children, 154

China, 49, 318, 319

citizenship, 152

Civil Rights Act (1964), 149, 151, 154

civil service systems, 51, 321–322

clarification of high-level replacement needs, 57

Click XG Workforce, 273

‘‘cloning the incumbent,’’ 258

closed communication strategy, 159

closed SP&M, 34

Coca-Cola, 15, 114

codes of conduct, 49

Cohen Machinery Co., 360

collective bargaining, 148

collectivistic cultures, 49

Collins, Jim, on good-to-great, 354, 359

combination approach, 32–33

committees, 162

communication, 157–160, 361

communication strategy, 147, 154

company-specific competency models, 287

The Competence Expert, 286

competency assessment, 82

Competency Coach for Windows, 286

competency development strategies, 86–89

competitive job searches, 51

competitive skill inventories of high-potential

workers outside organization, 38–39

complex methods, 272–273

conditions, learning, 238

conference calls, 280, 283

Congressional Accountability Act (1995), 154

consultants, 240, 242, 312, 361–362

consulting, 39

content (term), 135

continuous SP&M, 33, 70

contractors, 148–151, 153

Contract Work Hours Safety Standards Act (1962),

149

Cooper, Kenneth Carlton, 286

coordinative role, 142

coordinators, 161, 162

Corning, 233

corporate culture-specific development strategy,

87–89

corporate governance crisis, xix

corporate headquarters, alternative, xvii

corporate politics, 69, 72–73

cost-benefit analysis, 107

Council of Institutional Investors, 122

counseling managers, 172–174

cover letters, 101

creativity, 17

crises, 96, 104

criteria, learning, 238

critical incident analysis, 215

criticality, 265–266

critical questioning, 58

critical turnover, 24, 228, 314

cross-gender mentoring, 255

crown prince phenomenon, 157, 322

cultural differences, 47–50

culture, corporate, see corporate culture

customer satisfaction, 294

DACUM method, see Developing A Curriculum

method

Daft, Douglas, 15

Davis-Bacon Act (1931), 148

deadwood, 214–215

death, 14–15, 16

dedicated responsibility, 57

Deegan, Arthur X., II, on selection of key position,

235

degree programs, 245, 247

delegating down, 313

delegating up, 313

Deloitte, 313

Deming, W. Edwards, on employee performance

appraisals, 193

demographic changes, xviii, xx–xxi, 45, 318

demotion (moving people down in organization),

36

department managers, 336

departures, 314

derailment competency studies, 84

Descriptions Now!, 284

Developing A Curriculum (DACUM) method,

187–189

developmental dilemma, 255

developmental gaps, 80, 287–288

development in current position, 37

development meetings, 75, 231

dimensions/activity rating approach, 197

Dinkins, David, 350

direct expenses, 107

direct training, 171

‘‘dirty-minded implementors,’’ 348

disabilities, 150, 153

disasters, xvii

discretion, amount of individual, 34–35

discrimination, 72, 149, 150, 152, 153

Disney, 122

dissatisfaction sources, 314

dissemination, degree of, 34

diversity, 19, 27–28, 36

divisional meetings, 75

document distribution, 279

document storage and retrieval, 279

Dole Food Company Inc., 337–341

domain, 119

domino effect, 312

Dormant, Diane, 118, 119

dossiers, 223

double loop learning, 13

Dow Chemical Company, 70–72, 233

downsizing, 18–19, 29, 36, 45, 46

Drotter, Stephen J., on lack of mission clarification,

130

Drucker, Peter, on tomorrow’s management, xxii

dual career ladders, 37

early tracking systems, 314

Economic Dislocation and Worker Adjustment Assistance

Act (1988), 153

education, employee, 24–25

education meetings, 75

effective placements, 294

Eisner, Michael, 122

Index 393

elderly people, 318

e-learning, 290

Eli Lilly and Company, 89

elimination of work, 313

e-mail surveys, 101

employee buyouts, 36

employee development programs, xxiii, 25

employee hoarding, 234

employee performance appraisal meetings, 75

Employee Polygraph Protection Act (1988), 153

Employee Retirement Income Security Act (ERISA)

