Fillable Printable Emergency Succession Planning
Fillable Printable Emergency Succession Planning
Emergency Succession Planning
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The Executive Transition
Initiative would like to thank
the Bob & Linda Davis
Family Foundation for
funding the development of
this toolkit. We are grateful
for your commitment to
sustaining excellence in non
profit leadership in
Milwaukee!
Welcome . . .
No one likes to think about the possible illness, injury or death of a nonprofit Executive Director.
Nevertheless, such a situation can happen. When emergency circumstances do occur, there is an
enormous level of stress experienced by an organization’s staff, board, funders, volunteers and recipients
of service. Without preparation, an unplanned departure can throw an organization into turmoil and lead
to immediate and long term adverse consequences for the organization.
The good news is – your organization can be better prepared.
The purpose of this emergency succession planning toolkit is to
provide you with the information and tools needed to create an
emergency succession plan that is unique to your needs. The toolkit
includes step-by-step guidance, checklists and templates that can be used
to prepare your organization in the event of an unforeseen executive
extended leave or departure.
It is important to note that every organization has its own unique leaders, culture and needs. Therefore, we
encourage you to use the information that best suits your organization, and to modify the tools to address
your specific organizational structure. While we have done our best to summarize the wealth of
information about emergency succession planning that is available on the web. Finally, Powerpoint
presentations are also included to share with Board members, staff and donors.
We welcome your feedback on the emergency succession planning toolkit, and we encourage your
suggestions on additional succession planning tools and templates that may be helpful. We also caution
you to remember that like a strategic plan, an emergency succession plan will evolve over time. It should
be regularly revisited and modified as your organization changes.
We sincerely hope that your organization is never faced with an emergency leadership transition, but if
you are, Executive Transition Initiative stands ready to support you with a wealth of information and
resources and strengthen your organizational response.
Mindy Lubar Price
ETI Project Manager
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Acknowledgements:
This toolkit would not have been possible without the insight and feedback of many nonprofit leaders
who have shared their ideas, their experiences and even their personal stories in the spirit of contributing
to the body of knowledge about nonprofit succession planning.
We would also like to thank the following foundations for their insight and commitment to developing
leadership capacity in nonprofit organizations: the Brico Fund, LLC, for their early and ongoing
leadership in raising awareness about the need for executive transition management; The Bob & Linda
Davis Family Foundation for supporting the development of the Emergency Succession Planning
Toolkit, and the Nonprofit Management Fund in Milwaukee Wisconsin for supporting the development
of the Departure Defined Toolkit and for their commitment to supporting local nonprofits who are
committed to succession planning in their organizations. Also to the Annie E. Casey Foundation for
supporting the evolution of executive transition management in the nonprofit sector.
We would also be remiss if we did not acknowledge the Center for Urban Initiatives and Research at
the University of Wisconsin Milwaukee for their contribution to the 2004 survey about the leadership
landscape in Milwaukee that raised awareness about the important need for nonprofit succession planning
in our community. We would also like to thank the Donor’s Forum of Wisconsin for its early
stewardship in the development of the Executive Transition Initiative and the Greater Milwaukee
Foundation for its commitment to expanding the visibility and reach of the initiative to nonprofit
organizations.
We would especially like to recognize Tim Wolfred at CompassPoint Nonprofit Services for his
stewardship in the development of ETI in Milwaukee, for his support and consultation in the development
of this toolkit, and for his permission to use many of the tools he developed. We would also like to
recognize Tom Adams at TransitionGuides and his colleagues for permission to use their work in the
development of this toolkit and for their ongoing commitment to increasing our knowledge about best
practices in executive succession planning. ETI would also like to acknowledge the contribution of Mindy
Lubar Price from Leading Transitions, LLC for contribution and leadership in raising awareness about
the need for nonprofit succession planning and to Tom Cooper from Write/Ideas for the creation of the
overview and succession planning toolkits.
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Contents in the Emergency Succession Planning Toolkit
In this toolkit, you will find:
Overview of Succession Planning and Emergency Succession Plans
10 Steps To Creating An Emergency Succession Plan
1.
Establish An Emergency Leadership Transition Activation Team
2.
