1 University of Alberta Succession Planning for Management Staff at a Western Canadian Postsecondary Technical Institute 'JY Barbara Joan Cembrowski A thesis subrnitted to the Faculty of Graduate Studies and Research in partial fulfiilment of the requirements for the degree of Master of Education in Educationai Ad rninis tration Department of Educational Policy S tudies Edmonton, Alberta Fail 1997
2 National Library 1*1 of Canada Acquisitions and Bibliographie Services Bibliothèque nationale du Canada Acquisitions et services bibliographiques 395 Wellington Street 395. rue Wellington ûttawaon KIAOM Ottawa ON K1 A ON4 Canada Canada Yuur 6Jn Voire réléren~~ Our tiie Noire rëfbren~~ The author has granted a nonexclusive licence allowing the National Library of Canada to reproduce, loan, distribute or sell copies of this thesis in microform, paper or electronic fonnats. The author retains ownership of the copyright in this thesis. Neither the thesis nor substantial extracts fiom it may be printed or otherwise reproduced without the author's permission. L'auteur a accordé une licence non exclusive permettant à la Bibliothèque nationale du Canada de reproduire, prêter, distribuer ou vendre des copies de cette thèse sous la forme de microfiche/film, de reproduction sur papier ou sur format électronique. L'auteur conserve la propriété du droit d'auteur qui protège cette thèse. Ni la thèse ni des extraits substantiels de celle-ci ne doivent être imprimés ou autrement reproduits sans son autorisation.
3 Abstract This study examined the perceptions of management staff of their career development in a postsecondary technical institute. More specifically, forms of succession planning that would be most effective for helping management staff to progress to other positions within the technical institute were explorai. These forms of succession planning included (a) administrative intemship prograrn s, (b) emplo yee exchange prograrns, (c) forma1 training programs, (d) job rotation, (e) lateral job movements, (f) mentorship, and (g) secondments. The case study method was used to address the research question. Data were cokcted through sernistnictured interviews with nine management staff and then were analyzed deductively and inductively. The findings of the study indicated that management staff perceived the five most effective forms of succession planning to assist them in progressing within the technical institute to be (a) job rotation, (b) formal training programs, (c) mentorship, (d) secondments, and (e) administrative intemship programs. Recommendations are made regarding how leaders of the future ought to be trained in conjunction with changing environmental forces.
4 Ackoowledgements This study would not have been possible without the support and guidance of many special people: My advisor, Dr. Joe da Costa, who gave unselfishly of his knowledge, time, effort, and fiiendship; Dr. Mike Andrews, who offered his expertise and knowledge on the postsecondary educational environment; Professor Art Deane, who continuously offered his wisdom and kindness; and Professor Kay Devine, who offered feedback and support dong the way. The eight management staff at the Institute who gave of their time to share their expenences; the Institute, which gave me financial support, encouragement, and the time off to go to school and leam. My parents, who instilled in me the desire to leam; and to my husband, Rick, who reminded me to keep a balance in life and encouraged me to play during the time of this study.
5 Table of Contents Chap ter Page I. INTRODUCTION AND STATEMENT OF THE PROBLEM... 1 Furpose of the Study... 1 Identification of the Problem... 2 Research Problem... 2 Sub-Problems... 2 Researcher Beliefs... 3 Definition of Key Words... 4 Limitations and Delimitations... 4 Significance of the Study... 5 Organization of the Thesis REVTEW OF THE LITERATURE..., Lack of Research Succession Planning in Business... 9 Approaches to Replacing Management Staff Types of Learning Forms of Succession Planning Administrative Intemship Programs Employez Exchange Programs Formal Training Program s Job Rotation...., Lateral Job Movernen ts Mentorship Secondments Succession Planning in Secondary Education... 26
6 Chapter Page External Environmental Forces In temal Environ mental Forces Conceptual Framework Inputs...* Process and Influencing Environmental Forces Outputs Feedback Conclusion Summary RESEARCH METHOD... 37ed Research Problem Design Population and Sarnple Consent and Con fidentiality Data Collection Data Analysis Deductive Analysis Inductive Analysis Piiot S tudy Validity, Reliability, and Objectivity Validi ty Reliability Objectivity Summary
7 Chapter Page 4. FINDINGS Research Problem Sub-Problems Method......, Pilot S tudy Findings Deduetive Analy sis Perceptions of Personal Career Success Progression Training and Programs Job Movement Programs Job Progression Programs Inductive Analysis Main Study Findings Context Deductive Analysis Perceptions of Personal Career Success Progression Training and Prograrns Job Movement Programs Job Progression Programs Formal Training Programs The Trading of Positions Mentorship Effective Succession Planning hograms Inductive Anal y sis Fomal Training Experience Intrinsic Qualities