(1974), 151

employee rights, 148

Employers Reinsurance, 12

Employment and Training Administration, 152

employment contract, 46

employment laws, 145, 147–154

Employment Standards Administration, 153

empowered individual potential assessments,

220–221

enthusiasm, 291

entry (moving people into organization), 35–36

environmental scanning, 204, 205

Equal Employment Opportunity Commission

(EEOC), 145, 147, 149–151, 153, 154

Equal Pay Act (1963), 149

Ernest, Elaine H., 354–360

essential job function, 185

Estate Archetypes Inc., 363

ethics, 328

ethics programs, 49

Europe, 50

evaluation

of learning and outcomes, 242–244

of SP&M, 81

evaluation of SP&M, 292–307

anecdotal, 296, 300

definition of, 292

guidelines for, 297–298

hierarchy of, 293–296

interest in, 292–293

key questions governing, 293

periodic, 301

programmatic, 301–307

technological support for, 290

worksheet for identifying appropriate, 299

evidence of accomplishment, 240

executive coaching, 253

Executive Order 11246 (1965), 149

Executrack, 273

exemplary performers, 84–87, 200–201, 213–215

exit interview systems, 314

expenses, 107

external benchmarking, 56

external talent, 70

external talent pools, 68

‘‘Facilitate interactive debate’’ approach, 135, 138

facilitators’ roles, 128, 129

Fair Labor Standards Act (FLSA) (1947), 148

Family and Medical Leave Act (FMLA) (1991), 154

‘‘family heritage,’’ 50

family psychology, 53

Family Ties program, 350, 351

family/work balance, 323

farm labor, 152

Farquhar, Katherine, 343, 344

Fayol’s fourteen points of management, 10

Federal Aviation Administration, 338

federal contractors, 148–151, 153

Federal Mediation and Conciliation Service, 151

Federal Senior Executive Service, 343

feedback, 191–192, 252

The Financial Executive, 54

firings, 36

first generation of SP&M, 59, 66

Fitz-enz, Jac, on making case for SP&M, 105

flexible staffing, 266

flexible strategies, 309, 312–317

FMLA (Family and Medical Leave Act) (1991), 154

focused attention, 56

Ford, 52

formal mentoring, 58, 254

Formtool, 290

Fortune magazine, 89

40-hour workweek, 149

fourth generation of SP&M, 68, 147

France, 318, 320

Fredrickson, James W., on dismissals, 343

free-form appraisals, 195

frequently asked questions (FAQs), 331–336

fringe benefits, 150

fully successful performers, 85

Fulmer, Robert M., on best practices, 31

functional meetings, 75

future competency models, 208–210

future competency studies, 84

future individual potential assessment, 80

future key positions, 203–212

future leaders, 31

future of SP&M, 308–330

acquisitions in, 329

career development integration in, 323–327

ethics/values in, 328

flexible strategies in, 309, 312–317

global impact on, 318–321

in government, academia, nonprofits, 321–322

leveraging talent in, 328–329

manager’s role in, 323, 328

openness in, 322

retention policies/procedures integrated in, 314

