R.flak Full Dissertation

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Executive Succession Planning: A Study of Employee Competency Development
Thesis · August 2021

DOI: 10.13140/RG.2.2.20351.48805
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Executive Succession Planning:
A Study of Employee Competency Development
by
Robert Mb. Flak
Rossier School of Education
University of Southern California
A dissertation submitted to the faculty
in partial fulfillment of the requirements for the degree of
Doctor of Education
August 2021
© Copyright by Robert Mb. Flak 2021
All Rights Reserved

The Committee for Robert Mb. Flak certifies the approval of this Dissertation
Dr. Eric Canny
Dr. Kenneth Yates
Dr. Adrian Donato, Committee Chair
Rossier School of Education
University of Southern California
2021
Abstract
This study sought to explore the knowledge-based, motivational, and organizational root causes
preventing Xrante from implementing an executive succession plan. Moreover, this study further
examined the underdevelopment of workplace competencies for employees as potential executive
candidates, as aligned to the ten succession competencies, and their lack of involvement in the
design of the executive succession plan. Clark and Estes’ (2008) gap analysis provided the
conceptual and methodological framework for this study. Through the use of an explanatory
sequential mixed methods design, relationships between knowledge, self-efficacy, value,
attribution, and emotion were investigated. Results from surveys, interviews, and document
analysis identified six verified needs on the problem of practice in the areas of conceptual,
procedural, and metacognitive knowledge, value, and cultural models and settings. The verified
needs were utilized in the selection of evidence-based recommendations for solutions and the
creation of an integrated implementation and evaluation plan using the New World Kirkpatrick
Model (Kirkpatrick & Kirkpatrick, 2016). The suggested executive candidate training program in
Chapter 5 informs a potential change initiative towards competency-based employee development
that would feed into the organizational executive succession planning for many following years.
iv
Dedication
To anyone who has ever been told they were not good enough and would never amount to anything.
I hope that someone reading this finds the inspiration to stay the course. NEVER STOP
FIGHTING! Do not let anyone decide your destiny. Rise above the insecurities of others and lack
of support. You can and will win your battle for yourself. You only need to prove it to yourself.
You are strong. You are capable. You are worthy. You are something … and will continue to
become even more. I believe in you and your ability to climb through the storm clouds. Above all,
FIGHT ON my friend!
“Believe you can and you’re halfway there.” - Theodore Roosevelt
“Hard work is worthless for those that don’t believe in themselves.” - Naruto
“Never give up on something that you can’t go a day without thinking about.” - Winston Churchill
v
Acknowledgments
"If I have seen further, it is by standing upon the shoulders of giants” – Sir Isaac Newton.
I am extremely grateful for the commitment displayed by my dissertation committee! It is
only through your mentorship that I was able to finish this program. Dr. Donato – I am deeply
indebted to your dedication as my Chair. You displayed such patience and reassurance throughout
the entire process; even when I was flapping in the wind! You have been a role model for me and
if I ever have the chance to become a Chair; I will be thinking back to your example! Dr. Yates –
I will forever be grateful for your recommendation towards creating the “succession
competencies” as this was a major turning point for my research study. You effortlessly understood
my problem of practice and what was necessary to conduct a research study of worth. Dr. Canny
– You have been inspiring me since the EDUC 725 course from the Fall 2019 term. I have immense
adoration for your perspective and found great value in your analysis of my research focus. You
taught me how to view issues from multiple lenses to create sustainable solutions. I look forward
to working with you on future projects.
Ed Balderas and Hao Pengshung – You were my first friends in Cohort 13, and I love that
we have had near-daily contact since January 2019. You taught me more than you may ever realize.
We have roughed it out through good times, horrible times, and the best and worst of in-class
moments. Thank you for allowing me to be a part of your lives. The best parts of our friendship
are yet to come.
Elana Glasenberg – I have never met anyone more compassionate than you. You are an
amazing person and I have great respect for your research study focused on inclusive education in
Ukraine. I hope to one day be as impactful as you. You were a great voice of reason to me when
vi
my crazy brain got out of control. I love your dedication to education and so many students
throughout your career. Truly, thank you for being my friend.
Kathleen Kane – We became friends near the end of the program when you asked me to
serve as the data collection manager for your dissertation. It was an honor, and I am thankful for
the opportunity. You have an incredible business mind. I always love to hear your perspective on
the human experience and how it relates to successful, sustainable business methods. Thank you
for helping me reframe methods and theories when I was stuck during my writing of chapters four
and five!
Porscha Freeman – In 2017, you catapulted from just another new Army Recruiter I met in
the Army Recruiting Command to my best friend in a matter of roughly eight days (insert Shaq/cat
shimmy GIF here). Despite relocations and the many throes of life’s ups and downs, our friendship
remains rock solid. You helped me decide to pursue this program and told me repeatedly that I
could make it through to the end. Thank you for believing in me!
Diane Zelinski – I graduated high school because of you. The success in my bachelor’s
program, my master’s program, and my earning the title of “Dr. Flak” are inextricably linked to
your untiring dedication as an educator. You will forever be linked to any future success I have in
life. You taught me how to overcome my aversion to traditional education and inspired me to look
at the world from a different perspective. You are the epitome of educational curiosity and value.
I could thank you every day for a year and I still would not have thanked you enough. You are an
incredible woman. Thank you for your example.
My Amazing Family – I want to express so much love and thanks to my family for
supporting me during this program. The completion of my dissertation would not have been
possible without your encouragement. Mom and Dad, you are saints. I owe everything to you and
vii
could not be prouder to be your son. Thank you for indulging me in so many late-night
conversations about this program. You both helped me overcome some dark moments in ways that
only parents could. You are incredible people who have had an immense impact on my life.
To save the best for last, My Gorgeous Wife – Victoria, you are the inspiration of my life.
You have been the driving force behind EVERY success I have had in our 10 years of marriage.
Without you, I would be a much different and less accomplished man. Thank you for pushing me
to apply for, stay in, and finish this program. Thank you for supporting me during the hardest parts
of this program. I love you today the same as I did when I met you, and as I always will!
viii
Table of Contents
Abstract .......................................................................................................................................... iv
Dedication ........................................................................................................................................v
Acknowledgments.......................................................................................................................... vi
List of Tables ................................................................................................................................ xii
List of Figures .............................................................................................................................. xiv
Chapter One: Introduction ...............................................................................................................1
Organizational Context and Mission ...................................................................................1
Organizational Performance Status/Need ............................................................................2
Related Literature.................................................................................................................2
Importance of the Organizational Innovation ......................................................................4
Organizational Performance Goal........................................................................................5
Stakeholders and Stakeholders’ Performance Goals ...........................................................6
Stakeholder for the Study and Stakeholder Performance Gap.............................................6
Purpose of the Project and Questions ..................................................................................7
Methodological Framework .................................................................................................8
Definitions............................................................................................................................8
Organization of the Study ....................................................................................................9
Chapter Two: Review of the Literature .........................................................................................10
Succession Planning Characteristics ..............................................................................................10
Organizational Components of Succession Planning ........................................................13
Role of Stakeholder Group of Focus .................................................................................16
Clark and Estes’s (2008) Knowledge, Motivation and Organizational Influences

Framework ...................................................................................................................16
Stakeholder Knowledge, Motivation, and Organizational Influences ...............................17
ix
Conceptual Framework: The Interaction of Stakeholders’ Knowledge and Motivation and
the Organizational Context ..........................................................................................28
Conclusion .........................................................................................................................31
Chapter Three: Methods ................................................................................................................32
Participating Stakeholders .................................................................................................33
Data Collection and Instrumentation .................................................................................36
Data Analysis .....................................................................................................................37
Credibility and Trustworthiness .........................................................................................38
Validity and Reliability ......................................................................................................39
Ethics..................................................................................................................................39
Limitations and Delimitations............................................................................................41
Chapter Four: Results and Findings ...............................................................................................43
Participating Stakeholders .................................................................................................44
Data Validation ..................................................................................................................45
Results and Findings for Knowledge Causes.....................................................................45
Results and Findings for Motivation Causes .....................................................................57
Results and Findings for Organization Causes ..................................................................69
Summary of Validated Influences .....................................................................................77
Conclusion .........................................................................................................................81
Chapter Five: Solutions and Integrated Implementation and Evaluation Plan ..............................82
Organizational Context and Mission .................................................................................82
Organizational Performance Goal......................................................................................83
Description of Stakeholder Groups ....................................................................................83
Goal of the Stakeholder Group for the Study ....................................................................84
Purpose of the Project and Questions ................................................................................85
Introduction and Overview ................................................................................................85
x
Recommendations for Practice to Address KMO Influences ............................................86
Integrated Implementation and Evaluation Plan ................................................................97
Summary ..........................................................................................................................111
Strengths and Weaknesses of the Approach ....................................................................113
Limitations and Delimitations..........................................................................................113
Future Research ...............................................................................................................114
Conclusion .......................................................................................................................115
References ....................................................................................................................................116
Appendix A: Survey Protocol ......................................................................................................131
Appendix B: Interview Protocol ..................................................................................................139
Appendix D: Sample Survey Items Measuring Kirkpatrick Levels 1 and 2................................143
Appendix E: Sample Survey Items Measuring Kirkpatrick Level 3 Drivers ..............................145
Appendix F: Sample Blended Evaluation Items Measuring All Levels of Kirkpatrick ..............146
xi
List of Tables
Table 1 Organizational Mission, Organizational Goal and Stakeholder Performance Goals 6
Table 2 Knowledge Influences, Types, and Assessments for Knowledge Gap Analysis 19
Table 3 Assumed Motivation Influence and Motivational Influence Assessments 24
Table 4 Organizational Influences and Organizational Influence Assessments 28
Table 5 Study Demographic Data 44
Table 6 Degree of Validation of Confirmed Needs (C = confirmed, NC = not confirmed) 78
Table 7 Summary of Results and Findings, Reported as Identified Assets and Validated
Influences 79
Table 8 Summary of Knowledge Influences and Recommendations 87
Table 9 Summary of Motivation Influences and Recommendations 92
Table 10 Summary of Organizational Influences and Recommendations 94
Table 11 Outcomes, Metrics, and Methods for External and Internal Outcomes 99
Table 12 Critical Behaviors, Metrics, Methods, and Timing for Evaluation 100
Table 13 Required Drivers to Support Critical Behaviors of Employees 101
Table 14 Evaluation of the Components of Learning for the Program 107
Table 15 Components to Measure Reactions to the Program 108
Table A1 Question 1 131
xii
Appendix C: Document Analysis Protocol 141
xiii
List of Figures
Figure 1 Interactions Between Knowledge and Motivation within the Organizational Models and
Settings 30
Figure 2 Overview of Knowledge Gaps 46
Figure 3 Factual Knowledge Survey Definitions Accuracy 47
Figure 4 Conceptual Knowledge Survey Accuracy of Benefits Selections 49
Figure 5 Procedural Knowledge Survey Accuracy of Strategy Implementation Selections 52
Figure 6 Metacognitive Knowledge Survey Accuracy of Assessment Selections 55
Figure 7 Survey Competency Value Rankings 58
Figure 8 Interview Competency Value Rankings 59
Figure 9 Survey Self-Efficacy Results 61
Figure 10 Interview Self-Efficacy Partial Results 62
Figure 11 Survey Attribution Results 65
Figure 12 Survey Emotion Results 67
Figure 13 Survey Cultural Model Results 70
Figure 14 Survey Cultural Setting Results 74
xiv
1
Chapter One: Introduction
Executive succession planning is a fast-growing business topic, and yet, it is a largely
defunct process in most organizations. Succession planning is best defined as a process to invest
in the best and highest-performing talent in any leadership role, and implement plans to replace
planned or unexpected outgoing leadership, but especially at or near the top of an organization
(Barnett & Davis, 2008). This study focused on the underperformance of executive succession
planning expectations and the overall lack of an executive succession plan at Xrante. A 2009
survey by the National Association of Corporate Directors revealed that 43% of U.S. public
companies had no formal executive succession plan and that 61% had no chief executive officer
(CEO) emergency replacement plan as well (Miles & Bennett, 2009). Another study in 2010
showed that nearly 50% of surveyed organizations could not immediately name a CEO successor
if the need were to arise (Larcker & Miles, 2010).
Organizational Context and Mission
Xrante (a pseudonym) is a private company based in the eastern United States that provides
administrative research and analysis support to governmental organizations. Xrante stands as the
premier, go-to choice for strategic governmental problem-solving. This firm is led by an executive
director with several key senior-level management roles serving as direct reports. However, there
is no succession plan for the executive director or the senior-level positions. There is also no talent
management system designed to identify potential executive candidates and subsequently groom
them for a transition into senior or executive roles. The mission of Xrante is to provide contracted
governmental strategic problem-solving expertise. Xrante has a unique blend of employees with
roughly 60% of them having past military experience. Employee hiring is heavily process-driven
with various steps, assessments, and interviews, while management selection is mostly from
2
outside the organization instead of inside hire. Xrante has a wide variety of age groups, but the
average age falls between 33 and 50 years old. Xrante is very racially and ethnically diverse, but
Caucasian males still hold the racial majority. There are over 2000 employees and the male/female
ratio is roughly 60/40.
Organizational Performance Status/Need
This is a problem because Xrante currently has no executive succession plan, though they
have a goal for one delineated in the strategic plan. To minimize transitional chaos and uncertainty,
Xrante needs to develop and implement a sustainable executive succession plan. Failure to do so
could result in delays or losses of future contracts and lead to a rapid loss of continuity; thereby
affecting the lives of Xrante clients and employees. Xrante needs a systematically actionable and
sustainable executive succession plan and an established succession framework. Currently, no such
plan (proposed), or framework exists. The gap in performance is 100%.
Related Literature
A research study in 1982 surveyed 1,484 firms and found that fewer than 50% of those
firms engaged in succession planning (Brady et al., 1982). Another study 22 years later in 2004,
found that only 25% of respondent organizations were highly confident that they had sufficient
talent to meet their future growth needs (RHR International, 2004). Two years later, a 2006 global
benchmarking study of more than 4,500 leaders in over 900 organizations found that roughly 55%
had a succession plan (Bernthal & Wellins, 2006). This same study reported that over 33% of these
organizations rated their succession planning systems as ineffective. A similar study that same
year showed that only 19% of surveyed organizations were convinced that their talent management
strategies and efforts were effective (Balaguer et al., 2006). A much later research study by the
Institute for Executive Development and Stanford Business School (Larcker & Saslow, 2014)
3
showed that 46% of executive respondents were grooming a single executive to replace the current
CEO. Furthermore, only 25% of that original 46% reported maintaining a pool of qualified
candidates for CEO succession (Larcker & Saslow, 2014). It is important to notice a repeating
trend across these research studies and respondents that has not gotten better over the years. The
problem has at least stayed the same and in some cases, even gotten worse. A 2005 study in the
Harvard Business Review found that two out of every five new CEOs failed in the first 18 months
(Charan, 2005). Most of the companies of those failing CEOs did not have a succession plan in
place and it generated transitional chaos until a new CEO was installed.
Despite noted shortcomings in succession planning throughout the years, relay succession
planning is the most widely used form of succession planning among organizations (Vancil, 1987,
1988). Relay succession planning is a situation in which the new CEO is selected from within the
organization and becomes the heir apparent of the predecessor for 1 to 2 years before actual
succession (Zhang & Rajagopalan, 2004). But even though relay succession planning is present,
most organizations still do not have a large-scale formal succession plan for senior management
or executives (Naveen, 2006, p. 662). Relay succession generally lacks formality and is hastily
implemented, significantly reducing, or eliminating the chance for actionable learning periods
between the outgoing and incoming executive leader (Cannella & Shen, 2001). Further studies
have shown that even when heirs apparent have been designated through relay succession, over
70% of them do not succeed (Cannella & Shen, 2001; Ciampa & Watkins, 1999; Vancil, 1987).
This is often exacerbated by the fact that upon reaching the critical moment of heir apparent
succession, many of the outgoing CEOs skillfully try to prolong their longevity and power
(Sonnenfeld, 1991). Those that do not succeed have usually been dismissed for “leadership
personality differences” or depart on their own accord to pursue other opportunities upon realizing
4
the lost chance for succession (Levinson, 1974). Formal, intensely thought-out, and strategically
crafted executive succession planning holds major benefits for organizational longevity and can
provide many long-term competitive advantages (Hoffman & Womack, 2011). To create the most
value and return on investment for the organization and its members, the best-serving succession
planning process will be systematic and repeatable and intelligently positioned in the
organization’s annual cycle of business processes (Hedge & Pulakos, 2002).
Importance of the Organizational Innovation
Xrante needs to design and implement an executive succession plan for a variety of reasons.
The lack of executive succession planning represents a larger societal problem of talent
management, sustainable organizational growth, and reputational success. Xrante stands as the
premier choice for strategic governmental problem-solving. However, in the heat and chaos of
executive leadership transition, Xrante may experience shifting goal accomplishment due to loss
of executive direction and inspiration (Santora et al., 2015). This would erase future confidence
from the clients of Xrante and reduce the amount of future governmental business. Well-managed
firms perform significantly better than poorly managed firms and experience higher levels of
productivity, profit, and sales growth (Bloom et al., 2005). Furthermore, a 2006 study revealed
that organizations that had low executive attrition rates also had higher retention programs, which
subsequently resulted in lower hiring and separation costs per employee (Pomeroy, 2006). This
expertly demonstrates that a highly tuned and regulated executive succession plan would cement
Xrante’s strategic organizational goals and increase output.
Achievement of Xrante’s organizational goal is expected to enable streamlined
relationships throughout the world, greater reputational success, and increased sustainability and
continuity throughout the organization. However, failure to meet the organizational goal could set
5
forth a glide slope of chaos amid unexpected transitions and lock Xrante into years of being
reactive rather than proactive. This level of achievement was determined by observation of current
methods of naming executives and senior leaders and by comparing Xrante’s operating styles to
other organizations of comparable size and stature, both in literature and in worldly settings.
Progress will be tracked by comparison studies, projections, failure and succession simulations,
and occasional course-correcting surveys of all stakeholders. Since this performance goal is new
for Xrante and its senior leadership, the performance gap is 100%.
Organizational Performance Goal
By 2021, Xrante will implement an executive succession plan. There are three stakeholders
involved in the achievement of this organizational goal. The first stakeholder group is the Xrante
executive and senior leadership. This group was considered largely due to the focus of their
leadership service and experience. Their perspective on the succession planning process can
provide a top-down perspective not found in the other stakeholder groups. Also, they hold the final
approval authority regarding the selection of candidates to executive and senior leadership roles.
The second stakeholder group is the clients of Xrante. This group was considered because
they have organizational longevity and can provide an external level of expectation management.
Xrante clients have been privy to various leaders over many years that may or may not still be with
the organization. This allows them to carry sets of philosophical “lessons learned” and better
inform the other two stakeholder groups as to what has already been attempted in the past,
successfully or not.
The third group is the stakeholder of focus: the Xrante employees as potential executive
candidates. This focus was selected after consultation with the Xrante director revealed that
employees have relevant insight into competencies necessary for service at the executive level. It
6
was realized that employees’ have unbound access to other employees in the organization and
understand many elements of the organization’s behavior, often in response to leadership decisions
or even indecision. Employees can either build up or destroy organizational leadership and it can
sometimes happen unexpectedly or unknowingly. This study’s inquiry of potential executive
candidates’ intuition and perception is expected to enhance leadership development that informs
the creation and implementation of Xrante’s future executive succession plan.
Stakeholders and Stakeholders’ Performance Goals
Table 1
Organizational Mission, Organizational Goal and Stakeholder Performance Goals
Organizational Mission
The mission of Xrante is to provide contracted governmental strategic problem-solving
expertise.