8 Chapter Page Other Factors Feedback Influencing Forces Extemal Environmental Forces Intenial Environmental Forces Summary DISCUSSION OF THE FINDINGS Relationship of the Literanire to the Pilot and Main Study Findings Perception of Personai Career Success Progression Training and Programs Job Movement Prograrns Job Progression Programs Administrative Intemship Programs Employee Exchange Programs Formai Training Programs Job Rotation Lateral Job Movements Mentorship Secondments Framework for Management Staff in Progressing to Other Positions Succession Planning Process Extemal Environmental Forces..., In temal Environ mental Forces Summary
9 Chapter Page 6. CONCLUSIONS. RECOMMENDATIONS. AND REFLECTIONS Overview of the S tudy Research Problem..., Sub Problems...,, Responses and Conclusions to the Research Question Sub-Problem , Sub-ProbIem 2...., Sub-Problern 3..., Sub-Problem Main Research Question Recomrnendations for Practice Recommendations for Theory Inputs Process...,., Outputs Extemal and Intemal Environmental Forces Feedback Conceptuai Framework Refiections REIFERENCES APPENDDÇ A: Invitation to Participate APPENDM B: Interview Schedule for Main Shidy APPENDIX C: Initial Draft of Pilot Interview Schedule APPENDIX D: Final Draft of Pilot Interview Schedule
10 List of Tables Table 1. Perceived Advantages and Disadvantages of Various Forms of Succession Planning (Pilot Sîudy) Demographics of Respondents in Main Study Perceived Advantages and Disadvantages of Various Forms of Succession Planning (Main Study)
11 List of figures Figure Page 1. Conceptual Framework for Succession Planning Framework for Management Staff in Progressing to Other Positions in the Institute (Pilot Study) Framework for Management Staff in Progressing to Other Positions in the Institute (Main Study) The Succession Planning Process Conceptuai Frarnework for Succession Planning From the Findings
12 c m ONE INTRODUCTION AND STATEMENT OF THE PROBLEM Burdett (1993) noted that a paradigm shift is emerging in the management process. This is triggered by competition creating the need for strategic partnerships, business cornplexity requiring management by teams, flatter, leaner organizations yielding fewer managers, and management development demanding individuals who understand the whole business not a single 23-24). In other words, the dynamics in organizations are changing to su~ve the alterations that are brought about by global competition, the "information age," technological advances, and the cornplexhies of doing business today. These changes affect the private and public sectors, including educational institutions. To remain cornpetitive requires a leadership capacity that can be enhanced by an organitation as it helps its people develop to face these challenges. The notion of succession phning centers on this notion of personnel development. According to Hall (1986), succession planning is defïned as identiqing, developing, and nurturing future leaders to candidate status through personal and task learning (p. 235). Its importance was stressed by Burdett (1993), who explained that the problem of recruiting talent in the future, ongoing retirement of talented managers, the high cost of recruitrnent and the challenge of team 23) reinforce the need for succession planning. ln this frame of reference, this study has explored succession planning at a postsecondary technical institution (hereafter refend to as the Imtitute) in Western Canada. Purpose of the Study The purpose of this research was to satiss my cunosity regarding how educators develop their careers in I postsecondary technical institutions. As a person coming from the private sector, I perceived career development as the structural
13 backbone of the culture. This meant that progression and advancement were an integral process tied to motivation, growth, and remuneration. As a management staff member in the private sector, my personal development was planned, progressive, and ongoing. However, now as a postsecondary technical educator, it was unclear to me how careers were developed for management staff in the educational sector. Therefore, it was perceived that career development in the corporate business culture was different fiom Career development in a postsecondary technical institutional culture. In addition, a question existed as to whether there were any structured and deliberate career development and succession planning strategies in place at postsecondary technical institutions. Identification of the Problem A critical issue arising in postsecondary institutions is the experience gap left by retiring key administrators and management staff. This has been exacerbateci by the downsizing of postsecondary institutions, eady retirement options, and an "older age cohort* of administrators. As a result, a notable volume of administrators in the " twilight stage" of their careers has been enticed to exit. This situation has brought to the forefront the lack of "succession planning" for these vacated positions and the ab sence of career developmen t for poten tial administrators. Research Problem The problern statement emerged as a result of informal observations of how management staff progress or do not progress in their careers. The focus of the research problem was to identify forms of succession planning perceived by management staff to be effective for career development at the Institute. Sub-ProbIems Emerging from the general research problem are four sub-questions. These include:
14 3 1. What factors do management staff perceive to have contributed to the success of their careers at the Institute? 2. Are management staff offered any special training or programs to assist them in progressing within the organization? 3. What programs would be helpful in assisting management staff to progress to other positions within the Institute? 4. What mechanisrns are seen to have potentid for helping management staff to progress to other positions within the Institute? Researcher Beiîefs It is expected that the development of succession planning at postsecondary technical institutions results in a "preparednessw for management staff to acquire different job positions through career development. This allows management staff opportunities to leam new skills and to understand the expectations of different job positions. Consequently, there is personal and organizational confidence in the people trained for future jobs. Spoor (1993) highlighted this point by stating that the linleknown Roops Thwry claims that motivated peuple pass their maximum contributions in a job between 18 and 30 months. When that happens the responsibilities of the position rnust change to avoid stagnation (p. 4). This point was further supported by McCaii and Lombardo (1983, cited in Hall, 1986), who stated that individuals should not be aliowed to spend their entire careers in one function. Leaming is created by moving people approxirnately every five years into areas demanding a different set of skiils. This is critical for successful executives (p. 262). 1 believe that succession planning is a means of continual learning and job movement, which nurtures quality performance. Given my beliefs, steps were taken to rninimize their effects during the collection and analysis of the data; these steps are outlined further in Chapter Three.
15 provided. Definition of Key Woràs To ensure clarity of terms used in the study, the following definitions are Succession planning. Succession planning refers to the self-identification or the identification of potential candidates by the organization of individuals who are interested in acquiring new skills and expenence for career progression and advancement within their institutions. Forms of succession olanniog. F om or the mechanisms of succession planning refer to the methods used to aquire new skiiis and knowledge for management staff to enable them to grow and progress in postsecondary institutions while advancing in their careers. These methods include, but are not lirnited to, administrative internship programs, employee exchange programs, formal training programs, job rotation, lateral job movements, mentorship, and secondments. Mana~ement staff. Managemeru staff includes managers and supervisors such as senior officials, deans, and team leaders of divisions and departments. Career development. Career developmenr is some fom of orderly job progression within an organization reflecting individual and institutional motivations and goals. It relies on professional development as a system to develop people's careers in orgmhtions. Limitations and Delimitations Eichelberger (1989) defined limitoron as 'an aspect of the research study that Iirnits the confidence the researcher would have in fulfilling the purpose of the 242). In reference to limitations, this study has limited generdizability because the participants were purposefully selected volunteers who were chosen on the bais of their career success within the Institute. It does, however, have the potential for transferability of the findings to other postsecondary educational settings. To assist the
16 reader in assessing the degree to which the findings transfer to other contexts, a description of the characteristics of the Institute related to succession planning is provided in Chapter Four. Eichelberger (1989) dso defined delimitizfïons as 'those modifications in the research procedure that the research made to increase the quality of the study. A delimitation is usuaüy made to decrease the error, or noise in a study" (p. 243). This investigation addressed only succession planning for management staff; the areas of academic staff and support staff were not addressed in the current study. However, some of the findings may also be applicable to these groups of individuals. Signif~cance of the Study The value of the study is fourfold. First, the study identifies potential research issues in an area that has been largely ignored by educational researchers. This could help to further career developrnent theory. Second, by proposing a mode1 on weer developrnent for management staff in a postsecondary technical institution, this study makes a contribution to literature because it offers a new perspective on the topic of career development. Third, by adapting a mode1 on succession planning, this study provides a different perspective for thinking about career planning. Finally, because this study deals with an issue of imminent concem, it shodd lead to different behaviors in educationd organizations, such as further incorporating the concept of succession planning at postsecondary technical institutions. It discusses an element of career development that requires immediate attention and that needs to be addressed in administrative policy for future planning. Orgadization of the Thesis The balance of this thesis is provided in five chapters. Chapter Two provides a review of the Literature on succession planning. Its focus is primarily on succession planning in the business sector; because of the lack of educational research in
17 6 succession planning, limited reference is made to educationai sources. Chapter Three descnbes the participants and the research method used to acquire and anaiyze the data. Chapter Four descnbes the findings, and Chapter Five provides a discussion of the findings in relation to the literature. Conclusions, recommendations, and personal refi ections are presented in the final chapter.