risk management in, 329

selection decisions integrated in, 328

technological innovations in, 321

work/family balance in, 323

worksheets to structure thinking about, 310–

311, 315–317

future-oriented competency modeling, 286

future-oriented job and task analysis, 207–209

future-oriented rapid results assessment, 210–212

future potential, 57, 189

future rapid results assessment, 209–212

future scenarios, 204, 207, 208

futuring approach, 22, 24

Gallant, Jefferey, on family businesses, 362

gambler’s fallacy, 179

gender, 149

General Electric (GE), 11–13, 15, 114, 233

generalized SP&M, 34

General Motors, 114

generals, 345

generic competency development strategy, 86–87

Genesis award, 71

394 INDEX

Gent, Sir Christopher, 15

Gibney, Jim, 360–361

Giuliani, Rudolph, 350

global assessment, 215, 216

Global Business Network, 286

global impact, 318–321

global issues, 48–50

global rating approach, 196

global recruitment, 313

Goizueta, Roberto, 15

Golden, Karen A., on lack of integration, 112

Goodkind, Labaton, Rudoff & Sucharow, 362

Gordon, Gil E., on succession, 343

governance crisis, xix

governors, 345

Greenberg, Jack, 14

Greenblatt, Milton, on anticipatory stage of succession,

343

greenmail, 322

Greensboro Regional Realtors Association (GRRA),

354–360

Gridley, John D., on growing importance of HRP,

24

group process, 232

groupware, 280, 286

‘‘guerrilla warfare,’’ 170

Haire, M., on types of job movements, 35

halo effect, 72, 215

Hambrick, Donald C., on dismissals, 343

Hammer, Michael, on business process reengineering,

258

hands-on trial stage, 120, 121

hardwiring, 349–350

headcount, 30

health standards, 150

Herzlinger, Regina, on intergenerational equity,

345

Hewitt, 338, 339, 340

Hickey, Will, on negligence of systemic succession

planning, 49

high performers (HiPers), xviii

high-tech methods, 272

Hill, Anita, 255

HiPers (high performers), xviii

HiPos, see high potentials

hiring from outside, 309, 312

‘‘hiring off the street,’’ 35–36

historical studies, 126

Hogan Assessment Systems, 201

‘‘holding themselves for ransom,’’ 158

hole (key position), 181, 228, 229

homosocial reproduction, 19, 182

Honeywell, 12

horizontal advancement, 199

horizontal loading, 37

horn effect, 72, 215

‘‘horror stories,’’ 96

HR information systems (HRIS), 86, 289

HRMS software, 340

HRSoft, 273

HR systems, xix

human capital management (HCM), xviii, 17–18,

86

Human Capital Management (software), 273

human capital management initiatives, 51

Human Resource Management, 343

human resource management (HRM), xxiii

human resource planning (HRP), 24

Human Resource Planning Society, 114

Human Resources Conference, 69

human resource strategy, 111–112

Hunt, James, on coaching, 252

IBM, 114, 209

IDPs, see individual development plans

Immelt, Jeffrey R., 11–13

Immigration and Naturalization Service, 152

Immigration Reform and Control Act (IRCA)