Clarify Board Responsibility
3.
Update Organization Contact Information
4.
Review and Update Job Descriptions
5.
Assign Back-Ups for Critical Executive Job Functions
6.
Cross-Train Management Staff
7.
Address The Impact Of The ED Departure On Staff Milieu
8.
Identify an Acting or Interim ED
9.
Develop a Communication Plan
10.
Develop an Emergency Leadership Transition Policy Statement
Frequently Asked Questions about Emergency Leadership Transitions
Tips for Hiring an Outside Consultant
Resources and Citations
Exhibits
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Leadership
succession planning
is an ongoing
practice based on
defining an
organization’s
strategic vision,
identifying the
leadership and
managerial skills
necessary to carry
out that vision, and
recruiting,
developing and
retaining talented
individuals who
have or who can
develop those skills.
Overview of Succession Planning
When you think about succession planning, you might imagine some
nebulous process that happens in board rooms of big corporations. In the for
profit world, succession planning has traditionally focused on grooming a
successor or heir apparent. Succession planning in the nonprofit world is a
different matter.
It is no surprise that most nonprofit organizations do not have a succession
plan in place. Small and medium size nonprofits have as many reasons for
this gap as they have constituents. In nonprofits, planning for organizational
health and sustainability often takes a back seat to efforts to serving your
constituents or influencing social change.
It’s time for nonprofit organizations to change that dynamic.
The Case for Succession Planning: In the fall of 2004, 1,080 nonprofit
Executive Directors in Milwaukee, Waukesha, Washington and Ozaukee
counties were surveyed in order to gather information about the potential
scope and impact of executive leadership turnover over the next five to ten
years, and to inform the further development of strategies to address the
pending shift in leaders. Over 350 nonprofit Executive Directors responded to the survey.
As part of the first national study of leadership transition in the nonprofit sector, the Milwaukee area
survey was one of 24 conducted nationwide. The local study was sponsored by the Greater Milwaukee
Foundation, in cooperation with Donors Forum of Wisconsin, Center for Urban Initiatives and
Research, the Helen Bader Institute for Nonprofit Management, and the University of Wisconsin
Milwaukee, in collaboration with the Annie E. Casey Foundation.
Results from the survey highlighted the need to address leadership transition issues among nonprofits.
Specifically:
66% of nonprofit organizations surveyed were likely to experience an executive transition within the
next five years, and 26% of those in the next two years. However, of those surveyed, only 1 - 2%
reported having a succession plan in place.
Organizations that had founding Executive Directors were even less likely to have a plan in place. In
addition, most organizations surveyed approach executive change from a search and hire framework
as opposed to a more comprehensive transition management approach that emphasizes thoughtful
succession planning.
55% of the current nonprofit executives were over 50 years old.
84% of responding executives were white, 11% African American and 1.4% Hispanic/Latino.
Only 33% of responding organizations had a deputy director.
What is Succession Planning? Leadership succession planning is an ongoing practice that is focused on
defining an organization’s strategic vision, identifying the leadership and managerial skills necessary to
carry out that vision, and recruiting, developing and retaining talented individuals who have or who can
develop those skills. Ideally, leadership succession planning will include the following components:
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Emergency Succession Planning – A thoughtfully prepared plan to address an unanticipated
departure of an Executive Director, usually occurring with only a few days or weeks notice.
Emergency succession plans ensures the uninterrupted performance of essential executive functions
by outlining steps for the temporary appointment of an acting Executive Director.
Strategic Leadership Planning – An ongoing process that identifies the core competencies, skills
and knowledge needed by your organization in the next five years along with a plan to develop those
competencies in your existing talent or recruit new talent from outside the organization.
Departure Defined Transition Planning – A course of action that board members and Executive
Directors can employ when an executive begins thinking about leaving an organization. Departure
defined transition planning focuses on communicating the transition to staff and stakeholders,
conducting an organizational assessment, building organizational capacity and sustainability,
recruiting and hiring a new executive, and celebrating the transition.
It is important to note that each component of the succession planning process informs the others. The
diagram below highlights how these three components relate collectively to each other and to the
succession planning process.