By 2021, Xrante will implement an executive succession plan.
Senior Leadership Employees Client
By 2021, senior leadership By December 2021, potential By December 2020, clients will
will develop and executive candidates will support establishing key
implement an executive- develop a talent management criteria for future senior
level talent management system designed to identify leaders.
system. qualities necessary for
selection to executive roles.
Stakeholder for the Study and Stakeholder Performance Gap
Xrante employees, as potential executive candidates, were the stakeholder of focus for this
study. While the joint efforts of all stakeholders contributed to the achievement of the
organizational goal of implementing a succession plan, it was critical to understand potential
executive candidates’ needs for their participation in the development of a talent management
system. This decision was made after evidence supported that potential executive candidates offer
7
great insight into the needed competencies and knowledge to perform at executive levels (Kesler,
2002; Rothwell, 2002). Potential executive candidates are highly involved in the pursuit of
achieving the organizational goal and have many roles in implementing the future Xrante executive
succession plan.
Achievement of Xrante’s goal is expected to enable streamlined relationships throughout
the world, greater reputational success, and increased sustainability and continuity throughout the
organization. However, failure to meet the organizational goal could set forth a glide slope of chaos
amid unexpected transitions and lock Xrante into years of being reactive rather than proactive.
This level of achievement was determined by observation of current methods of naming executives
and senior leaders and by comparing Xrante’s operating styles to other organizations of
comparable size and stature, both in literature and in worldly settings. Progress will be tracked by
comparison studies, projections, failure and succession simulations, and occasional course-
correcting surveys of all stakeholders. Since this performance goal is new for Xrante and its senior
leadership, the performance gap is 100%.
Purpose of the Project and Questions
The purpose of this project is to conduct a needs analysis to examine the root causes of the
organizational problem described above, shortcomings in the implementation of executive
succession planning. While a complete needs analysis would focus on all Xrante stakeholders, for
practical purposes the stakeholders to be focused on in this needs analysis are employees as
potential executive candidates. The analysis focused on causes for this problem due to gaps in the
areas of potential executive candidates’ knowledge and skill, and motivation.

8
1. What knowledge, skills, and motivation do potential executive candidates need to develop
a talent management system designed to identify qualities necessary for selection to
executive roles?
2. What is the interaction between organizational culture and context and potential executive
candidates’ knowledge and motivation?
3. What are the recommended knowledge and skills, motivation, and organizational solutions
to meet the needs of potential executive candidates?
Methodological Framework
Clark and Estes’s (2008) gap analysis, a systematic, analytical method that helps to clarify
organizational goals and identify the gap between the actual performance level and the preferred
performance level within an organization, were adapted for needs’ analysis. Assumed knowledge,
motivation, and organizational (KMO) needs were generated based on personal knowledge and
related literature. These needs were validated by using surveys, interviews, document analysis,
and literature review and content analysis. Research-based solutions were recommended and
evaluated comprehensively.
Definitions
• C-Suite: refers to the executive-level managers within a company.
• CEO: chief executive officer.
• Executive: those who manage or direct employees in an organization to influence and
guide these individuals.
• Leadership: used interchangeably to identify executive or senior leadership, but note this
term was only used to classify those leaders that require a formal succession plan.
9
• Senior: a person, or team of individuals at the highest level of management of an
organization who have the day-to-day tasks of managing that organization.
Organization of the Study
Five chapters are used to organize this study. This chapter provided the reader with the key
concepts and terminology commonly found in a discussion about Xrante and executive succession
planning. The organization’s mission, goals, and stakeholders as well as the initial concepts of gap
analysis adapted to needs analysis were introduced. Chapter Two provides a review of the current
literature surrounding the scope of the study. Chapter Three details the assumed causes for this
study as well as methodology when it comes to the choice of participants, data collection, and
analysis. In Chapter Four, the data and results are assessed and analyzed. Chapter Five provides
solutions, based on data and literature, for addressing the needs and closing the performance gap
as well as recommendations for an implementation and evaluation plan for the solutions.
10
Chapter Two: Review of the Literature
Executive succession planning is a necessary concept in any organization across the globe.
Succession planning is best defined as a process to invest in the best and highest-performing talent
in any leadership role, and implement plans to replace planned or unexpected outgoing leadership,
but especially at or near the top of an organization (Barnett & Davis, 2008). A 2009 survey by the
National Association of Corporate Directors revealed that 43% of U.S. public companies had no
formal executive succession plan and that 61% had no CEO emergency replacement plan as well
(Miles & Bennett, 2009). Larcker and Miles (2010) showed that nearly 50% of surveyed
organizations could not immediately name a CEO successor if the need were to arise.
This study focused on the underperformance in the establishment and implementation of
executive succession planning expectations. In this chapter, a review takes place of the existing
literature surrounding executive succession planning. Then there is a review of the role of
employees in executive succession planning, followed by the explanation of the KMO influences’
lens used in this study. Next, attention turns to the executive KMO influences and the chapter
completes with the presentation of the conceptual framework.
Succession Planning Characteristics
The following three characteristics of succession planning follow: succession planning
methods, relay succession and implementation failure, and identifying leader competencies.
Succession Planning Methods
Succession planning is not a new idea; however, it is not employed as much as thought and
typically falls to relay succession, which is not wholly reliable. Many Fortune 500 companies fail
to design a CEO succession plan (Santora, 2004). Some of those companies that have enough
foresight to plan for a successor, still often encounter problems during the implementation stages
11
of a succession plan (Charan, 2005; Miles & Larcker, 2010). All corporate board members and
CEOs should list CEO succession as one of their top priorities (Santora, 2004). It is important to
carefully consider both inside and outside hiring decisions to best serve organizational continuity
during unforeseen circumstances (Daum, 1975; Giambatista, 2004; Helmich & Brown, 1972; Shen
& Cannella, 2002). Although outside CEO successors bring in new competencies and skills
(Kesner & Sebora, 1994), they can also be disruptive from a process standpoint resulting in
reduced productivity and organizational performance (Zhang & Rajagopalan, 2004).
Three methods of succession planning exist: external hire, internal horse race, and relay
succession (Vancil, 1987). Vancil (1987) highlighted the differences of the three succession
planning types: an external hire recruits and selects someone from outside of the organization, the
internal horse race identifies several internal candidates and makes them compete, and relay
succession is the selection of a single heir apparent that will assume the CEO role when the
incumbent steps down.
Relay Succession
The most common form of succession planning is called relay succession (Vancil, 1987).
In a relay succession, the heir apparent is selected years ahead of the transition into the CEO role
and is groomed by the outgoing CEO (Vancil, 1987). The heir apparent uses grooming time to
build familiarity with competitive environments and build support among the board of directors
and key executives (Santora, 2004). The existence of relay succession plans and an heir apparent
provide “backup leadership” if the incumbent CEO is unexpectedly incapacitated. Strong pre-
succession firm performance increases the likelihood of relay succession and decreases the
likelihood of outside succession (Kesner & Sebora, 1994; Zhang & Rajagopalan, 2004).
Designating an heir apparent can signal stability to stakeholders because it shows that the transfer
12
of executive power is under control (Cannella & Lubatkin, 1993). However, sometimes CEO
entrenchment derails relay succession planning.
Relay Succession and Implementation Failure
Appointment of an heir apparent can create a complicated situation for incumbent CEOs
due to expectations of managing the succession process and responsibility for grooming the
successor (Cannella & Shen, 2001; Vancil, 1987). CEOs use their power to pursue personal
interests and to retain their positions even when firm performance is poor (Cannella & Shen, 2001).
The positive effects of relay succession wither quickly during an unexpected CEO entrenchment
(Santora, 2004). CEOs entrench without consequence due to power over captive boards of
directors (Cornforth, 2002; Zhao, 2013). Carefully constructed CEO employment contracts can
reduce the chance of CEO entrenchments (Zhao, 2013). CEO entrenchment drastically reduces the
effectiveness of succession planning but can be mitigated through proper CEO employment
contracts and checks and balances within the board of directors’ construct (Muscarella & Zhao,
2012). CEO performance and operational struggles can be strategically planned for by identifying
and further developing their leadership competencies.
Identifying Leader Competencies
Leader competencies are defined as clusters of knowledge, aptitudes, and behaviors needed
to meet on-the-job expectations (Boam & Sparrow, 1992). These leader competencies are
increasingly reliable predictors of successful management performance (Ballesteros-Sánchez et
al., 2019). Rapid change, increasing complexity, the globalization of the world economy, and fluid
organizational structures are the new realities of leadership, which require developed competencies
(Handin & Steinwedel, 2006). Leader competencies are the beliefs and values upon which people
interpret experiences and base their behavior (Pierce, 1994; Shirey, 2007). Once an employee can
13
identify necessary leader competencies, they are on a path of employee engagement that develops
their potential for progression (Dainty, 2005).
Organizational Components of Succession Planning
Though variable components of succession planning exist, this section highlights the two
most critical organizational components of succession planning: employee engagement and
executive development.
Employee Engagement
Employee engagement demonstrates a willingness to be part of the organization’s mission
and success (Harter et al., 2002). Employee engagement means being psychologically present
when occupying and performing an organizational role (Men, 2012). An employee’s perception of
organizational reputation fully mediates the positive relationship between CEO credibility and
employee engagement (Saks, 2006). Employee engagement is an important predictor of employee
job performance (He et al., 2014).
Organizations constantly seek solutions to motivate their employees to be more highly
engaged in their work (Avery et al., 2007; Cole et al., 2012). Employee engagement differs from
and has a stronger performance-enhancing effect than other, similar job-related constructs, such as
job involvement, intrinsic motivation, and job satisfaction (He et al., 2014; Batista-Taran et al.,
2013; Cartwright & Holmes, 2006; Walumbwa et al., 2005). Individuals are strategically engaged
when their behaviors correspond with their organization’s strategy (Gagnon et al., 2008). Strategic
knowledge is a necessary precondition for effectively committing to the organization’s goals.
Employees must possess a global understanding of their organization’s strategy (Gagnon et al.,
2008). Engaged high-performing employees make shortlists for executive development and
14
potential selection to higher roles thereby boosting organizational longevity and providing
potential executive candidates for CEO succession (Harter et al., 2002).
Executive Development
Employees identified as potential executive candidates must be developed to operate in
strategic mind frames. The importance of developing new leaders with fresh ideas is critical, as
organizational structures and long-serving policies are prone to creating like-minded people who
do not respond well to change (Drucker, 1995). To improve an executive development program,
management and potential executive candidates must first be willing to self-reflect (Haveman,
1993; Tichy & Cohen, 1997). Succession planning requires strategic thinking and planning to
match skills and abilities to changing internal and external pressures (Murphy, 2005; Wills, 1992).
Executive development has been an uncertain enterprise, often guided more by hope than
experience (Hollenbeck & McCall, 2003). A survey of the U.S. Fortune 500 firms found that
although companies rated “competent global leaders” ahead of all other business needs for the
future, nearly all (85%) did not think they had enough global executives to carry out their strategies
(Gregersen et al., 1998). Despite prevalence in human resources models, executive development
efforts have not prevailed in the executive suite (Hollenbeck & McCall, 2003). Employees
identified potential executive candidates need sustainable development and constant assessment
to rise above industry acceptance of executive leadership shortages (Schein, 1996). Executives
require constant assessment and reassessment of competencies and continued development to
prevent leadership ruts or CEO failures (Sorcher & Brant, 2002).
Effect of Forecasting on Organizational Continuity
Planning and forecasting have unique ties to succession planning and also manifest
themselves through the CEO and board of directors’ interactions. Succession planning is both a
15
development activity and a management instrument for achieving organizational sustainability
through strategic planning (Ugoani, 2020). Sound organizational planning functions drive
effective strategic human resource management policies that enhance talent and career
development (Paarlberg & Perry, 2007). Boards of directors are more likely to replace their CEO
if management forecast outcomes indicate that the CEO lacks the ability to anticipate future
changes (Lee et al., 2012). The accuracy of forecasts issued by the firm reflects the managerial
ability of the CEO (Trueman, 1986). CEO succession is inevitable in a firm’s life cycle (Finkelstein
et al., 2009). Research traditionally conceptualizes CEO succession as primarily influenced by the
outgoing CEO (Zajac & Westphal, 1996) or fraught with tension between the CEO and the board
of directors (Schepker et al., 2018). Some boards face a difficult task in managing CEO succession
processes because they lack in-depth knowledge of the firm and its executives (Schepker et al.,
2018). Strategic planning and forecasting are connected to succession planning and provide ties to
interactions with the board of directors and organizational performance (Gillespie & Zweig, 2010;
Hinsz et al., 1997; Withers et al., 2012).
Balance of Power and Succession Planning
Organizational boards of directors and CEOs often have conflicting views and goals when
it comes to the function of succession planning (Schepker et al., 2018). The stark contrast is that
boards try to increase the number of candidates evaluated while outgoing CEOs try to decrease the
number of candidates evaluated (Khurana, 2004). If a board is successful in establishing a process
to conduct an exhaustive search for a new CEO, they may be able to limit CEO influence (Schepker
et al., 2018). Chief executive officers try to limit the decision-making process of the board on the
new CEO because they do not generally have the same level of the firm’s operations. In that sense,
the CEO thinks his/her opinion is farther reaching and valid (Carter & Lorsch, 2004). In light of
16
the leadership tension, boards find great value in the participation of potential executive candidates
in the succession planning process (Cascio & Aguinis, 2011; Seijts et al., 2020; Tziner & Birati,
2015).
Role of Stakeholder Group of Focus
Employees, as potential executive candidates, are the stakeholder group of focus for this
study. The Xrante human resources director established employees as the stakeholder of focus
after realizing that they have relevant insight into competencies necessary for service at the
executive level. Employees have access to other employees in the organization and understand
many elements of the organization’s behavior, often in response to leadership decisions and
indecisions. This study’s inquiry of potential executive candidates’ intuition and perception are
expected to enhance leadership development that informs the creation and implementation of
Xrante’s future executive succession plan. In the Clark and Estes (2008) gap analysis that follows,
the potential executive candidates’ knowledge and motivation barriers to executive succession
planning are studied alongside the broader organizational and cultural barriers that prevent their
participation.
Clark and Estes’s (2008) Knowledge, Motivation and Organizational Influences
Framework
The Clark and Estes (2008) gap analysis framework is perfectly suited to study stakeholder
performance within an organization due to its innate problem-solving process. This problem-
solving process is based on (a) understanding stakeholder goals concerning the organizational goal,
and (b) identifying assumed performance influences in the areas of knowledge, motivation, and
organization based on general theory, context-specific literature, and an existing understanding of
the organization. In this study, the Clark and Estes (2008) framework was applied as a needs
17
analysis, innovation model focused on implementing an executive succession plan as an end state.
The next section highlights stakeholder specific KMO assumed influences.
Stakeholder Knowledge, Motivation, and Organizational Influences
There are four categorical types of knowledge: factual, conceptual, procedural, and
metacognitive (Krathwohl, 2002). Declarative knowledge splits into two areas: factual and
conceptual knowledge. These represent things that people know and understand. Procedural
knowledge is the third type, and it highlights the knowledge of how to do something (Rueda, 2011).
This type of knowledge can include skills, techniques, and methods. The last type of knowledge
is metacognitive, and it refers to thinking about thinking (Baker, 2002). Metacognitive knowledge
is knowing and controlling cognition while being able to self-reflect and self-regulate (Flavell,
1977).
Factual Knowledge
Potential Executive Candidates Need to Understand the Necessary Competencies for Service
at the Executive Level
For potential executive candidates to progress, they must be involved in development
programs that help them understand executive functions and competencies (Vito, 2018). These
types of programs can be defined as learning activities that aim to achieve work-related
competencies (Coloma et al., 2012). Developing leadership competence in evidence-driven
processes, facilitation, collaborative teamwork, and instilling a sense of urgency is a function
typically reserved and expected of executive leaders (Malloch & Melnyk, 2013). However, this
expectation needs to be translated into the thought processes surrounding education and
performance. The term, “Generation Flux” is a term coined by Fast Company (Safian, 2012) that
refers to individuals, regardless of age, ethnicity, sex, race, or gender, who operate as a new breed
18
of pioneers and are successful because of their ability to roll with the punches and adapt to new
possibilities (Malloch & Melnyk, 2013). Potential executive candidates need to acquire a
“generational flux” attitude and desire towards the competencies of the executive leadership level.
Procedural Knowledge
Potential Executive Candidates Need to Know How to Seek Out Career Development
Career development builds on the necessary skills and competencies needed to grow into
an executive role. Potential executive candidates need to know what the next steps are and how to
achieve them. Organizations must invest in potential executive candidate career progression efforts
which make them want to reciprocate by focusing their efforts on organizational goals (Ali et al.,
2019). Research shows that career development is a critical element that facilitates individual goal
achievement (Kraimer et al., 2011). Development and developmental activities can generate
positive career attitudes and pride which could translate into improved overall performance
(Amundsen & Martinsen, 2015). This improved performance will put them in a higher light with
superiors and in turn generate more praise and future developmental opportunities. The intent of
career development aims to offer diversified mobility (van der Heijden et al., 2008). Career
development is an individual-focused strategy that can enhance potential executive candidates as
well as an organizational performance by providing training opportunities (Holbeche, 2009).
Potential executive candidates need to know that their performance is observed (Shields, 2007).
Additionally, potential executive candidates need access to succession planning models and
instructional content geared towards confidence enhancement on the organizational career
development process (Gordon & Overbey, 2018).