(1986), 152

incentives, 314

incident reports, 296, 300

increased responsibility, 36

indirect expenses, 107

individual development planning, 227

individualists, 49

individual learning plan, 192

individual performance appraisals, see performance

appraisals

individuals, SP&M role of, 336

informal approach, 98–99

informal mentoring, 254

informal surveys, 99–101

infrastructure, 143

in-house training, 166–169, 245, 248

innovation, sustained, 341–352

inplacement, 28, 37

insourcing, 312

institutional memory, xviii, 13, 17

integrated retention policies/procedures, 314

intellectual capital, 25, 46–47

interactive and multimedia distribution and delivery,

280

‘‘interactive debate,’’ 135, 138

interactive methods, 272–273

intergenerational equity, 345

internal development, 242, 244–251

internal promotion policy formulation, 232–235

internal promotions, appropriateness of, 233–234

internal successor development, 227–256

with action learning, 255–256

with coaching, 252

with executive coaching, 253

how-based strategies for, 251

with IDPs, 235–244

with leadership development programs, 251

with mentoring, 253–255

policy formulation for, 232–235

strategies for, 242, 244–251

testing bench strength for, 227–233

what-based strategies for, 244, 250

when-based strategies for, 250

where-based strategies for, 250–251

who-based strategies for, 244

why-based strategies for, 251

internal talent pools, 68

International Society for Performance Improvement

(ISPI), 20

Ivester, Douglas, 15

Jacobs, Carl, 362–363

J.G. Industries, Inc., 360, 361

job analysis, 184, 207–209

job content coaches, 253

Index 395

job description, 184, 283–284

job forecasting, 285–286

job movements, 35–37

job performance, 57

job posting, 36, 234–235

job rotations, 37–39, 74, 245, 250

jobs, positions vs., 184

job security, 151

job sharing, 39

job tenure, xxi

Job Training Partnership Act (1982), 152

joint labor-management activities, 151

Kaihla, Paul, on psychological assessments, 201

Kaiser, Marc, 338, 339

Kanter, Rosabeth Moss, on homosocial reproduction,

19, 182

Katzenbach, Jon R., 347

Kelleher, Herb, 89

Kern, Larry, 339, 341

Kets de Vries, Manfred F. R., on reluctance to deal

with succession planning, 345

key people, loss of, 125–126

key position selection, 235

kickoff meetings, 75, 162–163

Kilts, James, 15

Kirkpatrick, Donald, 293

knowledge management, 46–47

Korn, Lester, on human resource asset base, 18

Korn/Ferry International, 18, 122

Labat, Lisa, on business needs, 339

Labor-Management Cooperation Act (1978), 151

Labor-Management Reporting and Disclosure Act

(Landrum-Griffin Act) (1959), 148–149

labor relations, 151

lateral transfer, 36–37

laws, employment, 145, 147–154

layoffs, 36, 153

leader-driven individual potential assessments,

217, 219

leadership continuity, 35–39

leadership development programs, 251

learning contract, 235

learning evaluation, 242–244

learning level of training, 293

learning needs diagnosis, 235, 238

learning objectives, 238, 239

learning resources, 238–241

learning through action, 255–256

Legal Services Corporations, 343

Leibman, Michael, on dynamic environment, 41

leveraging talent, 328–329

lie detector tests, 153

life insurance, 363

‘‘like me’’ bias, 73

listening, 252

‘‘loaned executives,’’ 313

localization strategy, 320

long-term competencies, 58

long-term development, 70

loyalty, 45–46

Mager, Robert F., on learning objectives, 238

Mahler, Walter R., on lack of mission clarification,

130

management by objectives (MBO), 198

management development and compensation

committee (MDCC), 11, 12

management development (MD) programs, xxiii,

xxiv

management track, 37

mandated SP&M, 35

Manzini, Andrew O., on growing importance of

HRP, 24

market-driven approach, 22

Marshall, Thurgood, on being black in America, 27

McClelland, David, on standardized testing, 82

McDonald’s, 14–15

McKenna, Andrew, 14

McLagan’s Flexible Approach, 187

McNerney, James, 11–13

measurement, 71, 105–107

mental tryout stage, 120, 121

mentoring, 58, 245, 249, 253–255, 328, 329,

359–360

mentors, 77, 254

middle management, 18–19, 67–68

Middleton, Robert, on family succession, 361

minimum wage, 148–150