18 CaAPTER 'Iwo REVIEW OF 'ITE LITERATURE The literature review examines the forms of succession planning and their importance to career development for future administrators in postsecondary educational institutions. First, the review addresses the lack of educational research in the areas of career development and succession planning. Second, it draws on research and knowledge from business institutions that use the concepts of career development and succession planning in their organintions. Third, it explores various foms of succession planning (e.g., administrative internship programs, mentorship, and secondments). Fourth, it discusses how secondary education views and implements succession planning. Finaiiy, it discusses the extemal and intemal environmental influences that surround succession planning in education and the effects that these have on the succession planning process today. Lack of Research To begin with, there is a "gap" or lack of research in the area of career development for educators. Also, the topic of succession planning in postsecondary institutions is given f a too little attention in educational theory and practice. Lamarre and Umpleby (1991) claimed that the authors Greenfield (1984) and Sagaria (1986) agreed that 'too little research has been conducted on the study of careers in education" (p. 2). For example, Sagaria believed that the careers of midlevel administrators are largely unexplored and that iittle is actually known about career opportunities for these individuals in higher-education organizations (p. 8). In addition, Green field (1 984) stated that ' recruitmen t, selection, training, and career and professional developmen t practices in education have not been systematicaiiy studied and do not appear to be well articulated in practice" (p. 33); thus emerges the suggestion that the concept of career development is new to education. Furthermore, Daresh (1986) claimed that with early
19 school administrator retirements, fewer people entering the profession, and an increase in student enroiiment, more needs to be done in the professional development and preparation of school principals (p. 1). Specifically, Anderson (1989) expressed the concern that during the 1990s 'nearly 60 percent of ail current principals in the United States wili retire.... Unfominately, the means by which American principals are trained and selected are often ill-suited to the development and employment of outstanding 6). As a result, there is a lack of knowledge in preparing potential principals for the challenges of educationai leadership. Secondly, Miklos (1988), echoing DeFrahn (l974), Glover (IWO), Hamm (1964), Kelsey and Leuillier (1978), and Stapley (1958), stated that one of the major discrepancies between ideai and actuaî practice in selection policies and procedures is the lack of written policy or explicitly stated procedures. Results of surveys have reveaied that only a minority of districts have written policies or planned programs for identimng and selecting administrators. (p. 54) Thirdly, Miklos (l988), in sharing the perspectives of Chisholm (l98o), DeFrahn (l974), Kahl (l98o), and Storlein (l983), stated that researchers have aiso criticized the low priority and limited resources ailociltecl to recniitment and sekction, the limited preparation and planning for both activities, the restricted involvement in the process, and the extensive reliance on interviews during the assessrnent of candidates. (p. 54) In the postsecondary arena, Lutz (1979) indicated that the search and screening processes for deans ne& to be reexamined and improved (p. 261). In addition, Porter (1982) asserted that the selection of university presidents has no common formula as to its mechanics and specific procedures. There seems to be no disposition to seek 54). On the subject of leadership development opportunities in higher education, Fisher (1987) commented that 'while substantial progress has been made in implementing professional and leadership development opportunities, empirical evidence of the effectiveness and value of the programs continues to elude researchers,
20 primarily because those qualities are so difficult to assessw (p. 423). Again, this hirther emphasizes the lack of research and howledge on this topic. Succession Planning in Business Because there is a Iack of educational research and knowledge in the area of career development in the postsecondary educational arena, the need to refer to other types of organizations is essential. For example, in corporate business organizations, mreer development is the structural backbone of their cultures. This means that the progression and advancement of employees is a built-in process that is tied to motivation, growth, and remuneration. Therefore, reviewing literature in business organizations allows for an understanding of their framework in succession planning. In this way, parailels can be drawn and can be applied to postsecondary educationai institutions. To begin with, Spoor (1993) explained succession planning by stating that an organization's succession plan identifies individuals who either possess or are in the process of acquiring the requisite key skills and experience for effective performance in a particular position. Most plans also provide a means to identify candidate development and training needs, as well as each person's estimated state of readiness for a specific position. (p. 4) Also, Spoor believed that operating without a ment and basic succession plan no longer is acceptable for organizations cornmitted to su~val in today 's environment. Succession planning must be a part of integrated strategic planning activities for both HR (Human Resources) and line management (p. 4). On the other hand, Rhodes (1988) explainai succession planning by its impact over the past few decades. He clairned that succession planning came of age in the late 1960s and early 1970s, when leading-edge companies adopted formai succession planning methods that included assessing the performance and potential of a group of taiented employees, planning their movement through the organization, and establishing detailed developrnental plans. The late 1970s brought widespread acceptance of the notion that companies should define specific executive developmental plans for developmental purposes. The