19
Metacognitive Knowledge
Potential Executive Candidates Need to Reflect on Lessons Learned from their Mistakes
Organizations have realized the importance of addressing the learning needs of potential
executive candidates (Rowden, 2007; Shipton et al., 2002). Likewise, potential executive
candidates need to reflect on the lessons learned on their mistakes as it helps them respond to
changes in job responsibilities, work processes, and any other issues that could generate obstacles
to meeting organizational expectations (Ellstrom, 2001; McCauley et al., 1994; Poell et al., 2004).
Organizations can help potential executive candidates reflect on lessons learned from their
mistakes and share those lessons with the workforce by enabling informal learning activities
including talking and sharing ideas, job training collaborations, job rotations, observing others,
and coaching and mentoring (Enos et al., 2003; Koopmans et al., 2006).
Table 2 provides information on the organizational mission, organizational and stakeholder
goals, and the knowledge influences discussed in this chapter. The table showcases samples of
assessments that were used to study the stakeholders’ knowledge.
Table 2
Knowledge Influences, Types, and Assessments for Knowledge Gap Analysis
expertise.
Organizational Goal
Stakeholder Goal
By December 2021, potential executive candidates will develop a talent management system
designed to identify qualities necessary for selection to executive roles.
Knowledge Influence Knowledge Type Knowledge Influence Assessment
20
Potential executive candidates need Factual Survey: “Do you know the definitions
to know the meaning of the of these competencies?”
Succession Competencies
Interview: “Can you tell me what three
of these competencies mean?”
Document Analysis: Review artifacts

for evidence of knowledge of facts,
information, and terminology.
Potential executive candidates need Conceptual Survey: “Do you know the benefits of
to know the benefits of the these competencies to the success of
succession competencies to the the organization?”
organization
Interview: “What are some of the
benefits of these competencies?”

or behaviors for examples of
knowledge of key conceptual
information
Potential executive candidates need Procedural Survey: “Do you know how to
to know how to implement the implement strategies towards
strategies for the Succession achieving these competencies?”
Competencies
Interview: “What are some of the
strategies in achieving the succession
competencies?”

for evidence of the necessary
methods, techniques or steps being
disseminated to employees.
Knowledge Influence Knowledge Type Knowledge Influence Assessment
Potential executive candidates need Metacognitive Survey: “Do you know how to best
to know how to monitor their assess your progress towards
progress towards achieving the achieving these competencies?”
Interview: “Tell me about a time you
used a lesson from your career
experience to inform another
employee in their career aspirations”
Document Analysis: Observe artifacts

for evidence and examples of
employees’ metacognitive
knowledge.
21
Motivation
Clark and Estes (2008) highlighted that motivational issues are another possible root cause
of underperformance on potential executive candidate goal achievement. Motivational issues can
occur during three unique areas of transition: (a) hiring process, (b) after onboarding hiring has
ended, and (c) seeking educational/leadership opportunities and not being selected to attend
(Blumberg & Pringle, 1982; Oldham & Cummings, 1996). Many potential executive candidates
hold a root-level knowledge of their organizational function but are not prepared to take a
leadership role due to a lack of education or experience (McAllister, 1995). This ultimately leads
to a downfall in motivation levels and changes the look of the force when it spreads to other
employees. Following is the literature as it relates to self-efficacy theory, attribution theory, and
goal orientation theory.
Self-Efficacy: Potential Executive Candidates Need to have Confidence in Their Ability to
Succeed
Self-efficacy is an individual’s understanding of their own competence on a task or subject
area (Bandura, 1977). Self-efficacy is developed by four main sources of influence: (a) mastery
experiences, (b) vicarious experiences provided by social models, (c) social persuasion, and (d)
reducing people’s stress reactions (Bandura, 1977). Self-efficacy can be further defined as a
person’s belief about their own capabilities to perform at designated levels of performance that
affect their lives (Bandura, 1977). Self-efficacy furthermore determines how people think, feel,
behave, and even motivate themselves (Bandura, 1977). All of this occurs through four major
processes: cognitive, motivational, affective, and selection (Bandura, 1977).
Success is closely linked to self-efficacy and higher self-efficacy can be associated with
greater job satisfaction and performance, better health, and even academic performance (Bandura,
22
1986; Judge & Bono, 2001; Robbins et al., 2004). Potential executive candidates with low self-
efficacy may believe that they are not competent in their career fields and decide they do not have
the necessary intelligence to help improve the current situation of the organization (Landau, 2009).
The positive influences of high self-efficacy are well documented with empirical support showing
an increase in output (Prussia et al., 1998). Research has shown that the beliefs potential executive
candidates form about themselves have strong implications for their work-related motivation,
attitudes, and behaviors (Pierce et al., 1989). Organizations must realize the importance of helping
to establish higher levels of confidence. Potential executive candidates with high levels of
confidence are more likely to initiate and pursue action and persevere on through to success; but
potential candidates with doubt are less likely to become or remain successful performers
(Stajkovic, 2006).
Attribution Theory: Potential Executive Candidates Believe Their Success or Failure to
Secure an Executive Role is within Their Control
Attribution theory was developed by Bernard Weiner (1974) and is formally defined by
Fiske and Taylor (1991) as dealing with how individuals use the information to arrive at causal
explanations for events. It examines what information is gathered and how it is combined to form
a causal judgment (Fiske & Taylor, 1991). There are three causal dichotomies that individuals
employ to make sense of outcomes: locus (internal or external), controllability, and stability over
time (Weiner, 1974, 1980, 1986). Since the power of attribution as an influencer on motivation
depends only on what a person believes to be true, it is irrelevant if a person correctly assigns
attributions (Meece et al., 2006). If a potential executive candidate believes that ability is pliable
and effort is valuable, that attributes success or failure to internal and controllable conditions
(Hochanadel & Finamore, 2015).

23
Employee engagement is a combination of commitment to the organization and its values
and a willingness to help out colleagues (Savarimuthu & Jothi, 2019). A study by Falcone (2006)
demonstrated that employee engagement is about how a potential executive candidate is
emotionally and intellectually committed to an organizational group. The engaged employee is
always fully participative and enthusiastic about assigned responsibilities (Davies & Davies,
2010). Engaged employees believe they control their actions to move into a potential executive
candidate role. They hold perceptions about career path movements that are based on collectively
shared rules or guidelines for understanding movement within their organization (Metcalf &
Briody, 1995). For potential executive candidates to truly believe their success or failure is in their
control, they must first see evidence of organizational culture and underpinning that is conducive
to that ideology.
Goal Orientation Theory: Potential Executive Candidates Believe They Can Learn From
Their Mistakes While Pursuing a Place in Succession
Goal orientation theory is a social cognitive theory of achievement motivation mostly used
to describe academic motivation (Dweck, 1986; Eison, 1979; Nicholls, 1975, 1976, 1978).
However, goal orientation can be mastery-oriented, relating to improvement and benchmarking
against an individual’s previous performance (Urdan & Mestas, 2006). Goal orientation can also
be performance-oriented, which is driven by competition and comparing oneself to other
individuals (Anderman & Patrick, 2012). Mastery orientation is preferred over performance
orientation because it focuses on true learning and improvement rather than just performing to
appear smart or compete with peers (O’Keefe et al., 2013).
The ability to learn from mistakes and experiences, coupled with career development is
useful in developing executive leadership potential (Spreitzer et al., 1997). A study by Russell and
24
Kuhnert (1992) posits that potential executive candidates vary from one another in learning from
mistakes and experiences due to differences in their construction of meaning (Russell & Kuhnert,
1992). Potential executive candidates must not only learn from their mistakes but actively seek out
learning experiences and opportunities from all facets, whether positive or negative (McCall,
1994). The process of becoming a leader, especially one in executive roles, requires that potential
executive candidates seek out the novel, and sometimes unusual, experience of learning moments
(Bennis, 1989). The root of leadership development and progression is associated with the pains
of learning from mistakes and using the past as a steppingstone (Mumford et al., 2013).
Table 3 provides information on the organizational mission, organizational and stakeholder
goals, and the motivation influences discussed in this chapter. The table showcases samples of
assessments that were used to study the stakeholder’s motivation.
Table 3
Assumed Motivation Influence and Motivational Influence Assessments
expertise.
Organizational Goal
Stakeholder Goal
Assumed Motivation Influences Motivational Influence Assessment
Self-Efficacy Survey: “Rate your confidence in performing each
Potential executive candidates need of the succession competencies right now.”
confidence in their ability to perform the
Succession Competencies. Interview: “How confident do you feel in your
ability to perform these competencies right
now?”
Document Analysis: Observe artifacts or

documents for evidence of the role of self-
efficacy.
25
Attribution Survey: “Success in achieving these competencies

Potential executive candidates need to feel is within my control.”
their success in achieving the Succession
Competencies is in their control. Interview: “How do you feel you control your
success in achieving these competencies?”

documents for evidence of the role of attribution.
Assumed Motivation Influences Motivational Influence Assessment

Emotions Survey: “I am excited to pursue further
Potential executive candidates must want to development in each of these competencies.”
pursue the Succession Competencies.
Interview: “Do you feel excited to pursue these
competencies?”

documents for evidence of emotional support.
Value Survey: “Rank the 10 succession competencies
Potential executive candidates need to value according to your values.”
the Succession Competencies.
Interview: “How would you rank these
competencies from 1 to 10?”

documents for evidence of the role of value.
Organization
An organization’s culture can be analyzed based on the cultural settings and cultural
models that exist in it (Gallimore & Goldenberg, 2001). Cultural settings are concrete and include
the employees, their tasks, how and why tasks are completed, and the social context in which their
work is performed. Cultural models refer to cultural practices and shared mental schema within an
organization (Shore, 1998). Clark and Estes (2008) identified the following as common
organizational gaps: poor work processes, limited material resources, and dysfunctional
interactions, or ineffective goal achievement in work that occurs between departments.

26
Potential Executive Candidates Need to Believe That the Organizational Culture Aligns With
Their Axiology
Axiology is the study of the nature, types, and criteria of values and value judgments
especially in ethics (Merriam-Webster, n.d.). Potential executive candidates need alignment
between their axiology and their culture (Gardenswartz & Rowe, 1998; Hubbard & Supinsky,
2001). In fact, effective organizations embrace the unique ethical qualities of their employees
(Mone et al., 2011) and will craft ways to appeal to their axiological presuppositions for improved
organizational performance (Macey et al., 2009).
Potential Executive Candidates Perceive an Organizational Culture of Communication That
Supports the Worthwhileness of Participating in the Line of Succession
Communication plays a major role in building trust between employees and leadership.
Potential executive candidates will report higher levels of trust in leadership if they provide them
with accurate information and are open to reactions or criticism (Whitener et al., 1998).
Organizations should be in tune to provide potential executive candidates with advanced
information about their roles and future roles in the organization and their contributions towards
new community and organizational goals (Smidts et al., 2001).
Potential Executive Candidates Need to Have Rewards-Based Initiatives
Payment has long been the reward style of choice, but over the last 25 years, many new
elements of compensation have been developed to provide organizational leadership with more
scope to reward, and subsequently, motivate employees (Murphy, 2015). Reward-based initiatives
have large impacts on the workforce and even allow an organization to stand out from their peers
in terms of recruiting and retention of high-value employees (Barber & Bretz, 2000). Rewards-
based initiatives are one of the most important activities of organizational leadership as it directly
27
relates to the motivation and reinforcement of potential executive candidates to encourage superior
performance (Whetten & Cameron, 1991).
A potential executive candidate’s job-relevant knowledge is not necessarily increased just
because he or she received more money. There are also benefits to non-monetary awards. Non-
monetary awards can develop and motivate in ways that monetary awards do not (Long & Shields,
2010). Non-monetary awards are designed to enrich the characteristics of one’s job performance
(Aguinis et al., 2013). This is often accomplished through valuable training and developmental
opportunities, which will in turn qualify a potential executive candidate for higher positions and
roles (Brown & Sitzmann, 2011).
Potential Executive Candidates Need to Feel a Sense of Belonging
When potential executive candidates start thinking about leaving their organization, it is
generally due to one or many high-level professional needs that have failed to be satisfied by the
organization (Khan, 2014). This line of thought can be traced back to self-esteem and self-
actualization needs as published by Maslow (1943) in which he posits that individuals need
intrinsic motivation, safety, and belongingness. There is a significant relationship between
organizational turnover and operational expectations (Cranny et al., 1992); which is especially
heightened if the potential executive candidate perceives he/she is being taken advantage of and
mistreated (Samad, 2006).
Table 4 provides information on the organizational mission, organizational and
stakeholder goals, and the organizational influences discussed in this chapter. The table showcases
samples of assessments that were used to study the stakeholder’s organizational influences.
28
Table 4
Organizational Influences and Organizational Influence Assessments
expertise.
Organizational Goal
Stakeholder Goal
Assumed Organizational Influences Organization Influence Assessment
Cultural Model Influence: Survey: “The organization has a culture that
Potential executive candidates need an supports personal growth.”
organizational culture that is supportive of
personal growth. Interview: “Tell me about the culture of
personal growth in this organization.”
Document Analysis: Gather/review documents

to examine if personal growth is discussed or
promoted throughout the organization.
Cultural Setting Influence: Survey: “The organization provides

Potential executive candidates need to have professional development for the
professional development. competencies.”
Interview: “Please explain the organization’s

approach to professional development.”
Document Analysis: Gather/review human
resources and training documents to
determine if the organization provides
applicable professional development.
Conceptual Framework: The Interaction of Stakeholders’ Knowledge and Motivation and
the Organizational Context
A conceptual framework represents the interactions between the concepts, assumptions,
expectations, and theories that inform the methodological and analysis choices in a research study
(Maxwell, 2013). Merriam and Tisdell (2016) referred to this as a theoretical framework, which
29
they described as the supporting structure or scaffolding of a study. These frameworks can be
narrative or visual with a goal of highlighting the relationships between the important concepts,
variables, and theories that frame the study (Maxwell, 2013; Merriam & Tisdell, 2016). In earlier
phases of enacting Clark and Estes’s (2008) gap analytic framework to investigate root causes for
a performance problem, influences on the problem are intentionally developed in isolation and
divided into their KMO categories. The conceptual framework allows an opportunity to explore
the connections between the influences and to establish a working theory to frame a research
question (Maxwell, 2013).
In earlier sections of this chapter, the knowledge and motivation influences on potential
executive candidates’ self-efficacy and their lack of understanding of necessary competencies to
serve at the executive level were explored. Knowledge and motivation influences were followed
by an exploration of the cultural models and settings active within the organization. In Figure 1,
the relationship between these influences is represented in a visual which serves to highlight the
working theory that framed this research study.