mining industry, 150, 151

modeling behaviors, 252

monarchs, 345

money resources, 238

morale, 28, 36

motivation, 221

Motorola, 38, 114

multiculturalism, 19

multinational corporations (MNCs), 48

musical chairs effect, 312

Myers Briggs Type Indicator (MBTI), 201

Nardelli, Robert, 11–13

National Academy of Public Administration (NAPA),

342–343

National Labor Relations Act (1947), 148

national origin, 149, 152

necessity question, 258–268

need for speed, 42, 44

needs-driven SP&M, 56, 70

Neo, 201

Netmeeting, 280, 283

netphone, 280

network charting, 182–183

New York City Department of Juvenile Justice, 342,

347–351

nondirective roles, 128, 129

noninteractive methods, 272, 273

objectives, strategic, 84

Occupational Safety and Health Act (OSHA) (1970),

150

Occupational Safety and Health Administration,

150

off-the-job degree programs, 245, 247

off-the-job public seminars, 245, 247, 248

older workers, 318–319

Older Workers Benefit Protection Act (1990), 154

ONet, 284

online methods, 272, 321

on-site degree programs, 245, 247

on-the-job training, 245, 248, 249

open communication strategy, 159

openness, 322

396 INDEX

open SP&M, 34

opportunities, seizing, 104–106

Optum, Inc., 224

organizational analysis, 204, 206

Organizational Dynamics, 89

organizational effectiveness, 151

organizational meetings, 75

organizational outcomes, 294

organizational redesign, 37–38

organizational requirements, 108–110

organizational results, 296

organizational strategy, 111

organizational structure, 204

organization chart, 181

OrgPlus, 290

original data collection for policy formulation, 279

Orwell, George, on equality, 50

outsourcing, 38, 265–266, 312

overstaffing, 38

overtime, 39, 148, 149

paperwork, 74–75

participant roles, 129

participation, 56

participative assessment, 219–220

part-time employment, 39

passive roles, 128, 129

patience, 291

Pension and Welfare Benefits Administration, 151,

152

pension plans, 151, 152

PeopleClik, 273

People Manager, 288

‘‘people problems,’’ 173–174

people resources, 238

PeopleTrak, 288

performance, future potential vs. present, 189

performance contract, 235

performance management, 193, 194

Performance Now!, 285

periodic evaluation, 301

periodic review meetings, 163

periodic SP&M, 33

personality assessments, 201

pigeonholing, 72

Pilat, 273

Pilat NAI, 338, 340

plan for improvement, 192

planned job rotation programs, 245, 250

planned mentoring programs, 245, 249

planned on-the-job training, 245, 249

planning, training and, 164–169

plant closures, 153

policy writing, 136–138

politics, corporate, 69, 72–73

population, 318–319

Porter, Gordon, 363

portfolios, work, 222–224

position analysis, 185, 187

potential assessment meetings, 75

potential assessments, individual, see individual

potential assessments

Pregnancy Discrimination Act (PDA) (1978), 151

present competency studies, 84

present job performance, 57

present work requirements, see work requirements

primogeniture, 52

‘‘Prince Charles syndrome,’’ 15

priority setting, 143–147

Private Industry Councils, 152

procedure writing, 136–138, 280, 283

process (term), 135

process coaches, 253

process consultation, 253

process improvement, 258, 265

process redesign, 38

professional positions, 141

profitability, xxii

program coordinators, 161

programmatic evaluation, 301–307

program progress, 294

progress in place (development in current position),

37

promotion (moving people up in organization), 36

promotion from within, 227, 232–234

proposal meetings, 162

prote´ge´s, 254

psychological assessments, 201

public sector case studies, 341–352

purpose statements, see mission statements

Pygmalion effect, 72, 193

question marks (term), 214

quick-fix attitudes, 73

race, 149

Rainey, Hal G., on transition management, 343

Ramanujam, Vasudevan, on lack of integration, 112

rapid results assessment, 189, 209–212

reaction level of training, 293

readiness to assume duties, 233–234

readjustment, 153

reallocating duties within organization, 265

real-time education, 74

recency bias, 72, 215

recognition of positive performance, 252

‘‘Recommend and listen’’ approach, 132–135, 138

‘‘reduction in cycle time,’’ 42

