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39 APPENDIX J Sample Leadership Succession Management Process • Build executive commitment/alignment to succession Leadership succession management is a process of prepar- ing leaders to meet an organization’s leadership needs over planning. time and is part of a larger strategic talent management – Develop shared understanding, approach intended to engage and develop key people through – Determine talent management needs based on business targeted leadership assessments and development efforts. The strategy, and process outlined in this appendix can be used as a general – Link succession management to achievement of busi- guide. ness success. • Create a steering committee. – Determine criteria for steering committee members Step 1—Strategy, Values, Culture (leadership levels, cross-functional teams, etc.), and – Invite identified executives and facilitate steering com- Align the Succession Management System with organiza- mittee on-boarding. tional strategy, values, and culture. • Create a succession management communication plan (process/methods/content). • Assess/evaluate the organization’s structure, culture, cli- – Communicate Succession Management System (useful mate, work context (determine what those are currently, for creating transparency and guiding overall succession how they are changing, and what the desired future state plan buy-in and leadership development); may be). – Inform all employees of the succession management • Consider the importance of effective leadership at all lev- process (e.g., purpose[s], the steps in this model, crite- els and potential succession planning implications (e.g., is ria for inclusion, participant responsibilities, benefits, there a need to create a culture of shared leadership?). etc.); and • Determine what external/environment factors exist (indus- – Clarify that participation is not a guarantee of advance- try, economics, leadership talent landscape, etc.) that may ment, however, it could increase one’s chances of influence leadership needs. advancement. • Ensure that succession management will be integrated with – Advantages: hiring, performance management, leadership develop- If people know they are in the succession plan, they ment, total rewards, job design, and other elements of tal- are more likely to be committed to the organization; ent management. Transparency builds trust in management, the • Determine who is accountable for successful leadership process, etc.; succession. Leaders initially excluded may perform better in order to gain entry; and Development can be tailored to the exact needs and Step 2—Assess Organizational interests of the participant. Readiness – Disadvantages: Some excluded leaders might become disengaged and Clarify organizational needs/objectives and assess organi- There may be unhealthy competition among leaders zational readiness through interviews, focus groups, or sur- to get into the succession plan. veys of key stakeholders at multiple levels.

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40 Step 3—Define Success Factors • Assess general capabilities/potential (utilize perfor- mance reviews, existing 360 feedback, recommenda- Create a Leadership Competency Model (confirm and/or tions, etc.). enhance framework of leadership behaviors and performance • Assess participant interest, values, career directions, etc. criteria). • Nominate and verify successor candidates. • Hold talent review sessions to calibrate succession manage- • Ensure a functional leadership competency model consists ment activities across the organization. of the behaviors, knowledge, skills, and capabilities • Create succession maps and identify gaps in succession required for success in the leadership role (at all levels). pool. • Leadership competency model will inform: • Manage information (track succession pools/maps using – Succession management nomination criteria, succession management software applications, spread- – Assessment of high potential readiness, sheet, etc.). – Leadership development focus, and – Leadership performance criteria. Step 6—Conduct Individual • Analyze targeted leadership positions by performing the Assessment and Feedback following: – Make the links between the organization’s mission, Gain additional insights into participants’ leadership vision, values, strategic goals and the leadership role(s) strengths and development needs (assess leaders’ current explicit. skills, capabilities, and future potential). – Determine future staffing needs for senior leadership positions. Identify the timeframe for when leadership • Utilize the following recommended assessments/processes roles will be open—consider “horizon mapping.” to better assess and develop potential: – Restructure roles as needed. – Standardized leadership capabilities inventories; – Examine total rewards for each role. – Structured interviews and situational judgment exercises; – Multi-rater (360) assessments; – Leadership development profile/plan/goals/feedback Step 4—Position Analysis metrics; and Map the existing pool of leaders against business strategy – Ongoing one-on-one, peer and group feedback to suc- and identify specific positions critical for succession manage- cession participants. ment and business success. • Integrate information from assessments into overall pro- files and classify leaders relative to readiness for next- • Determine key positions for a strategic leadership succes- level roles (e.g., “ready,” “near-ready,” and “long-term sion plan. potential”). – Identify critical positions with likely vacancies and • Conduct group-level analysis to determine organization- – Consider new positions that will be required in the level leadership strengths and deficits. future. • Create talent map of all stakeholder groups. Step 7—Development Planning – Outline key job families/roles throughout the organiza- and Implementation tion, link to strategic horizons. – Articulate talent objectives for each stakeholder group. Guide high-potential development based on priority needs – Develop high-level talent management plans for each for the individual and the organization. stakeholder group. • Create development plans that link current role, aspired role, and leadership development content. Step 5—Identify High-Potential • Engage participants in development activities (such as Talent Pool and action learning, mentoring, coaching, job shadowing, Succession Mapping time-limited job rotations, task force participation, spe- cial projects/assignments, committee participation, con- Identify individuals who possess the interest and thresh- ferences) and promote external training opportunities old skills/capabilities for performance at the target level of (certificates, etc.). leadership.