30
Figure 1
Interactions Between Knowledge and Motivation within the Organizational Models and Settings
Factual,
Procedural, Cultural
Metacognitive Models
Knowledge
and
Self-Efficacy Settings
Attribution
Goal-Orientation
By December 2021, employees

participate in developing a
talent management system
designed to identify qualities
of potential candidates for
selection to Xrante executive
roles.
Figure 1 represents the interaction between knowledge-based and motivational influences
on the organizational developmental needs of potential executive candidates to become marketable
for ascension into executive leadership roles; and it shows how addressing these potential root
causes could contribute to the achievement of the organizational and stakeholder goals at Xrante.
The figure also models how the stakeholders’ knowledge and motivation are separate but inform
the process of development. It also shows the continuous interaction between KMO influences as
it relates to the organizational goal of employees participating as potential executive candidates in
developing a talent management system. The circles are indicative of this being an iterative process
31
that feeds into the other influencing aspects of this study. The goal is squared because it is an end
result with permanent goals that are fed from previously stated influences.
Conclusion
Chapter Two explored possible root causes for the lack of employee ascension to potential
executive candidacy in modern-day organizations. Bandura’s (1977) motivational construct of
self-efficacy was presented in terms of the factors known to improve potential executive
candidates’ self-efficacy in organizations; and the relationships between these factors and
leadership accountability of their development were investigated. While there is a known
connection between low self-efficacy and participation gaps, a broader look at all knowledge-
based, motivational, and organizational influences on potential executive candidate development
was explored in the second half of Chapter Two using Clark and Estes’s (2008) gap analytic KMO
methodology. A conceptual framework for this dissertation was then established by highlighting
the interrelationships between the KMO influences. While self-efficacy is situated in the
motivation category, its connections to other influences on potential executive candidate
engagement and ascension to executive roles in the conceptual framework. Chapter 3 presents the
study’s methodological framework that was used to explore the connection between development,
as promoted through the cultural settings of competency generation, and self-efficacy for potential
executive candidates in organizations.

32
Chapter Three: Methods
Executive succession planning is a necessary concept. Succession planning invests in the
best or highest-performing talent in any leadership role and implements plans to replace planned
or unexpected outgoing leadership, but especially at or near the top of an organization (Barnett &
Davis, 2008). A 2009 survey by the National Association of Corporate Directors revealed that 43%
of U.S. public companies had no formal executive succession plan and that 61% had no CEO
emergency replacement plan as well (Miles & Bennett, 2009). Larcker and Miles (2010) showed
that nearly 50% of surveyed organizations could not immediately name a CEO successor if the
need were to arise. This research aims to examine the key KMO factors or influences (Clark &
Estes, 2008) that impede organizations from crafting, implementing, and sustaining executive
succession plans.
Chapter Three presents the overall research design and the methods for data collection and
analysis that were used to investigate the following three research questions that guided this study:
executive roles?
candidate’s knowledge and motivation?
This chapter first justifies the choice of employees, known as potential executive
candidates, as the stakeholder group for the study and outlines the sampling and recruitment
strategies. Following the discussion of participant recruitment and selection, is a detailed

33
description of the data collection methodology, a discussion of the strategy for developing and
implementing each measurement instrument, and an overview of the data analysis techniques that
were used to process the data. The next sections describe the steps that were taken to ensure the
credibility and trustworthiness of the qualitative data and the validity and reliability of the
quantitative data. The chapter concludes with a prediction on the ethics, limitations, and
delimitations of the study.
Participating Stakeholders
The stakeholder group for this study was Xrante employees, deemed as potential executive
candidates, as reflected in the research questions. The stakeholder group included potential
executive candidates in the following categories: full-time employees at Xrante headquarters and
part-time employees at outlying affiliate offices throughout the United States. Specific criteria
were used to reduce the number of stakeholders to recruit for interviews.
Survey Sampling Criteria and Rationale
This study employed purposive sampling in order to discover, understand, and gain insight
on the KMO needs of employees as potential executive candidates in relation to executive
succession planning (Chein, 1981; Patton, 2015).
Criterion 1: Length of Employment
Potential executive candidates had at least one performance-appraised year of employment.
This allowed them to draw comparisons between their new hire expectations and documented
performance analysis according to leadership observation.

34
Criterion 2: Organizational Position and Echelon
Potential executive candidates served at or below the first level of Xrante staff leadership
and did not have any direct reports or subordinates. This study was specifically designed to garner
thoughts and opinions on the topic of competency-based succession planning.
Survey Sampling (Recruitment) Strategy and Rationale
This research employed a non-random sampling strategy to acquire 25 survey participants.
The quantitative data were not used to produce generalizable conclusions, but rather to generate
responses that can further investigate the experiences of potential executive candidates with
interests in succession planning (Creswell, 2014). To achieve a high response rate, Fink’s (2013)
advice was considered by making the survey easy to complete and ensuring that the administration
of the survey encourages the receipt of timely completed surveys from respondents. The survey
was delivered on a digital setting (web-based) and was short in nature, but still proved to be
thought-provoking for respondents. This survey was open to respondents for three weeks and there
were built-in notifications to remind respondents to complete it.
Interview Sampling Criteria and Rationale
Criterion 1
Interviewees have no subordinates and have taken the surveys. It was important for the
respondents to be able to think solely about themselves and not take the mind frame of a supervisor.
Criterion 2
All interviewees were from different sections within the organization. This provided a more
unbiased output by focusing on the organization as a whole rather than just one section’s ideas.
35
Criterion 3
All employees had a minimum employment length of 2 years and were not currently
pending any punitive actions or internal investigations. This ensured that potential executive
candidates had enough time to develop a keen understanding of the organization and not be
negatively biased because of any current punitive or corrective action.
Interview Sampling (Recruitment) Strategy and Rationale
This research conducted a non-probability purposive sampling strategy of 10 interviews
over the course of two weeks. Of the participation group of survey participants, 10 participants
were randomly selected for interviews using an online randomizer. The goal was to obtain in-
depth, descriptive narratives across different sections of the organization. Narrative data helped to
identify significant patterns and differences more clearly in potential executive understanding and
perceptions of executive succession planning. Despite the relatively small sample, data gathered
in these interviews are expected to help other stakeholders become aware of lesser known KMO
elements that influence perceptions of executive succession planning.
Not all survey participants were invited for interviews. Creswell (2014) suggested that four
or five interviews for case studies may be sufficient. However, that number was higher since the
goal for qualitative inquiry is to continue until saturation of new information is reached (Creswell,
2014; Merriam & Tisdell, 2016). Qualitative studies purposefully seek out stakeholders who can
help researchers learn the most (Merriam & Tisdell, 2016). Not all potential executive candidates
have equal insight and influence into past, current, and future succession planning areas of focus.
36
Observation Sampling Criteria and Rationale
Due to pandemic-related limitations implemented by the institutional review board (IRB),
this study did not conduct observations and used document analysis instead.
Data Collection and Instrumentation
This study utilized a survey as the sole quantitative data collection method. Data collected
through this method remained anonymous but provided triangulation value when compared to
other study data collection methods. Two methods of qualitative data collection were used in this
research study. The two methods were interviews and observations. Interviews were used to
provide a rich understanding of the KMO needs, and potential solutions to these needs, regarding
executive succession planning at Xrante. Furthermore, the interviews sought to understand the
organizational factors that may contribute to the needs of potential executive candidates.
Observations were used to validate some of the data collected through the interviews, especially
regarding organizational limitations and barriers. Both interviews and observations are commonly
used in qualitative research to triangulate data (Merriam & Tisdell, 2016).
Surveys
Surveys included a combination of multiple choice, Likert scale items, and open-ended
questions designed to assess motivation, knowledge, and organization contexts. This survey was
hosted on Qualtrics, and the link was sent to all 25 previously identified participants accompanied
by the IRB approved information sheet and general information about the study. The survey
consisted of 14 questions and took approximately 15 to 20 minutes to complete, depending on each
participant. All participants surveyed were protected by online anonymous data collection, no
identifiable demographic items were asked for, and IP addresses were not tracked. Responses were
37
collected, tabulated, and stored on the secure Qualtrics servers. All results were stored on the hard-
drive of a password-protected laptop. The survey protocol is included in Appendix A.
Interviews
Interviews served as an additional data collection tool. Interviews consisted of 10 interview
questions and lasted approximately 15 minutes. Participants for the interviews were purposefully
selected based upon length of employment at Xrante and their employment status level within
Xrante. Respondents reflected both full-time and part-time participants of the organization, but a
larger focus was on full-time participants.
Ten of the 25 survey participants were selected to participate in the in-person interviews.
Interviews took place on Zoom. Each interview began with a standard interview protocol that
included obtaining permission to record the interview for later transcription and coding. A copy of
the information sheet was shared with the participant and time was afforded to ask questions. At
the conclusion of the interview participants were thanked, and audio files were secured. A
transcription service was utilized to produce all interviews in print and data were examined for
patterns, themes, and conclusions. The interview protocol is included in Appendix B.
Document Analysis
Document analysis sought out examples of KMO influence breakdowns as they related to
potential executive candidate knowledge of succession planning. It also searched for situations of
career development and the overall organizational climate as discovered through data collection
in the survey and interview phase of this study.
Data Analysis
For stakeholder groups of fewer than 20, the percentage of stakeholders who strongly
agreed or agreed were presented in relation to those who strongly disagreed or disagreed. For larger
38
stakeholder groups, means and standards deviation were presented to identify average levels of
responses.
Descriptive statistical analysis was conducted once all survey results were submitted. For
interviews and observations, data analysis began during data collection. Interviews were
transcribed and coded. In the first phase of analysis, open coding was used, looking for empirical
codes and applying a priority of codes from the conceptual framework. A second phase of analysis
was conducted where empirical and a priori codes were aggregated into analytic/axial codes. The
third phase of data analysis identified pattern codes and themes that emerged in relation to the
conceptual framework and study questions.
Credibility and Trustworthiness
Rich data collection, respondent validation, and triangulation are three ways that a
qualitative researcher can minimize threats to credibility (Maxwell, 2013). During the interviews,
I asked permission to record the interviews so a complete transcript could be produced.
Interviewees were presented with a summary of the data to ensure clarity of the information the
interviewee intended to provide. This helped to eliminate any chance of misinterpretation or
researcher bias. Once interview data were checked as accurate (Maxwell, 2013), data were saved
for use in the triangulation of survey responses and document analysis.
The replication of qualitative research is not easy due to varying changes and perception-
based bias (Merriam & Tisdell, 2016). A log was kept that documents all accounts throughout the
collection process to serve as an audit trail (Merriam & Tisdell, 2016). This allows future reviewers
to visualize the research process and ensure that hasty decisions were not made regarding data
collection.
39
Validity and Reliability
This research gathered opinions from potential executive candidates about whether the
assumed needs from the theoretical and topic specific research were met. The results increased
validity because opinions cannot be wrong (Fink, 2013). To increase reliability of the surveys,
interviews, and observations, they included uniform instructions and minimal distractions
(Salkind, 2017). Individual contact was made with each target participant by email to invite them
to participate in the online survey and answer questions in follow-up interviews, if necessary. I
held no authority over the participants and therefore did not affect the way participants responded
to research prompts. The rate of research response is a factor in the validity of the data (Fink,
2013). No incentives were offered for survey or interview participation since they were delivered
while the participants were on duty and already being compensated for that duty. The use of laptops
or other electronic tools aided in the survey and interview process and helped to keep data
confidential (Pazzaglia et al., 2016). The delivery of the surveys was done via an online third-party
survey provider called Qualtrics, which kept the data secure and anonymous (Pazzaglia et al.,
2016). Using an online survey provider minimized errors in organizing the survey data responses.
To ensure the validity and reliability of the interviews and observations, peer reviews and
examination and then subsequent respondent validation were used. This served to reduce or
eliminate researcher bias or assumptions.
Ethics
The validity and reliability of any study depends on the ethics of the investigator (Merriam
& Tisdell, 2016). In addition, all participants had enough information to make informed decisions
about participating in the study (Glesne, 2011; Merriam & Tisdell, 2016). All potential executive
candidates signed an informed consent document that (a) described potential rewards and risks of
40
involvement, (b) clarified that their participation is voluntary and that subjects can quit the study
at any time, and (c) described the ways in which their responses would be kept confidential
(Krueger & Casey, 2009). Informed consent does not erode the power dynamic between a
researcher that is in a position of authority relative to the subjects, and the subjects themselves
(Glesne, 2011). A complete list of intended interview questions, along with possible follow-up
probe questions, was approved by IRB and there were no plans to stray from the interview protocol
during interviews (Rubin & Rubin, 2012). The preliminary proposal of this study was reviewed
and approved by the University of Southern California IRB to ensure all the necessary rules
regarding the protection of rights of the participants were followed. It was made very clear to
participants that their confidentiality would be maintained in the analysis of data and presentation
of results by removing any identifying marks or connotations from raw survey data during
aggregate analysis of survey data, using pseudonyms during interviews and on all transcribed
interview data, and storing all data in password-protected files (Glesne, 2011). Prior to the
interviews, the participants were verbally reminded that their participation is voluntary, that they
do not have to answer any questions they do not want to, and they always have the option to
withdraw.
My relationship to Xrante and to the research participants was important to understanding
the relational ethics of this study (Merriam & Tisdell, 2016). I was a senior leader within Xrante.
Because I was in a supervisory role at Xrante, the choice to use potential executive candidates as
the research subjects rather than other senior leaders generated some relational complexity.
However, the study was carefully constructed to collect data from potential executive candidates
that do not report to him or even know him that well. I was considered an authority figure to the
stakeholders of focus.
41
Other researchers were consulted in coding and interpreting the interview data to avoid any
unforeseen pitfalls of confirmation bias. I was mindful to present the research purpose to the study
participants in a way that was clear but that did not influence responses (Glesne, 2011).
Lastly, I acknowledged that in this research, I was the filter with which all the collected
information went through (Maxwell, 2013). I am a White male. However, I have experience in
non-biased information collection, documentation, and reporting for both local and U.S.
government entities. Training and experience include time as a human resources supervisor and
management advisor for multiple federal governmental agencies.
Limitations and Delimitations
This chapter presented the study’s methodology to include the stakeholder of focus and
intended sample recruited, data collection methods and instrumentation, the data analysis process,
areas of trustworthiness, creditability, and reliability, and issues regarding ethics. Given the
qualitative nature of this study, I acknowledged my positionality and potential for bias as a member
of the organization and as a White male. Therefore, every effort was made to address biases by
obtaining IRB approval for the study and documenting potential biases in the limitations section
of this study.
This study was limited by time, the number of research subjects in the study, and the region
of the study which may have influenced my culture and that of the research participants.
Delimitation choices I made in this study included the criteria used to select interviewees and
inform observations for research, as well as the scope and number of questions in the surveys and
interviews. The survey, interview, and observational data that were collected during this research
represents a case study of Xrante and is not meant to be generalizable to every organization,
executive succession plan, or talent management system.

42
The limitations of this study arose mainly from the interviewer-respondent interactions
based on the fact that both parties likely displayed biases and predispositions that could affect both
the in-person interactions and the data collected (Merriam & Tisdell, 2016). I was mindful to check
his biases and create the conditions of comfort, safety, and respect for the interview participants
(Bogdan & Biklen, 2007). I cannot control, however, the respondent. It was impossible to know if
the participants were giving honest responses or if they held a strong bias that swayed the way they
chose to answer questions (Weiss, 1995). However, this study can provide management and
leadership researchers with insight into potential factors to consider regarding executive
succession planning research. Furthermore, the KMO gap analysis framework (Clark & Estes,
2008) can be used by other researchers for investigating problems in their own organizations.
43
Chapter Four: Results and Findings
The purpose of this study was to explore employee competency development in relation to
their inclusion in executive succession planning functions as potential executive candidates. The
Clark and Estes (2008) gap analysis model was used as the framework to study the KMO needs of
employees as potential executive candidates.
This chapter presents the results and findings aligned to the research questions, beginning
with a review of the organizational and stakeholder goals and the degree to which the data indicated
meaningful progress towards these goals. Following the review of goals, the chapter is organized
into knowledge-based, motivational, and organizational assertions supported by quantitative and
qualitative findings. This chapter concludes with a summary of the validated KMO influences that
was used to generate recommendations and an implementation and evaluation plan in Chapter
Five.
The research questions that guided data collection and framed this chapter were:
executive roles?
The third guiding question in this study is addressed in Chapter Five: What are the recommended
knowledge and skills, motivation, and organizational solutions to meet the needs of potential
executive candidates?
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Each KMO influence is depicted in a table and followed by a summary that substantiates
the findings. Quotes are used from the individual interviews to verify data. The data establishes
whether a gap exists, and solutions are provided in Chapter Five, addressing the research questions.
Participating Stakeholders
Data were collected via a confidential survey of 25 respondents, then 10 individual
interviews, and finally by document/artifact analysis. After survey participation, 10 participants
agreed to a follow-on interview. Data were collected in a purposive setting and no specific personal
demographic data; other than gender, was captured. There were nine (36%) female and 16 (64%)
male survey participants. Out of the 10 who agreed to participate in a follow-on interview; eight
(80%) were male and two (20%) were female. All survey and interview participants were in low
or mid-level positions or roles, were not in supervisory positions, and had been employed by the
organization for at least one year.
Table 5
Study Demographic Data
Male Female Median Years Range of Years Low Mid