Rehabilitation Act (1973), 150

reinventing retirement, 266, 269, 270

religion, 149

reluctance to ‘‘deal’’ with succession, 344–345

reorganization, 312

replacement charts, 36, 228–230, 290

replacement needs identification, 24–25

replacements, necessity question about, 258–268

researching secondary information, 277–279

resistance to SP&M, 97

resources, learning, 238–241

responsibility, increased, 36

results measurement, 105

retention policies/procedures, 314

retention programs, 45

retention strategies, 25–27, 49

retiree base, 39, 266, 269, 270, 314

retirement age, 45

retirement benefits, 151

retirement dates, 20, 104, 125

retirement eligibility, 125

retraining, 153

retreats, 160–162, 347–348

return-on-investment (ROI), 334

Revans, Reg, 255

rewards, 46, 328

Index 397

Rhodes, Frank, 12, 13

rifle approach, 24

‘‘right to sue’’ letters, 147

risk analysis, 20, 125–126

risk management, 16, 329

role clarification, 142

role incumbents (role senders), 127, 128

role receivers, 127, 128

roles

of CEOs/managers, 142

clarifying program, 126–130

of HR department, 142–143

of individuals, 143

of stakeholders, 143

understanding, 126–128

role senders (role incumbents), 127, 128

role theory, 127–130

roll-out approach, 59, 147, 154

Rosen, Ned, on succession, 343

Rothwell, William, on best practices, 32

Rummler, G., 258

safety standards, 150

Sarbanes-Oxley Act (2002), xviii, 49, 122

Sarin, Arun, 15

scandals, xvii–xviii, 47

scenario analysis, 207

scenario planning, 84, 286

Schall, Ellen, 341–354

Schein, Edgar, 253

scope, 33–34

seasonal agricultural workers, 152

secondary information, 277–279

second generation of SP&M, 66, 67

secrecy, 34

security, 329

selection decisions, 328

self-concern stage, 119, 121

seller’s market for skills, 44–45

seminars, 245, 247, 248

seniority, xxi, 234

Senior Leaders Program, 313

September 11, 2001, terrorist attacks, xvii, 16, 329

Service Contract Act (1965), 149–150

seven-pointed star model, 78, 79

sex, 149

shadowing, 182–183

Shiloh Nurseries, 362–363

Silverman, Marc, on family businesses, 361–362

simple methods, 272, 273

site visits, 113–114

skills, seller’s market for, 44–45

Smith, Douglas K., 347

Society for Human Resources Management

(SHRM), 20, 114

Softscape, 273

soft skills technologies, 320–321

Southwest Airlines, 89

specialized SP&M, 33–34

spirituality, 323

sponsors, 58, 254

spouses, 53

stars, 213, 214

Stebbins, Michael, 362–363

stereotyping, 72

strategic alliances, 313

strategic goals and objectives, 84

Strategic Initiatives Inc., 361

strategic planning, xxiii, 20–24

strategic thinking, xxiii

success factor analysis, 215–218

Success Factors (company), 273

Succession (software), 273

succession management, 10

succession planning and management (SP&M), xx,

7–40

at all levels, xxii, 57

amount of individual discretion in, 34–35

and appreciative inquiry, 77

assessing current state of, 95–104

assessment of need for, 1–4

assessment questionnaire for, 64–66

benefits of, xxii, 335

best practices/approaches to, 30–35

business case for, 18–20

characteristics of effective, 56–63

defining, 10, 13

demonstrating need for, 101, 104–107

deploying, 31

direction of, 30, 32–33

dissemination of, 34

GE example of, 11–13

and HCM, 17–18

importance of, 98

interest in, 332

and leadership continuity, 35–39

leadership focus of, xxi

life cycle of, 59, 66–69

McDonald’s example of, 14–15

ministudies of, 7–9

need for, xxii–xxiii

performance appraisals linked to, 194–199

planning component of, 33

problems affecting, 69, 72–76, 334–335

reasons for, 20–30

replacement planning vs., 16

resistance to, 97

scope of, 33–34

talent management vs., 16–17

timing of, 33

workforce planning vs., 16

and WSTC, 76

Succession Pulse, 273

successors, 57

sudden death, 14–15, 16

supervisory positions, 139

supremacy clause (of U.S. Constitution), 145

‘‘survivor’s syndrome,’’ 28

‘‘sustained innovation,’’ 341–342

systematic planning, 33

systematic SP&M, 57

Taft-Hartley Act (1947), 148

talent, 13, 70

talent development, xviii

talent inventories, 288–289

talent management, xviii, 16–17

Talent Management (software), 273

talent-pool approach, 51