21 1980s provided the software to manage the huge amount of data accurnulated for succession planning. The 1990s, however, are likely to bring nothing but trouble. (p. 62) In this frame of reference, Rhodes cnticized 'succession and executive development programs on the bais that they cover too many people, rely on tw much data, focus on too many objectives, and rarely produce adequate results for the time and effort 62). Even though there was disagreement between Spoor (1993) and Rhodes (1988) regarding succession planning, it reinforces the complexity and importance of careful strate& planning within organizations if this process is to work. S p r and Rhodes emphasized the importance of keephg the plan simple. In this frame of reference, Spoor and Rhodes agreed that succession planning must be usable and manageable. Spoor claimed that it is necessary to "keep the plan clear and simple fkom the 4); similarly, Rhodes claimed that succession planning must be viewed and structureci as a strategic and tactical process. That means it cannot be cumbersorne, slow and focused on hypothetical situations. Rather, it must be forward looking, flexible, lean, decisive and results-onented (p. 64). In addition, Walker (1992) pointed out that "management succession and development planning is difficult to implernent. A survey by Sibson and Company, Consultants, showed that many companies do not have comprehensive processes for this purpose* (p. 223). The Sibson and Company Perspectives report (1990, cited in WaUcer, 1992) claimed that companies have failed to commit themselves at the most senior management levels to carefûiiy examine the way they recniit, select, develop, and promote their future leaders.... Many companies have fded to gather the nght leaders, in large part due to their inability to develop effective succession planning systems. The result has been a talent drain and subpar performance at the highest Ievels of their organizations at time when critical business challenges are facing virtually all companies. (p. 223) Walker further wntended that
22 the key factors in implementing the process are policies and systems that wiii make succession planhg part of the ongoing management process, and attitude shifts in support of developmentd objectives. Tools need to be practical and results-oriented, tailored to fit the style of management and characteristics of the organization. (p. 223) Walker's contention summarued the difficulty of implernenting worthwhile succession plans that are pertinent and fit with the needs of the organization. Therefore, it is important to understand the concept of succession planning so that the organization does not get lost in its process. Hall (1986) further added to Waiker's concerns of working with succession plans by stating that even though time is spent in developing succession plans, top executives don't pay attention to them because these individuals have come through the ranks of engineering or finance and are accustomed to working with quantitative, objective data. They are not cornfortable with more subjective evaluations of people that are contained in management reviews and reviews tend to be discounted (p. 237). In addition, Hall identified another probtem in working with succession plans. He said that top management often lack the confidence about the kinds of executive skills that the organization will require in the future. Therefore, there is the problem of comrnitting major human resources to the strategic plan ( p. 238). Finaiiy, Hall (1986) was dso concemed with the issue that top management consciously attempt to identiw the skills executives wili need in the future and in this process they select successon in their own image (p. 239). Argyris (1954) found that top executives tended to systematically recruit and promote a "right" type of person, one similar to their own persona1 style (p. 71). Therefore, Hall concluded this point by stating that information generated by the succession plan on the type of skills required to take the organization forward in the future may be different by present executives and may be ignored because it doesn' t fit with the present style of 239).
23 12 Approaches to Replacing Management Staff According to HaU (1986) and W&er (1992), there are basically three different rnethods used in replacing management staff. These include (a) a one-position staffïng replacement planning, and (c) succession planning. Hall descnbed the one-position sffig approach as a method that is a reactive response to departures, retirements, and disabilities, and deaths. In other words, staffing is done for individual positions at the time they are vacant and it answers the question 'how can we find the best qualified individual for this particular job?" There is Iittle concem for developing the candidate because there is no time to do so. He or she must be ready now to meet the demands of this higher-level position. The specific difficulties in this stage are (a) how do we select from a number of talenteci but unprepared people? and (b) how do we get the person we want to accept this position? (p. 236). As a result, this process has its limitations because it is reactive rather than proactive in resolving the need of replacing management staff in the organization. Hall (1986) explained the second method or replacement planning as a process by which 'senior executives periodically review their top executives and those in the next-lower echelon and agree on two or three backups for each senior dot" (p. 236). Walker (1992) stated that "replacement planning implies continuity of requirements; incumbents will be replaced by individuals with sirnilar skiils and 224). Hall identified this lack of objectivity as a major drawback to the process by claiming that replacement planning is often done subjectively, without establishing clear job descriptions because back-ups are selected by a team of executives who have 'grown-up" in the organization together. They may corne to tacit agreement about the qualifications of candidates, however, the agreement may never be tested against relevant ski11 criteria. The problem is that a limited number of individuals constitute the pool of potential applicants and the 'talent is thin." Not enough people have been
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