(count) (count) of Experience of Experience Level Level
Surveys (n = 25) 64% - (16) 36% - (9) 6 1–13 80% 20%
Interviews (n = 10) 80% - (8) 20% - (2) 5.5 1–13 80% 20%
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Data Validation
Each of the influences studied in this chapter had gaps that were either confirmed , partially
confirmed, or not confirmed, based on the data analyzed. An influence was considered as
confirmed when survey responses and interviews concurred that the gap in the area was significant
and needed to be addressed. An influence was considered as partially confirmed when part of the
data showed a significant gap to be addressed, and another part showed no gap in the influence.
An influence was considered as not confirmed when the data consistently showed no gap to address
in the influence.
During data analysis, decisions had to be made regarding the thresholds for constructing
arguments. When making assertions in the sections that follow, 17 responses (68%) on survey
items was the threshold for asserting agreement, however, results above 19 responses (76%) were
considered more compelling evidence. Interview data used as evidence generally relied upon seven
responses (70%) alignment among interview subjects, but code typicalities above eight responses
(80%) were considered more conclusive.
Results and Findings for Knowledge Causes
The results and findings of the knowledge needs were reported using the knowledge
categories and assumed knowledge influences for each category. In the knowledge category, four
types of knowledge were examined. They are the factual, the conceptual, the procedural, and the
metacognitive knowledge types. Figure 2 highlights the large gap across all the four types of
knowledge.
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Figure 2
Overview of Knowledge Gaps
Factual Knowledge: Potential Executive Candidates Need to Know the Meanings of the
Survey Results
Survey participants were asked to define the competencies out of a list of 10 competencies.
Participants were shown one competency at a time and then asked to select the best definition for
each competency from a list of definitions. The accuracy of definitions ranged from a high of 88%
to a low of 44%. The participants exceed the 68% survey agreement threshold on eight questions.
The factual knowledge section of the survey had a median agreement percentage of 76%, leaving
a 24% factual knowledge gap. Figure 3 portrays the percentage and response count of correct
selections.
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Figure 3
Factual Knowledge Survey Definitions Accuracy
Interview Findings
Ten interview participants were each asked to select and then define three competencies
from a list shared during the Zoom interview. The accuracy of definitions ranged from a high of
100% (three participants) to a low of 33% (two participants). Participant definitions showed a
median accuracy of 66% but a mean accuracy of 70%. In this instance, the mean accuracy most
closely aligns to the agreement threshold of 70%. Each participant’s answers were annotated by a
fraction of correct definitions out of three. For example, 1/3 was listed as 33%, 2/3 was listed as
66%, and 3/3 was listed as 100%. Out of the 10 participants, there was a possibility of 30
competency choices to be defined correctly, three per participant. However, only 21/30 were
answered correctly, aligning to the mean accuracy rate of 70%. This confirms a 30% factual
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knowledge gap that nearly aligns with the 24% factual knowledge gap discovered in the survey of
25 participants.
Document Analysis
After a review of more than five training manuals and leadership curriculums, it was
determined that the organization makes a minimal effort to ensure employees understand the
competencies they deem necessary for service at the executive level. No evidence was found that
aims to help employees understand the succession competencies in this study. However, scant
evidence showed that the organization does define generic values such as “teamwork” and
“communication.”
Summary
The majority of survey and interview participants proved that they know the meaning of
the succession competencies. Data showed definition accuracy for 76% of survey participants and
70% of interview participants. These figures combined generate a mean and median of 73% which
are above both established cut scores. Therefore, this influence is a confirmed asset.
Conceptual Knowledge: Potential Executive Candidates Need to Know the Benefits of the
Competencies to the Success of the Organization
Survey Results
Survey participants were asked to select the benefit of each competency from a list of 10
competencies. Participants were shown one competency at a time and then asked to select the best
benefit for each competency from a list of benefits. The accuracy of the selected benefits ranged
from a high of 76% to a low of 4%. The participants fell below the 68% survey agreement threshold
on nine questions. The conceptual knowledge section of the survey had a median agreement
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percentage of 38%, leaving a 62% conceptual knowledge gap. Figure 4 portrays the percentage
and response count of correct selections.
Figure 4
Conceptual Knowledge Survey Accuracy of Benefits Selections
Interview Findings
It was evident that all of the participants lacked conceptual knowledge as to the benefits of
the succession competencies. However, there was an overarching theme that emerged across the
comments that showcased value and utility. Participants 2, 9, and 10 all stated very similarly,
“Theoretically, these competencies should allow people to operate efficiently and reach desired
outcomes seemingly easily.” Participants 3 and 6 posited, “These 10 competencies define what I
consider a well-rounded person, employee, worker, or human for the most part. They are
interconnected and bolster one’s effectiveness and could shift workplace contribution. They are
inherently part of the human experience.” Participants 4, 5, and 8 indicated that “these
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competencies make an organization run smoother and breed more successful people.” Participant
7 stated in a way that captured a seriousness of the topic:
We all should be striving for this work environment because it makes working at a place,
since having worked at places that do not run very well and have issues with the things that
are set up on this board; it’s more enjoyable if you can feel more satisfied for having a
place where people seem to have these as goals and ideas in mind as they move forward
with the work they are doing.
It was also evident that the interview applicants were drawing on personal ideations of what the
benefits of the succession competencies might be instead of fully taking time to assess what the
benefits should look like on a full organizational spectrum.
Document Analysis
A review of a training development program curriculum revealed that the organization has
some competencies that it desires its employees and leaders to pursue, develop, and foster,
although the benefits of the competencies to the organization are not listed. However, there is no
delineation of competencies for certain levels of leadership, rather a one-size-fits-all approach.
The analysis showed that the organization is focused on providing generic development to the
entire workforce rather than developing certain bands of employees with specific training and
feedback capabilities.
Summary
The assumed influence that employees need to know the benefits of the succession
competencies to the success of the organization was determined to be a need in the survey and
interview results. All 10 interview participants similarly agreed that the succession competencies
are an essential part of employee and workforce development. But they were unable to provide the
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true benefit of each competency to the success of the organization. Therefore, this is a confirmed
need.
Procedural Knowledge: Employees Need to Know How to Implement the Strategies for the
Survey Results
Survey participants were asked to select the implementation strategy of each competency
from a list of 10 competencies. Participants were shown one competency at a time and then asked
to select the best strategy for implementation of each competency from a list of strategies. The
accuracy of the selected strategies ranged from a high of 60% to a low of 12%. The participants
fell below the 68% survey agreement threshold on all 10 questions. The procedural knowledge
section of the survey had a median agreement percentage of 30%, leaving a 70% procedural
knowledge gap. This is the largest categorical knowledge gap of the entire research study. Figure
5 portrays the percentage and response count of correct selections.

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Figure 5
Procedural Knowledge Survey Accuracy of Strategy Implementation Selections
Interview Findings
The interviewed participants demonstrated a higher level of procedural knowledge than
was evidenced in the survey results. While the procedural knowledge gap is still at 70%, some of
the participant statements aligned with strategies one could utilize to implement the succession
competencies. These views demonstrated that discovering and learning the strategies is a personal
choice. Participant 2 stated, “an individual would have to decide for themselves what’s important
to them and their work and then take steps to achieve these outcomes.” Participant 3 said, “If an
employee wants to understand how to achieve and implement these competencies, they must first
have a willingness to learn and express them.” The connections between statements of Participants
2 and 3 show that individuals must be motivated to improve themselves. Participant 7 stated, “It
is up to the individual; there are probably ways that it can be encouraged of course; but finding
and learning strategies is an individual function.” Participant 8 had a slightly different approach:
53
There are probably a lot of strategies, but I would say the best approach would be to find
appropriate educational opportunities in and out of the organization. A person has to be
humble, learn from their mistakes, and get outside of their envelope. It isn’t easy for
everyone; but these things are important.
Participant 5 mentioned, “documents or correspondence should be used in some way so that one
knows how to address the 10 competencies in a manner that everyone expects and similarly
fashions.” Participant 6 said,
I think there should be mentorship, any kind of seminar, or training in the workplace that
teaches employees how to use proper strategies to implement these competencies. Also,
part of this training should allow successful employees to teach their peers and be
highlighted by their leadership.
Participant 10 said,
There must be transparency throughout the workforce. When everyone is together and
understanding of what is happening, things get done and people learn. The next part of that
would be to graph an employee’s learning so that the organization can track deficiencies
and plan better training events.
These interview findings boost the necessity of individual desire for improvement rather
than an organization solely trying to motivate the workforce. While organizations must still seek
to bolster employee improvement, they must also hire motivated individuals.
Document Analysis
This analysis showed that the organization has taken steps to explain in detail strategies for
use in employee development and the building or boosting of workplace competencies. However,
only three of the strategies listed in this part of the research were represented in the organizational
54
documents, conflict resolution, goal setting, and communication. Conflict resolution was
mentioned in organizational documents as “conflict management” but its listed implementation
strategy was similar to the one presented in this study. Goal setting via the SMART method was
listed in a training manual for new entry level employees and for new executives but was missing
in resources designed for mid-level employees and leaders. Communication was listed nearly
identically as presented in this research study but was split into oral and written communication.
Summary
It is evident that there is a procedural knowledge gap regarding implementation strategies
of the succession competencies. The survey found a 70% gap which was later confirmed by
answers gathered from the interview participants. However, seven of the 10 (70%) interview
participants agreed that the implementation strategies are rooted in an individual learning or
discovery process. Document analysis demonstrated that only three of the succession
competencies implementation strategies are highlighted in organizational training materials. Due
to this evidence, this is determined to be a confirmed need.
Metacognitive Knowledge: Employees Need to Know How to Monitor Their Progress
Toward Achieving the Succession Competencies
Survey Results
Survey participants were asked to select an assessment of progress towards the
achievement of each competency from a list of 10 competencies. Participants were shown one
competency at a time and then asked to select the best assessment of progress towards the
achievement of each competency from a list of assessment options. The accuracy of the selected
assessments ranged from a high of 84% to a low of 8%. The participants fell below the 68% survey
agreement threshold on eight questions. The metacognitive knowledge section of the survey had a
55
median agreement percentage of 48%, leaving a 52% metacognitive knowledge gap. Figure 6
portrays the percentage and response count of correct selections.
Figure 6
Metacognitive Knowledge Survey Accuracy of Assessment Selections
Interview Findings
The interviewed participants demonstrated a higher level of metacognitive knowledge than
was evidenced in the survey results. While the metacognitive knowledge gap is still at 52%, the
participants displayed an understanding of how to monitor their own progress towards achieving
the succession competencies. Participant 2 stated, “consistently check in with themselves,
constantly conduct progress checks of themselves and against organizational goals … and readjust
as necessary.” Participant 3 similarly stated, “Monitoring is a day-to-day thing … benchmarks and
standards are used to benchmark progress and individual progress can be a very personalized and
unique process.” Participant 4 provided a more technical overview:

56
I could only do it with data points. I would say keep a record of what is required. This
would allow me to go back and revisit the things I was supposed to do and need to do better
moving forward. Also, I think it is important to stay abreast of emerging technologies that
will help employees better track their own progress towards these competencies or
anything that they or the organization deem important.
Participant 5 echoed that perspective, but also adds “from this I can develop 6-month, 12-month,
and 24-month goals.” Participant 6 provided a more zoomed-in approach:
I have to narrow it from 10 competencies first. I would pick a few that I self-identify as
needing to work on and then set goals that I think would be demonstrative of the
assessments. Then, I would try to bake in short, medium, and long-term goals for each
competency. As I start to achieve each one, I would add new competency goals and
progress assessments periodically.
Participant 7 offered,
I keep calendars. I keep notes of what I’m doing and how I’m working towards specific
goals or sales. I track my progress. I like to see where I was in certain months and be able
to show my work in a way, through numbers, which then hopefully turn into success.
Participant 10 posited, “I would have to immediately set goals for the competencies. But to do that,
I would design a pyramid or reverse pyramid that would allow me to design steps towards
achieving each competency.” While employees did provide ideas and plans to best monitor their
assessment, it was different than originally anticipated per the metacognitive methods laid out for
each succession competency. However, it was made clear that with extra focus, employees would
not be at a major disadvantage to monitor their progress towards achieving the succession
competencies.
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Document Analysis
No documents revealed any mechanisms for monitoring progress towards achieving the
succession competencies. However, two onboarding documents reference annual follow ups to
initial supervisor expectations and employee job performance. This is an important aspect of
employee development, but it fails to align with the competency acquisition or development
identified in this research study.
Summary
Despite a high metacognitive knowledge gap survey rate of 52%, eight of the interview
participants (80%) show a strong metacognitive understanding of how to monitor their progress
towards achieving the succession competencies. The survey gap (52%) and the interview gap
(20%) generate a median metacognitive knowledge gap of 36%. Document analysis demonstrated
that the organization provides very little towards helping employees understand how to monitor
their own progress towards developing their workplace competencies. Once employees can
identify succession competencies and follow the steps for doing each one, the evidence on this
influence indicates they will be able to monitor their progress towards implementing them. Due to
this evidence, this is a confirmed asset.
Results and Findings for Motivation Causes
Value: Employees Need to Value the Succession Competencies
Survey Results
Survey participants, employees, were asked to rank the succession competencies according
to their values. Participants were shown all 10 of the competencies at once and each had a starting
number next to it. At this point, participants were able to rearrange them in a drag and drop fashion.
As participants moved a competency up or down, the new ranking would change and immediately
58
display on the right side of the text. Once dropped in the desired location, the new ranking would
display. If participants felt they made a mistake, they were still provided the capability to rearrange
the competencies again, if desired. Participants also had the option to leave a competency in its
starting position if they felt the starting number matched how they value that competency. There
were three tied competencies that had majority participant value rankings: communication - “value
1” - with seven responses (28%); efficiency oriented - “value 8” - with seven responses (28%);
and work commitment - “value 10” - with seven responses (28%). Figure 7 portrays the full range
of the competency value rankings from the 25 survey participants.
Figure 7
Survey Competency Value Rankings
Interview Findings
Interview participants were asked to rank the succession competencies according to their
values. The full range of responses found different data and some changes of values than was seen
in the corresponding survey values question. While the survey only uncovered three tied
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competencies with majority participant value rankings, the interviews yielded six tied
competencies with majority value rankings: communication - “value 1” - with three responses
(30%); teamwork - “value 4” - with three responses (30%); decision making - “value 5” - with
three responses (30%); goal setting - “value 6” - with three responses (30%); empowerment -
“value 6” - with three responses (30%); and work commitment - “value 9” - with three responses
(30%). No other investigation of this influence was conducted during the value ranking exercise
of the interviews. Figure 8 portrays the full range of competency value rankings highlighted during
the interviews. The findings from this portion of the study provided a range depiction of values for
the succession competencies which was helpful in helping to visualize similarities of value
rankings.
Figure 8
Interview Competency Value Rankings

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Document Analysis
A discovery survey from 2018 showed that 56% of respondents said they would never
consider working for certain employers due to their organizational values and standards of
conduct. It is unclear as to why the organization was investigating this topic through a survey as
no other data or explanation was publicly available. A leadership manual listed a “change of
values” as a social issue and a possible driver of necessary workplace improvements. Another
document briefly mentioned that talent management should have a connection to the “values of
the organization.” Other than these three instances, there were no mentions of values as an
organizational topic of focus. Also, there was no mention of the succession competencies and their
value to the organization.
Summary
The participants of this study do not have a large percentage of value for the competencies
as the highest percentages of value selections reached were 30% (interviews) and 28% (surveys).
This evidence supports the gap of employee-level values across the organization. This may be an
indication that employees state value for certain competencies based on societal or organizational
stigma and/or expectations. As the evidence shows levels below 30% for survey and interview
responses, this is a validated need.
Self-Efficacy: Employees Need Confidence in Their Ability to Perform the Succession
Competencies
Survey Results
Survey participants were asked to rate their confidence level in performing the procedural
component of the succession competencies. The procedural components were extracted by
separating the names of the competencies from the procedural implementation strategies.
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Participants were shown all the strategies at once on a table with built-in sliders. Participants were
asked to drag these sliders horizontally along a scale of 0 (no confidence) to 10 (most confidence)
and then drop it on the number that expressed their level of confidence in being able to perform
that competency. As Figure 7 shows, the majority of participant confidence levels ranged between
a rating of seven to nine. However, the leading selection was “Analyze all details and make the
best solution,” which yielded a confidence rating of eight with 10 (40%) participant selection
counts. Figure 9 shows the full range of participant self-efficacy ratings.
Figure 9
Survey Self-Efficacy Results
Interview Findings
Participants were asked to rate their confidence in performing the succession competencies.
This interview question was conducted differently than its survey counterpart to generate a more
closely aligned representation of participant self-efficacy. Participants were shown the competency
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names instead of the procedural components of the competency. They were not instructed to
provide a 0–10 rating as in the survey, rather only asked “How confident do you feel in your ability
to perform these 10 competencies right now?” I received qualitative assertions from six
participants’ (60%) regarding their self-efficacy, but four participants (40%) provided quantitative
ratings similar to the survey question, which are highlighted in Figure 10. This interview data
showcased that most employees are confident in their abilities to perform the succession
competencies. However, given that there is a procedural knowledge gap of 70%, it is expected that
the responding employees are overconfident in their abilities to perform the succession
competencies.
Figure 10
Interview Self-Efficacy Partial Results
Note. This table only represents four of 10 participants (40%) who provided a quantitative response
to the interview question. The other six participants (60%) are not listed due to instead providing
a qualitative response that will be highlighted below.