target group identification, 138–142

task analysis, 184, 207–209

task inventory, 184

team-based management, 74

398 INDEX

technical positions, 37, 141

technical succession planning, xix

technological innovations, 321

technological support, 272–291

applications for, 276

brainstorming worksheet for, 281–282

closing developmental gaps with, 287–288

competency-modeling with, 86

evaluating SP&M program with, 290

formulating policy/procedures/action plans with,

280, 283

future work requirements determination with,

285–286

hierarchy of applications for, 276–282

individual potential assessment with, 287

maintaining talent inventories with, 288–289

for paperwork, 74

performance appraisal with, 284–285

present work requirements assessment with,

283–284

rating form for, 274–276

specialized competencies required for, 290–291

vendors of, 273

temping, 39

temporary replacements, 312

temporary trading of personnel, 38

terminations, 29, 30, 36, 153, see also moving people

out of organization

terrorism, 122

Teslik, Sarah, on Disney SP&M, 122

third generation of SP&M, 67–68, 147

third-party consultants, 162

Thomas, Clarence, 255

360-degree assessments, 77, 86, 287, see also fullcircle,

multirater assessments

time frame (for IDPs), 235

time resources, 238, 240

timing, 33

Title VII of the Civil Rights Act (1964), 149, 151

Tobias, Randall, 89

‘‘Top 20 Companies for Leaders’’ study, 338

top-down approach, 22, 30

top performers, values clarification of, 90–91

Total Quality Management (TQM), 113, 193

trading personnel temporarily, 38, 313

training, education, and developmental meetings,

75

training on SP&M, 164–171

training support, 290

trait rating approach, 196

Trak-IT HR, 289

transfers, 312

‘‘transformational change,’’ 95

triangulation, 183

trust, 220

turbulence, 346–347

two-in-the-box arrangements, 38

unavoidable turnover, 228

Uniform Guidelines on Employee Selection Procedures,

147

union representation, 148

unions, 148–149

United Kingdom, 318, 319

United States, 318

unplanned job rotation programs, 245, 250

unplanned mentoring programs, 245, 249

unplanned on-the-job training, 245, 248

unsystematic planning, 33

uproar method, 180–181

upward mobility, 36

U.S. Agencies Credit Union, 363–365

U.S. Constitution, 145

U.S. Department of Health and Human Services,

150

U.S. Department of Justice, 152

U.S. Department of Labor (DOL), 148–154, 185

U.S. Masters tournament, 12

U.S. Secretary of Commerce, 16, 67

U.S. General Accounting Office, 17–18

vacancy in key position, 180–181

validation of evidence, 240

values, 47, 87, 89–91, 328

values clarification, 87, 89–91

values statements, 89, 199

verified SP&M, 35

vertical advancement, 195, 199

vertical loading, 37

veterans, 151

videoconferencing, 280, 283

Vietnam Era Veterans’ Readjustment Assistance Act

(VEVRAA) (1974), 151

visibility, 73

visual aids, 126

Vizzini, Kelly, on work samples, 224

Vodafone, 15

voluntary suspension programs, 28–29

voluntary turnover, 314

Wage and Hour Division (DOL), 148–150, 152–154

Wagner Act (1947), 148

Warner Electric, 360

Warren Pike Associates, 360–362

Wechsler, Barton, on transition management, 343

Weintraub, Joseph, on coaching, 252

what-based strategies, 244, 250

‘‘what if’’ scenarios, 126

Whistleblower Protection Statutes (1989), 153

who-based strategies, 244

whole systems transformational change (WSTC),

76

wills, 53

W.M. Steele Co., 360

Worker Adjustment and Retraining Notification Act

(WARN) (1988), 153

work/family balance, 323

Workforce Performance Management, 273

workforce planning, xviii, 16, 51

workforce reductions, 29

workhorses, 213–214

workload measurement, 105

workplace learning and performance (WLP), xxiii

work portfolios, 222–224

work processes, 204

work requirements meetings, 75

work samples, 223

written policy and procedures, 136–138

written surveys, 101–104

Xerox, 114

ABOUT THE AUTHOR

William J. Rothwell is Professor-in-Charge of Workforce Education and Development

in the Department of Learning and Performance Systems in the College

of Education on the University Park campus of The Pennsylvania State

University. He leads a graduate emphasis in workplace learning and performance.