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41 Step 8—Monitor Progress & • Track development progress (with mentor and manager— Measure Results individually and as a group). – Utilize 360-degree feedback system and other assess- Create a transparent and measurable succession management ments to guide development. process and conduct ongoing assessments of bench strength. – Prepare an individual development plan that outlines specific activities to develop needed competencies; • Monitor talent readiness and movement (update organi- include a timetable with milestones to assess progress. zationwide succession map periodically). – Track individual progress over time for use with rep- • Regularly communicate changes, updates, and organiza- orting and determining adding or changing develop- tion implications to key stakeholders. mental opportunities (provide individuals with regular • Measure business return derived from leadership develop- feedback). ment investments and movement decisions. • Modify leadership development plans as needed. • Determine key talent metrics that directly impact and ful- • Integrate succession management efforts with other HR/ fill the business strategy; potential metrics include: TM systems. – Retention statistics of key talent, • Create/maintain candidate profiles in succession plan – Advancement of succession participants (percentage of tracker. senior roles filled by succession participants), – Build a database of participants based on leadership – Perceived value of development/succession initiatives potential for “next level,” by key stakeholders, – Regularly monitor skills and needs to determine any – Levels of organization engagement/conduct all-employee gaps and develop plans to meet deficiencies, and engagement survey, – Inventory current and future leadership needs and – Increased innovation (i.e., creation of new business maintain that information for individual and group models and products), and development. – Enhanced productivity and cross-functional • Develop staffing plans to fill gaps in succession pool. collaboration. • Collect/analyze/interpret relevant data to guide ongoing • Place individuals into appropriate positions as openings succession management. arise.

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42 APPENDIX K Success Profile Template JOB TITLE JOB REPORTS TO (Manager Title(s) / Direct & Dotted) CEO BOARD OF DIRECTORS LEAD JOB BAND (circle one) STATUS PREPARED BY Self Exempt Full-Time Non-Exempt Part-Time APPROVED BY Self JOB CODE DEPARTMENT DATE PREPARED N/A EXECUTIVE MISSION: A one sentence, motivating description of “why” the position exists. The purpose of the job. How the job adds value. This role exists to provide strategic direction and leadership for OSI as well as develop market and sell OSI products and services. The role also provides senior consulting and facilitation services to key clients. CORE ACCOUNTABILITIES:Up to 10 (preferably 5-7) principal responsibilities with expected results. List percentage weight (10% minimum) for each. KEY ACCOUNTABILITIES/ OUTCOME/RESULT % OF JOB RESPONSIBILITIES 20% Business Development: Marketing and Selling OSI New Business Products and Services 15% Strategy Development/Leadership Clear Future Direction 10% Staff Development Exceptionally Competent Staff 40% Consulting/Facilitating Revenue for Ongoing Overhead and Development Needs 10% Product Development New/Revised Products 5% Admin Organizational Efficiency

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43 CORE JOB COMPETENCIES: List up to 100 competencies from the Polaris Competency Model most required to achieve the core accountabilities for the position (the “how”). Encompass the key dimmensions of overall competencies that collectively distinguish superior from less than superior job performance: knowledge, skills, self-image, values, traits and motives. For appraisal purposes, this is the “short list” of differentiating competencies. For career development applications, assessment against a larger dictionary of competencies is important, as long as each position has a unique set of core competencies. © Organization Systems International 2008

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Abbreviations and acronyms used without definitions in TRB publications: AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA Air Transport Association ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S.DOT United States Department of Transportation