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Participant 3 simply stated “I am confident.” I assumed from the tone and body language
that this participant would have a confidence rating of eight or nine. Participant 6 said,
I feel pretty confident since they all seem to play into each other. I do not want to say which
ones specifically, but I feel weaker in some than others. However, I feel very confident that
I have the ability to learn and perform each competency.
Participant 7 offered, “I am not confident in my conflict resolution skills; but I feel
confident in being able to perform the other competencies right now.” Participant 8 had a similar
statement: “I am very confident in most of these; but I struggle with goal setting.” Participant 9
said, “I am confident; that is what I do daily.” Participant 10 mentioned some concerns:
I feel that empowerment would be a little difficult because it seems like it is going to be
different from person to person. Also, I feel that initiative will always be the hardest
competency on this list, mostly for the same reason. I see initiative as something you either
have or you do not; I do not think it can be taught. Other than that, I feel very confident
with all the rest of the competencies.
Document Analysis
I found no documentation to support employee development or assessment of self-efficacy.
Summary
The majority of participants (survey and interview) reported a self-efficacy rating between
seven and nine towards performing the succession competencies. This is a positive finding and
leads me to determine that the participant self-efficacy is an organizational asset. However, there
was an unusual lack of organizational documentation geared towards the support or assessment of
employee self-efficacy development. This influence is confirmed as an identified asset. But, given
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the procedural knowledge gap of 70%, the overconfidence of employees is a possible factor in this
high confidence rating.
Attribution: Employees Need to Feel Their Success in Achieving the Succession
Competencies Is in Their Control
Survey Results
Survey participants were asked if success in achieving the succession competencies is
within their control. Participants were shown all 10 competencies in table format with a 4-point
Likert scale attached to each individual competency. Participants were able to select strongly
disagree, disagree, agree, or strongly agree. Although there were no competencies or 4-point Likert
sections that met or exceeded the 68% agreement threshold, three competencies were close.
Efficiency Oriented received 16 “agree” responses (64%); empowerment received 16 “agree”
responses (64%); and goal setting received 16 “agree” responses (64%). Communication received
14 “strongly agree” responses (56%) while conflict resolution received 6 “disagree” responses
(24%). Figure 11 portrays the full range of participant attribution selections.

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Figure 11
Survey Attribution Results
Interview Findings
Interview participants were asked to answer how they control their own success in
achieving the competencies. Participant 1 said, “recognizing where I fall short and being able to
track that with feedback from my supervisors and leadership.” Participant 2 declined to answer the
question. Participant 3 stated,
I do not take no for an answer. I just finished reading Admiral McRaven’s book Make Your
Bed and there is a chapter that resonates with me in relation to this question. Basically, I
now think, I have to hold myself accountable to better myself by learning these
competencies to track my overall progress.
Participant 4 said, “We have all failed, but we just have to keep learning from our mistakes.”
Participant 5 mentioned, “It is mostly based on me, but the organization should take a vested
interest as well.” Participant 6 added, “I control my success in achieving these competencies by
focusing on the ones that I know in which I need to improve.” Participant 7 highlighted,
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self-monitoring and keeping track of yourself, keeping your abilities in mind as you work
and as you do anything. You have to keep yourself committed to your work and want to
do a great job. That is the most important thing. You want to be achieving your goals and
achieving success and getting better at what you are doing. Without that, you will not go
anywhere.
Participant 8 quipped, “I am the only one that can control any or all of these competencies for
myself.” Participants 9 and 10 did not have an answer and asked to skip the question. The answers
provided by the participants were loosely aligned and did not provide great depth on employee
attribution towards the succession competencies.
Document Analysis
I found no documents related to attribution and employee-led development after an
extensive search.
Summary
Over 80% of survey participants reported high levels of attribution towards the
competencies. This was further confirmed in the interview questions and is confirmed to be a
positive event despite organizational deficiencies. No documents were found supporting or even
mentioning employee attribution. This influence is an identified asset to the study and the
organization.
Emotion: Employees Must Want to Pursue the Succession Competencies
Survey Results
Survey participants were asked to share their excitement about pursuing further
development of the succession competencies. Participants were shown all 10 competencies in table
format with a 4-point Likert scale attached to each individual competency. Participants were able
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to select strongly disagree, disagree, agree, or strongly agree. Only one competency and 4-point
Likert section met or exceeded the 68% agreement threshold, and it was communication which
received 19 “strongly agree” responses (76%). The next highest competencies and 4-point Likert
sections were: empowerment which received 13 “agree” responses (52%) and work commitment
which received 5 “disagree” responses (20%). Figure 12 portrays the full range of participant
emotion (excitement) selections.
Figure 12
Survey Emotion Results
Interview Findings
Interview participants were asked if they feel excited to pursue each of the succession
competencies. Participants 1, 4, and 9 only offered “Yes.” Participant 2 said “Yes, for the most
part. I just do not look forward to pursuing “work commitment.” But I think that is likely because
of how the organization is changing my section and the fact that I do not align with the new goals
being developed.” Participant 3 stated,

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Yes, for the most part. It is continuous learning, like continuous education, whether formal
or informal. It proves that there is still so much you can do in your career or life as a whole.
The continuous and holistic view of oneself is paramount.
Participant 5 said, “Yes, the excitement helps me to be realistic with my goals and start the process
of improvement. This improvement is always crafting a newer version of myself.” Participant 6
added “I am always excited to learn new things, especially the ones you presented here today.
These are critical, nearly essential to being well-rounded in the workplace.” Participants 7 and 8
similarly quipped, “I am never excited about conflict resolution. But I do look forward to new
learning.” Participant 10 added,
Sure, on the face, it sounds fun! Although, I am sure it is not all fun. But this learning
would help with future jobs and experiences. But even outside of work life, these
competencies are beneficial for many personal life decisions.
Participant responses in this section signaled great overall excitement to pursue the succession
competencies, although there were some competencies (work commitment and conflict resolution)
mentioned that were deemed undesirable to pursue.
Document Analysis
I again found no documents related to emotion in relation to development after an extensive
search.
Summary
The participants of this study are excited to pursue most, if not all of the succession
competencies. This is confirmed by an overwhelming survey total majority (87%) of “agrees” and
“strongly agrees.” This is additionally evidenced by largely supportive interview participant
responses. However, as with the attribution influence, there is a lack of organizational evidence
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supporting connections between the emotions of employees and their pursuit of competency
development. This study identified this influence as an asset to the organization.
Results and Findings for Organization Causes
Cultural Models: The Organization Needs a Culture that Supports Personal Growth
Survey Results
Survey participants were asked whether they think the organization has a culture that
supports personal growth. Participants were provided a 4-point Likert scale consisting of strongly
disagree, disagree, agree, or strongly agree. Although no answers met or exceeded the 68%
agreement threshold, there was still a leading majority. The choice of “strongly disagree” received
1 response (4%) while the choice of “disagree” received 8 responses (32%) producing a total
disagreement rate of nine responses (36%). The choice of “agree” received 12 responses (48%)
while the choice of “strongly agree” received 4 responses (16%) producing a total agreement rate
of 16 responses (64%). Figure 13 visually portrays the full range of participant selections.
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Figure 13
Survey Cultural Model Results
Interview Findings
Interview participants were asked whether they think the organization has a culture that
supports personal growth. The responses were very mixed and indicative of an organizational
problem. Participant 1 said, “I think it is there, but needs serious work. They are trying to find
innovative ways to develop well-rounded employees. But that culture is not fully being
implemented.” Participant 2 went further by saying,
They do well towards standing up and checking the box by saying we encourage personal
growth. But there is no mechanism or true culture in place to ensure employees have
resources to develop themselves. It is strictly an individual thing, and it should not be.
Participant 3 offered the most striking response:
Short answer: the culture sucks. Long answer, there is a very sad dichotomy of personality
or user mindsets within my workplace. It basically holds a certain category of humans on

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a pedestal and everyone else below that. Everyone else is just supporting that category of
humans; they are viewed as expendable. Any support for the most part that I have seen has
been like “as long as it doesn’t get in the way of our ‘Group A’ of humans.” You are always
going to be “Group B;” unless you specifically want to join “Group A,” at which point,
you are required to work your butt off to become part of “Group A.” But if you if do not
want to be “Group A;” then it is like … okay; well just put in your hours and maybe we
will sign off for training; maybe we will allow you to grow to a certain level. But the best
opportunities only exist for people in “Group A.” Some people in “Group B” do amazing
things and probably have way more importance than people in “Group A;” but that does
not matter.
Participant 4 said, “I believe in personal growth; but it does not exist here.” Participant 5 stated,
I do not feel like there is a ton of personal growth. It seems more short-termed compared
to long-term goals and compared to other organizations. It almost feels like you are just
there to take up a spot for the time being. I do not feel the organization has our growth and
best interest in mind.
Participant 6 added to similar sentiment from Participants 2 and 3:
Leaders in my organization like to preach personal growth from their ivory tower but do
not like to practice that in terms of approving or developing opportunities for us entry to
mid-level employees. It is purely a self-focused thing you have to drive yourself to find
and do.
Participant 7 said,
There does not seem to be any focus on a culture of personal growth. It is a little bit fraught
in my experience, since economically there has not been a lot of room for improvement or
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advancement. It seems like I have gone about as far as I can go and that is maybe my
biggest issue with where I am at right now.
Participant 8 had the only positive note to add: “ Personal growth is applauded and encouraged.”
Participant 9 smiled, chuckled softly, and said “let’s move on to the next question.” I felt this was
a very telling indicator of internal issues related to the culture of personal growth. Participant 10
stated, “The culture very much depends on your supervisors. Sometimes the supervisors are not
necessarily into personal growth. So, it just boils down to which section you work in and what
supervisors for whom you work. My section … does not seem to have any interest in supporting a
culture of personal growth.” The responses from this section indicate serious organizational issues
for which most employees are aware will not be easily rectified.
Document Analysis
I did not find any documentation to support the assertion that the organization supports a
culture of personal growth. I did however find a small element of professional development that
might act as a bridge to a culture of personal growth. A survey report from 2018 highlighted that
employees listed organizational culture as the most important area leadership should focus on to
make it a better place to work. It does not appear in any recent manuals and does not mention
any ongoing programs for employees of all positions and levels. All other discovered documents
were firmly nested in the topic area of professional development and will be explored further in
the following section of cultural settings.
Summary
Data showed that 64% of survey participants reported the organization has a culture that
supports personal growth. However, 80% of interview participants candidly stated that the
organization does not have a culture that supports personal growth. I conducted extensive research
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of over 50 documents and was unable to find any evidence of organizationally supported, fostered,
cultivated, or generated cultures of personal growth. This is a confirmed need.
Cultural Settings: The Organization Needs to Provide Professional Development for the
Survey Results
Survey participants were asked whether they think the organization provides personal
development for the succession competencies. Participants were provided a 4-point Likert scale
consisting of strongly disagree, disagree, agree, or strongly agree. Although no answers met or
exceeded the 68% agreement threshold, there was still a leading majority. The choice of “strongly
disagree” received 1 response (4%) while the choice of “disagree” received 11 responses (44%)
producing a total disagreement rate of 12 responses (48%). The choice of “agree” received 10
responses (40%) while the choice of “strongly agree” received 3 responses (12%) producing a total
agreement rate of 13 responses (52%). Figure 14 visually portrays the full range of participant
selections.
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Figure 14
Survey Cultural Setting Results
Interview Findings
Interview participants were asked whether they think the organization provides
professional development for the succession competencies. Participant 1 echoed similar sentiment
to that of Participant 3 in the cultural model response:
I have not seen too much professional development. It is very dependent on employee
conversations with their supervisor. Employees cannot or do not feel like they can take
their turn on professional development because they are so bogged down and I think a lot
of that is due to money, resources, the priorities, or simply because you are not in a specific
career specialty. You will always be seen as the seventh alternate if you are not in a specific
career field; even if you were the first one to sign up.
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Participant 2 offered a different perspective:
They do a better job at that. There are systems in place to ensure professional development
and time is granted to facilitate requisite training. I do also think they follow through on
that aspect because it benefits them more. It seems they just see more value in it as opposed
to personal growth.
Participant 3 stated,
They do a good job of acknowledging that training. However, a lot of people and even
supervisors complain that professional development is one of the first things on the
chopping block when something more important takes hold. I personally had to cancel my
training because they needed me to do my job. They failed to understand my point of view
in which I was very motivated to better myself and grow my skill sets.
Participants 4, 8, and 9 said they did not have enough knowledge on this topic and preferred to
skip the question; thereby ending the interview since it was the last question. Participant 5 said, “I
was hired and then never heard anything about training again. It was like I was just dropped in.
The only reason I have been successful is because I have taken the initiative to seek out training
from peers.” Participant 6 stated,
This is very similar to my thoughts on the personal growth question. Professional
development in my part of the organization is very focused on promotion and I do not agree
with that. I do not think that my professional development should be determined by my
ability to get promoted. I think my professional development furthers my ability to achieve
higher social status someday in terms of leading and influencing others.

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Participant 7 said,
To be honest, it does not seem like the organization cares anymore. It has gotten to a point
where professional development just is not done as much and people are seemingly ok with
that. There used to be more programs and training for associates, to achieve more
leadership skills and go farther in the organization. But they are not around anymore. Also,
there are a lot of job openings on our job boards for associate, warehouse, or even
production … but never any positions higher up in the organization. That pathway does not
seem very concrete. There is an obvious lack of interest towards creating those kinds of
pathways for future employees and leaders.
Participant 10 reported,
They approach it basically like training courses. There is nothing professional about it; it
is just on-the-job training. Sometimes they use individual development plans which is great
because it keeps everyone accountable. But, like everything else, it ebbs and flows on the
fanciful whims of the supervisor.
Most of the employees expressed displeasure with the existence or availability of training
programs within the organization.
Document Analysis
I did find evidence to support that the organization has plans and programs in place to
support general professional development. However, little evidence was found to support that this
professional development will help them towards education and achievement of the succession
competencies. One leadership development program intended to teach the basics of “teamwork,”
“conflict resolution,” and “decision making,” which are three of the 10 succession competencies I
laid out. Another leadership development program from 2018 was found that trained newly
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selected or promoted individuals on general supervisory functions and tasks. However, there are
no new documents showing renewal or current use of that program and its overview did not include
any of the succession competencies. A 2019 leadership development continuum worksheet was
discovered that lists “communication” and “conflict resolution” as necessary competencies for
newly promoted leaders.
Summary
The majority (52%) of survey participants (13 of 25) reported the organization provides
professional development for the succession competencies. Data showed that 70% (7 of 10) of
interview participants stated that the organization does not provide any such professional
development. The other 30% (3 of 10) of interview participants agreed that such professional
development does exist. I conducted extensive research of over 50 documents and did find
evidence of professional development. However, the evidence that was found was very basic in
nature and only highlighted four of the 10 succession competencies. This is a partially validated
influence due to the lack of systematic professional development programs for the full range of
succession competencies.
Summary of Validated Influences
This chapter utilized quantitative results and qualitative findings to provide answers to the
first two research questions, reporting first on the progress towards organizational and stakeholder
goals and then confirming influences as needs or assets. At the opening of this chapter, it was
clarified that when making assertions from the data, 68% agreement on survey items was the
threshold for asserting agreement, and interview data used as evidence generally relied upon code
typicalities of at least 70% among interview subjects. Similarly, the degree to which an influence
was validated depended upon the overall percent agreement on the survey and/or the typicality in
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the interview data. Given these metrics, influences were validated when data indicated more than
68% of employees surveyed or 70% of employees interviewed were experiencing that KMO
challenge. Influences impacting between 24– 64% of survey respondents or 30–60% of interview
subjects were considered partially validated, and those influences affecting 20% or fewer
employees from either sample would have been classified as not validated. There were no
influences in the “not validated” category in this study. Table 1 reiterates the six influences
explored in this study and highlights whether each was validated (V) or partially validated (PV).
Table 6
Degree of Validation of Confirmed Needs (C = confirmed, NC = not confirmed)
Assumed C Assumed C Assumed C

Knowledge or Motivation or Organizational or
Influences NC Influences NC Influences NC
Employees need to know C Employees need C The organization C

the benefits of the to value the has a culture that
Succession Competencies Succession supports personal
to the success of the Competencies. growth.
organization.
Employees need to know C The organization C

how to implement the provides
strategies for the professional
Succession development for
Competencies. the Succession
Competencies.
Employees need to know C

how to monitor their
progress toward achieving
the Succession
Competencies.
Most of the influences in Table 1 were directly connected to the assertions made throughout
this chapter. Table 7 summarizes the key assertions and supporting data articulated in Chapter
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Four, categorized as either KMO confirmed assets or KMO confirmed needs. The third research
question guiding this study asks for knowledge-based, motivational, and organizational
recommendations to address the problem of practice. The results and findings from this chapter
guide the selection of principles and the creation of context-specific recommendations that can be
incorporated into an implementation and evaluation plan in Chapter Five.
Table 7
Summary of Results and Findings, Reported as Identified Assets and Validated Influences
KMO Identified Assets KMO Identified Needs
Factual Knowledge
76% of employees can accurately define

the succession competencies.
Conceptual Knowledge
Employees displayed knowledge on the 62% of employees did not know the
benefits of employee and workforce benefits of the succession competencies to
development. the success of the organization.
Procedural Knowledge
Employees identified implementation 70% of employees were unable to identify

strategies with an individual learning and or offer knowledge on the implementation
discovery process. strategies of the succession competencies.
Metacognitive Knowledge
80% of interview participants highlighted a 52% of survey participants showed a weak

strong understanding of monitoring their understanding of monitoring their
progress towards achieving the progress towards achieving the
Succession Competencies. Succession Competencies.
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KMO Identified Assets KMO Identified Needs
Motivation – Value
Employees showed low levels (less than

30%) of value for the Succession
Competencies.
Motivation – Self-Efficacy
Employees reported high levels of self-

efficacy in their ability to perform the
Succession Competencies.
Motivation – Attribution
Employees reported high levels of feeling

in control of their success in achieving the
Motivation – Emotion
Employees showed great desire and

excitement towards pursuing the
Cultural Model
Employees (64% survey and 80%

interview) reported that the organization
does not have a culture that supports
personal growth.
Cultural Setting
Employees disagreed (52% survey and 40%

interview-30% declined to answer the
question) that the organization provides
professional development for the
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Conclusion
The conceptual framework that guided this study highlighted the relationships, as
determined by a review of the literature, between self-efficacy and other theories of knowledge
and motivation. The conceptual framework situated all knowledge and motivation influences
within the organization’s cultural settings and cultural models. While the results and findings
highlighted both KMO identified assets and validated influences which will frame the
recommendations in Chapter Five, the overall data from this evaluation study aligns with the body
of research that informed the conceptual framework. The correlations between improved employee
competency development and other KMO factors are evident.