He is also President of Rothwell & Associates, Inc. (see www.rothwellassociates.

com), a full-service private consulting firm that specializes in all facets

of succession planning and management and related HR issues.

Rothwell completed a B.A. in English at Illinois State University, an M.A.

(and all courses for the doctorate) in English at the University of Illinois at

Urbana-Champaign, an M.B.A. at the University of Illinois at Springfield, and a

Ph.D. degree with a specialization in employee training at the University of

Illinois at Urbana-Champaign. He holds life accreditation as a Senior Professional

of Human Resources (SPHR) and was the first U.S. citizen awarded

trainer certification (CTDP) by the Canadian Society for Training and Development

(CSTD).

Before entering academe in 1993, Rothwell had twenty years of experience

as an HR practitioner, serving first as Training Director for the Illinois Office of

Auditor General and later as Assistant Vice President and Management Development

Director for The Franklin Life Insurance Company, at that time a

wholly owned subsidiary of a Fortune 50 multinational company.

Best-known for his extensive and high-profile work in succession management,

Rothwell is a frequent speaker or keynoter at conferences and seminars

around the world. He has authored, coauthored, edited, or coedited numerous

books, book chapters, and articles. Among his most recent publications

are Beyond Training and Development, 2nd ed. (AMACOM, 2005), Practicing

Organization Development, 2nd ed. (Pfeiffer, 2005), the current ASTD competency

study to define the workplace learning and performance field entitled

Mapping the Future (with P. Bernthal and others, ASTD, 2004), Competency-

Based Human Resource Management (with D. Dubois, Davies-Black, 2004),

Linking Training to Performance (with P. Gerity and E. Gaertner, American

Association of Community Colleges, 2004), The Strategic Development of Talent

(with H. Kazanas, HRD Press, 2004), Mastering the Instructional Design

Process, 3rd ed. (with H. Kazanas, Pfefifer, 2004), Improving On-The-Job Train-

399

400 ABOUT THE AUTHOR

ing, 2nd ed. (with H. Kazanas, Pfeiffer, 2004), What CEOs Expect from Corporate

Training: Building Workplace Learning and Performance Initiatives That

Advance Organizational Goals (with J. Lindholm and W. Wallick, AMACOM,

2003), Planning and Managing Human Resources, 2nd ed. (withH.C. Kazanas,

HRD Press, 2003), Creating Sales Training and Development Programs: A

Competency-Based Approach to Building Sales Ability (with W. Donahue and

J. Park, Greenwood Press, 2002), The Workplace Learner: How to Align Training

Initiatives with Individual Learning Competencies (AMACOM, 2002), and

Building Effective Technical Training: How to Develop Hard Skills Within Organizations

(with J. Benkowski, Pfeiffer, 2002).

Rothwell is the U.S. editor of the International Journal of Training and

Development (Blackwell’s), an academic journal on which he works with editorial

counterparts in Europe and Asia. He is also a book series coeditor, with

Roland Sullivan and Kris Quade, of the Wiley/Jossey-Bass/Pfeiffer book series

Practicing Organization Change and Development; a book series coeditor,

with Rita Richey and Tim Spannaus, of the Wiley/Jossey-Bass/Pfeiffer book series

Using Technology in Training and Learning; and a book series coeditor,

with Victoria Marsick and Andrea Ellinger, of the AMACOM book series Adult

Learning Theory.