Succession
Planning
Strategic Leadership
Development
Departure Defined
Transition
Emergency
Succession Plan
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8. Address the
Impact on
Staff Milieu
9. Develop a
Communication
Plan
10.Develop a
Written
Emergency
Leadership
Transition
Plan
1. Establish an
Emergency Plan
Activation Team
2. Clarify Board
Responsibility
3. Update Agency
Contact Information
4. Review and
Update Job
Descriptions
5. Identify
Critical ED
Functions
6. Cross-Train
Key
Management
Staff
7. Identify
an Acting or
Interim ED
Executive
&
Senior
Leadership
&
Board
Emergency Succession Planning:
An emergency succession plan is one that prepares the organization for an unexpected transition.
Emergency succession plans address the following priorities:
Identifying an alternate person(s) to assume executive leadership functions as an interim executive for
a limited period of time.
Clarifying the lines of authority within the organization following a leadership transition
Creating a plan to communicate and educate key stakeholders (internal and external) about the
transition and engage their support.
Unplanned departures can occur for a variety of reasons, including illness, disability, death, or
termination. Because of this, emergency succession plans should include contingencies for:
Short term unplanned absence – typically less than 3 months.
Long-term unplanned absence – typically more than 3 months.
Permanent unplanned absence.
Steps in Creating an Emergency Succession Plan: With the help of some of the leading experts in the
field, we have identified the following steps to creating an emergency succession plan your organization.
You may have already completed some of them. Each step is described in detail in this toolkit:
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Reviewing the Plan: It is important to remember that like any organization, your organization will grow
and change over time. Your emergency succession plan should therefore be updated annually to reflect
changes in personnel, board leadership, program development and financial performance of the
organization. We recommend that the Executive Director, senior leadership (if it exists) and Board review
the Emergency Succession plan once per year to make certain that information in the plan (contacts,
contracts, etc.) and subsequent strategies remain current.
Getting it Done/Getting Help: Depending on the size of your organization and how easily you are able
to obtain the information you will need to document, developing an emergency succession plan can take
between, 5 hours and 45 hours. In many organizations, the development of an emergency succession plan
will take place over a period of several months. Ideally, the plan should be developed in collaboration
with a minimum of two board members (e.g. the board Chair or members of the board’s personnel
committee.) Each component of the plan should be reviewed by the full board, formally adopted and
noted in the board minutes for later review.
If the prospect of developing an emergency succession plan seems overwhelming to you, consider hiring
an outside consultant. ETI has developed a number of tips for selecting an outside consultant. Smaller
organizations with limited resources may also want to consider using graduate level interns, or applying
for assistance through the local resources like the Trinity Fellows Program at Marquette University or
Lutheran Core Volunteer program.
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“There is no doubt that
nonprofit organizations are
only as effective as their
leadership at the top. It is
critical, therefore, that they be
prepared to move quickly
should the executive director
become incapacitated or
unable to continue in that
position for whatever reason.
This requires some deliberate
and strategic thinking well in
advance to assure
uninterrupted leadership.”
Jim Marks
Program Officer
Greater Milwaukee Foundation
Step #1: Establish an Emergency Leadership Transition Activation Team
How would your organization perform in the event of your unplanned departure?
The first priority in the event of an unplanned executive departure is to make sure organization operations
and services continue uninterrupted. One approach is to create an Emergency Leadership Transition
Activation Team. The team will be charged with ensuring the short-term continuation of agency
operations in the event of an unplanned executive departure. The composition of the team will vary by
organization, but can include a combination of:
Board members—ideally executives who have a strong
history and commitment to the organization.
Organization managers and leaders – natural leaders within
the organization who can move quickly to engage and
motivate staff.
Community stakeholders—collaborators, funders, volunteers
and others who have a strong investment in the organizations
long-term viability.
The size of the team will also vary by organization, but should be
large enough to include a cross-section of diverse perspectives and
experience without being too large to assemble.
The role of the emergency leadership transition team will be to
implement the plan in the event of an unplanned executive departure.
Team members selected should have a strong commitment to the organization and willingness to make a
increased, albeit short-term investment of their time during the early phases of the emergency transition.