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Chapter Five: Solutions and Integrated Implementation and Evaluation Plan
In Chapter Four, organizational and stakeholder goals were evaluated and a number of
knowledge-based, motivational, and organizational influences on the problem of practice were
identified. In Chapter Five these results and findings guided the selection of evidence-based
solutions and recommendations, specific to the categories of confirmed assets or confirmed needs
as KMO challenges. This chapter utilizes the New World Kirkpatrick Model to generate an
integrated implementation and evaluation plan for the recommended solutions (Kirkpatrick &
Kirkpatrick, 2016). In order to frame this chapter in the context of the organizational mission,
performance goals, stakeholders, and research questions that guided the study, this chapter begins
by revisiting important sections from Chapter One.
Organizational Context and Mission
Xrante (a pseudonym) is a private company based in the eastern United States that provides
administrative research and analysis support to governmental organizations. Xrante is in the
business of strategic governmental problem-solving. The firm is led by an executive director with
several key senior-level management roles serving as direct reports. However, there is no
succession plan for the executive director or the senior-level positions. There is also no talent
management system designed to identify potential executive candidates and subsequently groom
them for a transition into senior or executive roles. Xrante has a unique blend of employees with
roughly 60% of them having past military experience. Employee hiring is heavily process-driven
with various steps, assessments, and interviews, while management selection is mostly from
outside the organization instead of inside hire. Xrante has a wide variety of age groups, but the
average age falls between 33 and 50 years old. Xrante is very racially and ethnically diverse, but
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Caucasian males still hold the racial majority. There are over 2000 employees and the male/female
ratio is roughly 60/40.
By December 2021, potential executive candidates will develop a talent management
system designed to identify qualities necessary for selection to executive roles.
Description of Stakeholder Groups
Three stakeholders are involved in the achievement of this organizational goal. The first
stakeholder group is the Xrante executive and senior leadership. This group was considered largely
due to the focus of their leadership service and experience. Their perspective on the succession
planning process can provide a top-down perspective not found in the other stakeholder groups.
Also, they hold the final approval authority regarding the selection of candidates to executive and
senior leadership roles.
The second stakeholder group is the clients of Xrante. This group was considered because
they have organizational longevity and can provide an external level of expectation management.
Xrante clients have been privy to various leaders over many years that may or may not still be with
the organization. This allows them to carry sets of philosophical “lessons learned” and better
inform the other two stakeholder groups as to what has already been attempted in the past,
successfully or not.
The third group is the stakeholder of focus; the Xrante employees as potential executive
candidates. I selected this focus after consultation with the Xrante director revealed that employees
have relevant insight into competencies necessary for service at the executive level. Employees’
have unbound access to other employees in the organization and understand many elements of the
organization’s behavior, often in response to leadership decisions or even indecision. Employees

84
can either build up or destroy organizational leadership and it can sometimes happen unexpectedly
or unknowingly. This study’s inquiry of potential executive candidates’ intuition and perception
is expected to enhance leadership development that informs the creation and implementation of
Xrante’s future executive succession plan.
Goal of the Stakeholder Group for the Study
Xrante employees, as potential executive candidates, were the stakeholder of focus for this
study. While the joint efforts of all stakeholders contributed to the achievement of the
organizational goal of implementing a succession plan, it is critical to understand potential
executive candidates’ needs for their participation in the development of a talent management
system. This decision was made after evidence supported that potential executive candidates offer
great insight into the needed competencies and knowledge to perform at executive levels (Kesler,
2002; Rothwell, 2002). Potential executive candidates are highly involved in the pursuit of
achieving the organizational goal and have many roles in implementing the future Xrante executive
succession plan.
organization. However, failure to meet the organizational goal could generate chaos amid
unexpected transitions and lock Xrante into years of being reactive rather than proactive. This level
of achievement was determined by observation of current methods of naming executives and
senior leaders and by comparing Xrante’s operating styles to other organizations of comparable
size and stature, both in literature and in worldly settings. Since this performance goal is new for
Xrante and its senior leadership, the performance gap is 100%.

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Purpose of the Project and Questions
This project conducted a needs analysis to examine the root causes of the organizational
problem described above. While a complete needs analysis would have focused on all Xrante
stakeholders, for practical purposes I only focused on employees, as potential executive
candidates. This analysis focused on causes for this problem due to gaps in the areas of potential
executive candidates’ knowledge and skill, and motivation. Three research questions guided this
study:
executive roles?
Introduction and Overview
Chapter Four provided insights into the first two research questions guiding this study. The
purpose of Chapter Five is to answer the third and final research question. Solutions were
recommended for validated knowledge-based, motivational, and organizational influences and by
creating an integrated implementation and evaluation plan to guide enacting those solutions. Each
set of validated influences is aligned with principles from the literature to generate context-specific
recommendations. These recommendations inform the development of a program to be
implemented as a research-based solution to the problem of practice. In this study, that program is
an employee competency development program, which incorporates data and findings from this
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study to improve effectiveness and value for employees as potential executive candidates. In the
end, this is expected to feed into the executive succession planning for the organization. After
aligning influences with recommendations, later sections in this chapter articulate the development
of an integrated implementation and evaluation plan using the New World Kirkpatrick Model
(Kirkpatrick & Kirkpatrick, 2016). While the Kirkpatrick model for training evaluation has always
emphasized four levels of intended outcomes for training events, including reactions, learning,
behavior, and results, the New World Model approaches design using an integrated approach and
beginning with Level 4 results (Kirkpatrick & Kirkpatrick, 2006, 2016). In this chapter the
planning for the program begins with Level, by articulating the leading indicators of successful
accomplishment of the organizational and stakeholder goals. Level 3 planning follows, in which
critical stakeholder behaviors for accomplishing goals are identified, along with the factors that
would drive the development of those behaviors. In Level 2 learning goals are articulated which,
along with the context-specific recommendations from the first half of this chapter, inform the
design of the program. Simultaneous to backwards designing the program, which would be
considered the implementation component of the integrated implementation and evaluation plan,
metrics, and timelines for evaluation at all four levels are articulated. The integrated plan concludes
with a presentation of sample survey items and proposals for data visualization for various key
stakeholders. The planning is performed with the end in mind and evaluation is integrated into
implementation, both during planning and executing the program.
Recommendations for Practice to Address KMO Influences
Knowledge Recommendations
The data from this study validated conceptual, procedural, and metacognitive knowledge
influences on the problem of practice. Despite high levels of factual knowledge, employees
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demonstrated conceptual knowledge gaps relating to the benefits of the succession competencies.
Also, employees further demonstrated procedural knowledge gaps relating to implementation
strategies of the succession competencies. In addition, employees revealed gaps in their self-
regulation and self-monitoring skills through struggles to accurately assess their progress towards
achieving the succession competencies. It is predicted that providing training and education on
these influences could help to narrow gaps in employee competency development. Given this
study’s focus on three levels of knowledge, there is a high density of recommendations aligned to
knowledge influences.
Table 8
Summary of Knowledge Influences and Recommendations
Validated as a
Gap?
Assumed Yes, No Priority?
Knowledge (V, N) Yes, No Context-Specific
Influence (Y, N) Principle and Citation Recommendation
Employees need V Y Information learned Education –
to know the meaningfully and provide employees
benefits of the connected with prior a list of concepts
Succession knowledge is stored and skills to
Competencies more quickly and connect with prior
to the success remembered more knowledge in
of the accurately because it relation to the
organization. is elaborated with Succession
(K-C) prior learning Competencies.
(Schraw &
McCrudden, 2006).
Employees need V Y To develop mastery, Training – provide
to know how individuals must practice and
to implement acquire component feedback; break
the strategies skills, practice down complex
for the integrating them, and tasks related to
Succession know when to apply succession
Competencies. what they have competencies;
(K-P) learned (Schraw & model effective
McCrudden, 2006). strategy use,
including “how”
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and “when” to use

particular
strategies
Employees V Y Self-regulatory Education – Provide
know how to strategies, including employees
monitor their goal setting, enhance opportunities to
progress learning and self-regulate their
toward performance (APA, own progress
achieving the 2015; Dembo & towards achieving
Succession Eaton, 2000; Denler the Succession
Competencies. et al., 2006). Competencies.
(K-M)
Increasing Employees’ Conceptual Knowledge of the Benefits of the Succession Competencies
The results and findings from this study indicate that 62% of employees lack conceptual
knowledge on how to accurately identify the benefits of the succession competencies. A
recommendation rooted in information processing system theory has been selected to close this
conceptual knowledge gap. Schraw and McCrudden (2006) asserted that information learned
meaningfully and connected with prior knowledge is stored more quickly and remembered more
accurately because it is elaborated with prior learning. Information processing theory also
highlights the effectiveness of frequent performance feedback during learning (Mayer, 2011).
These theories suggest that constructing a function to bridge the teaching of new concepts with
prior learned knowledge will allow employees to store and remember key concepts more
successfully. Thus, the recommendation is to provide an education tool to employees in the form
of a list that details key concepts and skills that connect with prior knowledge in relation to the
succession competencies. A list of basic prior knowledge possibilities could be derived from
results discovered in the 30% of participants that highlighted a conceptual knowledge asset. This
exercise would be best followed by quarterly practice and frequent formative feedback.
Clark and Estes (2008) indicated that any knowledge we are aware of is, by definition,
declarative. It is made up of all the facts, concepts, processes, and principles we are aware of
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having learned, can remember, and still think about. When presented with new knowledge
opportunities or experiences, employees should associate that with their prior learned knowledge.
A foundational construct cited by Rueda (2011) aligns with this principle stating that as learners,
or employees in this case, become more proficient at doing something, much more of their
knowledge becomes automated, or not always consciously available (Alexander, 2003; Clark,
2006, 2008). The example cited by Rueda (2011) portrays the process by which a person starts
driving a car and gets better as they become more experienced. In time, many of the simple tasks
of driving are instinctual. Therefore, I recommend a similar approach to closing the conceptual
knowledge gap in this study. The recommendation is to utilize the Anderson and Krathwohl (2001)
taxonomy for teaching, learning, and assessing matrix with steps 1through 6: remember,
understand, apply, analyze, evaluate, and create. This could serve to connect employees’ prior
knowledge to new knowledge and close the conceptual knowledge gap.
Augmenting Employee’s Procedural Knowledge of the Implementation Strategies of the
The results and findings from this study indicate that 70% of employees lack procedural
knowledge on how to implement strategies of the succession competencies. A recommendation
rooted in information processing system theory has been selected to close this procedural
knowledge gap. In order for employees to develop mastery of necessary procedures, they must
acquire component skills, practice integrating them, and know when to apply what they have
learned (Schraw & McCrudden, 2006). This theory would suggest that a training-based
environment or scenario could augment the procedural knowledge of employees as it relates to
succession competency implementation strategies. Therefore, the recommendation is to create a
recurring training event that breaks down complex tasks and models effective strategic
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implementation, including “how” and “when” to use the strategies identified to each succession
competency.
Clark and Estes (2008) highlighted that training is the most effective method when
employees need demonstration, guided practice, and feedback to perfect a new procedure (p. 62).
In this area of procedural knowledge for succession competency implementation strategies, it is
imperative to train employees on the proper steps associated with the competencies. This training
method should be outlined and structured according to the same sequence in which the employees
will encounter in their workplace experiences (Anderson & Lebiere, 1998; Rueda, 2011; Tobias
& Fletcher, 2000). If employees receive disorganized training, it is highly likely that their mental
connections to this new knowledge will also be disorganized (Clark & Estes, 2008). Therefore, the
recommendation is to provide logically sequenced training to employees in the form of recurring
sessions (monthly or quarterly; based on needs) that breaks down complex tasks and models
effective strategic implementation, including “how” and “when” to use the strategies identified to
each succession competency.
Developing Employees’ Self-Regulation and Self-Reflection Strategies
The data from this study indicates that 52% of employees lack metacognitive knowledge
related to their ability to monitor their own progress towards achieving the succession
competencies. A recommendation rooted in social cognitive theory (Bandura, 1986) has been
selected to close this metacognitive knowledge gap. Employees need to utilize self-regulatory
strategies, including goal setting, learning enhancement, and performance to develop their self-
regulation and self-reflection capabilities (APA, 2015; Dembo & Eaton, 2000; Denler et al., 2006).
This theory would suggest that employees can be taught (Rueda, 2011) how to self-assess, self-
regulate, or self-reflect through customized education, if they utilize the specific educational aids
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designed for that purpose. The recommendation is to provide education to employees through a
new job aid, in checklist form, that clearly describes how to monitor one’s progress towards
competency achievement.
Clark and Estes (2008) clarified that while training is appropriate for teaching and
practicing the execution of a particular technique, education is the more appropriate tool to prepare
learners to solve future, novel challenges. Therefore, education is a good fit for the closing of
metacognitive knowledge gaps. Rueda (2011) noted a major goal of education is to produce self-
regulated learners who have acquired expertise and can transfer their knowledge and skills to real
world problems (p. 17). Self-regulation and self-evaluation skills are necessary for adaptive
learning, resilience, and autonomy (Giammatteo & Obaya, 2018; Rueda, 2011). Furthermore,
Rueda (2011) defined metacognitive knowledge as the source of strategic problem-solving
behaviors. Therefore, it is recommended that a training program of self-reflection and self-
regulation be developed with a special focus on modeling the effective uses of the strategies for
Motivation Recommendations
Data analysis for this study revealed a motivation influence aligned to value and the
expectancy value theory. Pintrich (2003) predicted the presence of this influence and asserted that
competence beliefs, control beliefs, and goals are among the keys to motivating learners, or
employees in this case. Motivation involves the processes of initiating, sustaining, and ensuring
the quality of goal-oriented activity (Rueda, 2011). These three motivational indexes are also
referred to as active choice, persistence, and mental effort (Clark & Estes, 2008). In the context of
employee competency development, recommendations for addressing employee motivation issues

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exist mostly in training aids and employee instruction. Table 9 highlights the theoretical principle
aligned to addressing the motivation influence and suggests context-specific recommendations.
Table 9
Summary of Motivation Influences and Recommendations
Validated as a
Gap?
Assumed Yes, High Priority?
Motivation Probability, No Yes, No Context-Specific
Influence (V, HP, N) (Y, N) Principle and Citation Recommendation
Value – V Y Rationales that include a Model value,
Employees need discussion of the enthusiasm,
to value the importance and utility and interest in
Succession value of the work or organizational
Competencies. learning can help tasks
learners develop
positive values (Eccles,
2006; Pintrich, 2003).
It is important to increase employees’ value perception and the results and findings of this
study indicate that 30% of employees expressed low value of the succession competencies. A
recommendation rooted in expectancy value theory (Vroom, 1964) has been selected to close this
motivation value gap. Research shows that rationales that include discussions of the importance
and utility value of work or learning can help employees value the succession competencies at a
higher level (Eccles, 2006; Pintrich, 2003). These findings imply that the employees’ value of the
succession competencies will be bolstered with a summary tool that models value, enthusiasm and
interest in organizational tasks and purposes. The recommendation moving forward is to generate
an employee summary that details the value and enthusiasm of tasks and competencies in the
organization.
The National Research Council (2004) asserted that values are most influential in starting
an activity, while expectancies are most influential in persisting at an activity. The higher an
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individual values an activity, the more likely he or she chooses it, persists, and engages in it
(Rueda, 2011). Clark and Estes (2008) stated that most motivation researchers agree that there are
three motivational “indexes” or types of motivational processes in a work environment. They are:
active choice, persistence, and mental effort. The correct mixing of these facets of motivated
performance generates increased performance (Rueda, 2011). Therefore, the recommendation is
to provide employees a summary that teaches them how to boost or improve their value of the
succession competencies. This would be done by guiding them to organizationally aligned active
choices, providing models of enthusiasm and persistence, and piquing their interest through
increased mental effort towards development of smarter and novel solutions. This method could
see employees finding new realms of value and increased performance towards the succession
competencies.
Organization Recommendations
The data from this study confirmed organizational influences on both the needs for a
culture of personal growth and professional development opportunities for the succession
competencies. Clark and Estes (2008) assert that missing or inadequate processes and materials
can prevent the achievement of performance goals, even for employees with top motivation and
exceptional knowledge and skills. This section breaks down into two sections: the cultural setting
(Schein, 2004) and the cultural model (Gallimore & Goldenberg, 2001). Table 10 highlights the
cultural model and cultural setting recommended for adjustment through context-specific
recommendations to affect change on these problems. Strategies for addressing these
organizational influences include assessing the parts of the culture in question by engaging in
dialogue about employee needs and creating research-based education materials that are culturally
relevant for the organization. Table 10 illustrates how these theoretical principles could be applied
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to address cultural models that don’t fully value the succession competencies. The table also
describes how cultural settings of both organizational policies and procedures could be adjusted to
address the gaps in self-efficacy and participation.
Table 10
Summary of Organizational Influences and Recommendations
Validated
as a Gap?
Assumed Validated, Priority?
Organization No Yes, No Context-Specific
Influence (V, N) (Y, N) Principle and Citation Recommendation
Cultural Model — V Y A strong organizational Provide employees
The organization culture controls an organizational
needs a culture organizational process that
that supports behavior and can identifies and
personal growth. block an organization resolves
from making discrepancies
necessary changes for between values and
adapting to a behavior.
changing
environment (Schein,
2004).
Cultural Setting — V Y Effective change Provide employees