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Step #2: Clarify Board Responsibility
Developing clear expectations about the roles and responsibilities of the board is a critical step in
developing an emergency Executive Director succession plan. The days and weeks that follow an
unplanned departure will be filled with many activities and may not provide adequate time to “discuss the
details later.” Because of this, a frank discussion between the executive and the board during the planning
process should address the following questions.
1.
Who on the board will lead the emergency succession plan team?
2.
Who on the board will take responsibility for communication to staff and stakeholders?
3.
Who on the board will lead a search for a consultant to support the transition process, if one is
needed?
4.
How often will the board meet during the weeks and months following an unplanned departure?
5.
Who may appoint the Acting or Interim Executive Director/What process must take place?
6.
What will be the board’s role in oversight and support to the Acting or Interim ED?
7.
What short-term financial oversight mechanisms will be put in place?
8.
Who on the board will lead the executive search process?
9.
What is the board’s policy if a board member is interested in the Acting, Interim or Executive
Director positions?
10.
How will the board be involved in orienting the new interim ED?
Additional Board-level Tasks:
Review organizational by-laws to ensure that the emergency succession plan is not in conflict with
established procedures.
Review the organization’s strategic plan to ensure the emergency succession plan is consistent with
its goals and objectives.
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Step #3: Update Organization Contact Information
Remember your first day on the job? Imagine you are asked to walk into a new organization you have no
history with, knowledge about, no expertise with the recipients or target population, no context, no
contacts and no experience serving.
You’ve just imagined the experience of an external Interim Executive Director.
One of the best gifts you can leave behind for an Acting Director or Interim Executive Director is to
provide him/her with accurate information about who they can contact to assist them in the continuation
of organization operations.
Many executives keep this type of information in their personal planners, Outlook program or Blackberry.
But what if you take that with you? What if your predecessor doesn’t have your password?
Completing an operational inventory of important documents and contact information will ensure that the
person who assumes temporary or permanent responsibility for the Executive Director has the basic
information needed in order to ensure organization operations continue uninterrupted. See Exhibit A for
a Sample Operations Inventory.
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Step #4: Review and Update Job Descriptions
Whether your organization is large or small, updating job descriptions is a task that falls off the radar of
even the most seasoned Executive Directors. Despite this reality, there is never a time when a job
description is needed more than when an Executive is suddenly unable to perform his or her
responsibilities.
Ideally, job descriptions should be reviewed annually and should minimally include updates for everyone
on the senior management team (e.g. Executive Director, Associate Director, COO, and Development
Director) as these are the key personnel that may be identified to temporarily assume key functions of the
Executive Director. Organizational charts should also be updated annually to accurately reflect lines of
authority and responsibility.
A brief audit of organization job descriptions will reveal whether they will fully address the
organization’s needs in the event of an unplanned executive transition.
Job Description Components
:
Does the Executive Director’s job description include a detailed summary of his/her primary
functions? A thorough job description should summarize key responsibilities in each of the following
areas:
Board development
Fundraising
Personnel management and supervision
Fiscal oversight
Program development
Compliance mandates
Contract management
Vendor oversight
Public relations
Volunteer coordination
Do job descriptions for senior management positions clearly outline reporting responsibilities? Is it
clear who each staff position reports to?
Are too many positions reporting to the Executive Director? Are there any staff who are reporting to
someone they shouldn’t be reporting to in order to accommodate ‘personality differences?’ If yes,
how will an unexpected departure of the ED effect lines of reporting?
Do job descriptions clearly state minimum and ideal requirements for each position?
Do job descriptions include a statement that reflects the need for senior staff to temporarily assume
ED functions in the event of an unplanned absence?
Are key job descriptions ready for immediate publication in the event of an unplanned departure?
Compensation Package Review:
Do salary and benefit packages for the Executive Director (and senior staff positions) reflect trends in
the marketplace?
Guidance: If your organization is uncertain about the equity of your salary and benefit packages, a
comparative analysis should be conducted using local data. Transition consultants who specialize in the
nonprofit sector can also provide guidance. These experts can provide a useful guide that can be inform