The organization efforts ensure that with a career
needs professional everyone has the specialty map that
development for resources highlights
the succession (equipment, necessary and
competencies. personnel, time, etc) optional resources
needed to do their (equipment,
job, and that if there personnel, time,
are resource etc) needed to do
shortages, then their job and
resources are aligned expected processes
with organizational outcomes during
priorities (Clark & shortage
Estes, 2008). environments.
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Developing a Cultural Model Supportive of Personal Growth
While survey participants (n = 25) agreed with the statement “The organization has a
culture that supports personal growth” at a rate of 64%, interview participants (n = 10) candidly
stated at a rate of 80% that the organization does not have that supportive culture. While the survey
response rate is below the agreement threshold of 68%, it is indicative of a growing organizational
issue. A recommendation rooted in organizational culture theory has been selected to close this
organizational gap. A strong organizational culture controls organizational behavior and can block
an organization from making necessary changes for adapting to a changing environment (Schein,
2004). The annotation of strong culture extends to both a good and bad environment for employees.
An overly strong culture that is not supportive of personal growth can likewise block the
organization from making necessary changes. Although attempts to correct or change
organizational culture may be upsetting for a portion of the workforce, it is important to develop a
culture that supports growth for the total workforce. The recommendation is to provide employees
an organizational process that identifies and resolves discrepancies between values and behaviors
of all employees.
Rueda (2011) asserted that organizational structures, policies, and practices can influence
whether the performance goals of individuals, groups, or entire organizations are met. Clark and
Estes (2008) state that organizational culture is the most important work process because it dictates
how employees work together to achieve organizational goals. Furthermore, Gutierrez and Rogoff
(2003) proposed that culture should not be seen as static or monolithic, but as a dynamic process
that is jointly created and recreated by individuals while negotiating everyday life. I add this
reference to highlight that organizational culture should similarly be jointly created and recreated,
as needed.
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Increasing Professional Development Opportunities
Survey participants (n = 25) agreed with the statement “The organization provides
professional development for the succession competencies” at a rate of 52% while interview
participants (n = 10) highlighted, at a rate of 70%, that the organization does not actually provide
that professional development. This survey response rate of 52% is well below the agreement
threshold of 68% but it is important to note that the other 48% of survey participants stated
disagreement to the same question. This survey data and its alignment to the data discovered in
the interviews highlights a serious organizational issue of professional development. A
recommendation rooted in Clark and Estes’s (2008) KMO change model has been selected to close
this organizational gap. Effective change efforts ensure that everyone has the resources (training,
development, equipment, personnel, time, etc.) needed to do their job, and that if there are resource
shortages, then resources are aligned with organizational priorities (Clark & Estes, 2008).
Peter Drucker (1995) asserted that leadership rests on being able to do something others
cannot do at all or find difficult to do even poorly. He continued by saying that leadership relies
on core competencies that meld market or customer value with a special ability of the producer or
supplier. This study adopts and refocuses that mentality in that the succession competencies are
necessary for employees to develop, as potential executive candidates, for selection to or service
at the executive level. This study and this section have exposed a gap in professional development
on the succession competencies for employees. Interview data highlights that 80% of participants
feel disenfranchised in relation to the organization’s approach to professional development and
education. Rueda (2011) noted that it is important that these types of organizational gaps be
systematically uncovered and considered alongside knowledge and performance gaps to target
solutions and expend resources in the most efficient manner possible. Clark and Estes (2008)
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further asserted that implementing organizational change and improvement processes is one of the
most important problems facing the business community today. Organizational structures,
policies, and practices can influence whether performance goals are met (Clark & Estes, 2008).
The recommendation is derived from that frame of mind and presents as setting about change
efforts to boost resource availability across the organization. The organization should provide
employees with career specialty maps that highlight necessary and optional resources (training,
education, equipment, personnel, time, etc.) needed to do their job and expected processes
outcomes during shortage environments.
Integrated Implementation and Evaluation Plan
Implementation and Evaluation Framework
The model that guided the design of this implementation and evaluation plan is the New
World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016), based on the original Kirkpatrick
Four Level Model of Evaluation (Kirkpatrick & Kirkpatrick, 2006). In the sections that follow,
Level 4 is considered first as the desired internal and external outcomes are defined. Level 4
outcomes are informed by the organization’s mission and goals, and in this study the outcomes
align to the stakeholder group of the employees, in pursuit of status as potential executive
candidates. Level 3 follows with defining the critical behaviors that must be cultivated in the
employee stakeholder group, identifying the necessary drivers to correct or adjust employees’
knowledge and motivation influences, and articulating the necessary organizational support
structures to enact the drivers. In Level 2 the learning goals are articulated in support of the desired
critical behaviors, and programs are planned to both target and evaluate declarative, procedural,
and metacognitive knowledge, and value as motivation. In Level 1 a plan is developed for
measuring employees’ engagement, satisfaction, and their perception of the relevance of executive
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succession planning. The use of Kirkpatrick and Kirkpatrick’s (2006) levels is meant to increase
the likelihood that enduring learning, behavior change, and organizational results are the ultimate
outcomes of education or training interventions.
Organizational Purpose, Need and Expectations
Xrante (a pseudonym) is a private company that provides administrative research, problem-
solving, and analytic support to governmental organizations. The firm is led by an executive
director with several key senior-level management roles serving as direct reports. There is no
succession plan for the executive director, or the senior-level positions and no talent management
system designed to identify and groom potential executive candidates for service in senior or
executive roles. Employee hiring is heavily process-driven with various steps, assessments, and
interviews, while management selection is mostly from outside the organization instead of inside
hire. Three stakeholders are involved in the achievement of this organizational goal: executive and
senior leadership, clients, and the stakeholder of focus which is the employees as potential
executive candidates. Potential executive candidates offer great insight into the needed
competencies and knowledge to perform at executive levels (Kesler, 2002; Rothwell, 2002).
Potential executive candidates are highly involved in the pursuit of achieving the organizational
goal and have many roles in implementing the future Xrante executive succession plan.
organization. However, failure to meet the organizational goal could generate chaos amid
unexpected transitions and lock Xrante into years of being reactive rather than proactive. This level
of achievement was determined by observation of current methods of naming executives and
senior leaders and by comparing Xrante’s operating styles to other organizations.

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Level 4: Results and Leading Indicators
Table 11 shows the proposed Level 4 results and leading indicators organized into external
and internal outcomes and the metrics and methods that could be used to evaluate them. The
outcomes are the lead indicators of continual, successful attainment of the goal for employees to
fully adopt and achieve the succession competencies that will set them up as potential executive
candidates for future service at the executive level. Internal indicators are likely to occur if critical
behaviors of employees can be cultivated by a unified and skilled faculty stakeholder group.
External indicators should follow upon successful attainment of internal outcomes.
Table 11
Outcomes, Metrics, and Methods for External and Internal Outcomes
Outcome Metric(s) Method(s)

External Outcomes
1. Potential executive Notice of announcement to Monthly reports
candidate program community, clients, partners,
established and prospective new hires
2. Internship opportunities Number of community and/or Public search statistics
government partners
Internal Outcomes
3. Employees attend new Number of employees identified Quarterly human
leadership course for attendance and potential resources report
for advancement
4. Increased employee Number of employees retained Workforce analytics
retention versus previous timeframe retention report
(months, years)
Level 3: Behavior
Critical Behaviors
The stakeholder group of focus in this study was the employees as potential executive
candidates. The first critical behavior identified is that employees must cultivate skill sets and
mindsets based on the succession competencies. The second critical behavior is that employees set
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organizational and personal goals aligned to their growth in skills. The third critical behavior is
that employees sustain and further develop their values through a focus on organizational job aids.
Table 12 specifies the metrics, methods, and timing for the evaluation of each of these critical
behaviors.
Required Drivers
Employees will need supportive organizational cultures with mentors that have the
knowledge and skills to cultivate the critical behaviors described in Table 12 in order to influence
the achievement of the desired outcomes. As such, mentors, and their levels of engagement with
the employees’ will be the drivers for developing employees’ critical behaviors. Kirkpatrick and
Kirkpatrick (2016) categorized drivers as either reinforcing, encouraging, rewarding, or
monitoring. Many of the knowledge-based recommendations align with the category of
reinforcing, as training and education solutions are incorporated in organizations. Motivational
recommendations fall primarily into the encouraging category, as organizational practices support
students in initiating and sustaining goal-oriented behaviors.
Table 12
Critical Behaviors, Metrics, Methods, and Timing for Evaluation
Critical Behavior Metric(s) Method(s) Timing

1. Employees must a. The number of a. Human resources Monitor this metric
cultivate skill sets educational aids in shall keep a log of monthly
and mindset which an employee interested employees
based on the expresses interest
succession
competencies b. The number of b. Training
training aids in department shall
which an employee annotate training Monitor this metric
expresses interest requests monthly
2. Employees set The number of Human resources shall Senior leadership

organizational completed employee keep a repository of will review the
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and personal executive completed EEDP’s repository

goals aligned to development plans with employee and quarterly
their growth in (EEDP) supervisor
skills. endorsements
3. Employees The number of job IT shall install a Ongoing counter;
further develop aids document counting macro that reviewed by
their values downloads from the displays the number of leadership semi-
through a focus share point downloads next to the annually for topic
on organizational file name refresh and/or
job aids additions
Occasionally, motivation solutions involve an incentive, which places those drivers in the
rewarding category as students are celebrated for their successes. Finally, monitoring is most often
an organizational level solution, laying the foundation for accountability measures and data driven
decision making. Table 13 identifies and categorizes the required drivers identified in this study.
It further outlines the time interval for enacting each strategy and then demonstrates the alignment
of each driver to particular critical behaviors.
Table 13
Required Drivers to Support Critical Behaviors of Employees
Critical Behaviors Supported

Method(s) Timing
1, 2, 3 Etc.
Reinforcing
Training sessions on skill sets of the Quarterly 1, 2
succession competencies
Education on connection between Monthly 1, 2
organizational goals and the succession
competencies
Emphasis on development of personal values Quarterly 1, 2, 3
in relation to organizational goals and the
succession competencies
Education on recognition and memorization Weekly 1, 2
of the succession competencies
Encouraging
A positive environment of learning and Daily 1, 2, 3
collaboration in which employees see as
beneficial to their long-term success
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Provide employees frequent, feedback Monthly 2

aligned to their succession competencies
and organizational goals
Rewarding
Recognition of employees who model value, Monthly 1, 2
enthusiasm, and interest in organizational
tasks
Celebration of in-the-moment actions and Daily 1, 2, 3
values that align to the succession
competencies and organizational goals
Monitoring
Assess employee executive development Quarterly 2
plans (EEDP) for signs of increasing
knowledge and acceptance of the succession
competencies
Engage in PDSA cycle with the potential Quarterly 1, 2, 3
executive candidate course, ensure course is
aligned with organizational goals and
succession planning objectives
Organizational Support
The highlighted critical employee behaviors in Table 12 and required drivers highlighted
in Table 13 serve to ground the implementation of the organizational level recommendations. I
utilized perspectives from Bolman and Deal (2017) to offer a fuller picture of the proposed
organizational support. To support training efforts, the organization must reinforce participation
and involvement and ongoing psychological support throughout the process. As the employees’
train to develop new skills on the succession competencies, there must be emphasis on concurrent
development of their personal values as well. These areas may serve to reduce employee anxiety
and uncertainty (Bolman & Deal, 2017). Furthermore, the senior leadership must work to prevent
loss of direction and clarity during the time of change and seek to encourage a positive environment
in which employees feel capable of attaining long-term success. The senior leadership should
embrace the symbolic nature of change (Bolman & Deal, 2017) to prevent employees from feeling
a loss of meaning and purpose so that they do not cling to the past. This would be best
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accomplished by ensuring recognition of employees who model the succession competencies and
celebrating actions and values in keeping with the desired organizational change laid out in this
study. This focus would allow the organization to develop arenas where issues can be renegotiated
(Bolman & Deal, 2017) and allow new organizational coalitions that will be able to engage in the
four-part plan, do, study, and act (PDSA) model. This model will enable the potential executive
candidate course to remain aligned with organizational goals and succession planning objectives.
Level 2: Learning
Learning Goals
The following program learning goals target the Level 3 critical behaviors to support
stakeholder of focus behavior change en route to achieving internal leading indicators at Level 4
for ultimate alignment to the stakeholder and organizational goals. Following the implementation
of the recommended solutions, particularly as facilitated in the potential executive candidate
course, the employee stakeholders will be able to:
1. Connect prior knowledge about succession competencies to new learning (C)
2. Implement strategies pertaining to development of succession competencies. (P)
3. Demonstrate they know “how” and “when” to use particular strategies based on certain
scenarios. (P)
4. Apply strategies that facilitate monitoring their own progress towards achieving the
succession competencies. (K-M)
5. Reflect on their alignment of personal or professional goals to the organizational goals. (K-
M)
6. Monitor one’s progress toward achieving the succession competencies. (K-M)
7. Value the importance of the succession competencies. (value)

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8. Model interest in organizational tasks. (value)
9. Resolve discrepancies between values and behavior. (cultural model)
Program
The potential executive candidate program that was featured in this study was designed to
serve as an organizational change management tool concentrated on solving executive succession
planning with a unique focus on employee competency development. Hence, the program required
employees, as potential executive candidates, to begin a movement towards mastery learning of
the succession competencies. Beginning this year, the first program will be conducted within the
organization and will continue as a quarterly program. This program will have a target goal of five
employees per program iteration with four iterations per year. This will allow up to 20 employees
to receive executive training per year. This is a 96-hour program that will meet over a spread of
four hours a day, three days a week, for two months. The four hours per day can be split into two
separate two-hour blocks per day, with respect to the organizational focus or challenge at any given
time. This will allow the organization to train potential executive candidates while still ensuring
the advancement of organizational goals and its mission. The training will utilize instructor-led
lectures, guest speaker seminars, group exercises or activities, individual written assessments,
periodic checks on learning, group discussions, pre-and-post tests, demonstrations, practice and
feedback, and group survey assessments.
The intent is for employees to grow and develop in the succession competencies and
increase their likelihood of being selected to executive roles. Each future iteration of the potential
executive candidate program will be methodically informed by the evaluation of the program
conducted during the previous quarter. As such, the first iteration of the program I laid out will
incorporate the KMO needs analysis from this dissertation study. The second and following
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iterations will derive necessary updates from the first iteration. The recommended program offers
suggestions on how to facilitate employee competency development that will lead to inclusion in
the organizational executive succession planning and talent management frameworks. This
program will focus on the benefits of each succession competency and its relation to organizational
goals. Program managers and instructors will conduct prior knowledge tests at the beginning of
each program iteration. This will allow them to connect prior knowledge to soon to be received
information.
The program will further explore the strategies connected to each succession competency
and engage the course in scenario-based training that utilize demonstrations as well. This will
allow each employee to witness the “how” and “when” involved with each strategy. Employees
will also be taught performance indicators that allow them to better know how to track their own
progress towards achieving the succession competencies. Furthermore, employees will
specifically train on recognition and memorization of the succession competencies and how they
factor into their employee executive development plans. Employees will engage in a variety of
training methods designed to facilitate a transfer of skills from a theoretical space to on-the-job
behaviors. These methods will include role-playing of employee-employee and employee-leader
interactions, dramatizations of workplace incidents, group activities, simulations, pre and post
assessments, and group discussions. Employees will navigate these methods through the use of job
aid checklists that help them to differentiate whether they are exuding good or bad skill sets of the
succession competencies. Employees will be expected to journal detailed notes of their progress
and thoughts before and after each training method. This program will also use a teach back system
that informs a later action planning process. At the end of each week, employees will teach back
to their peer’s portions of material or lessons learned in that week’s exercises as a way of
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confirming their own understanding. Employees will be allowed to reference their journal entries
from that week’s training for the teach back portion. At the end of each week, employees will also
be asked to write down one thing from the week’s training that they would like to further develop.
These topics will be discussed in group discussions and will form the basis from which individual
employee actions plans will be developed. The action plans, combined with their journal entries,
will be used as guiding paths designed to form concrete transfers of knowledge and skills from the
program to on-the-job behaviors.
Attendees will also be taught how to further develop personal values in relation to
organizational goals. This will enable critical behaviors that are necessary to developing potential
executive candidates that embody the succession competencies in leadership functions. Employees
will engage in peer-to-peer training exercises designed to teach them the specific skill sets that rest
within the succession competencies. These skills include benefits, implementation strategies, and
task procedures. Employees will receive extensive training on the expectations of the employee
executive development plan and further teach them how to implement these plans as future
supervisors.
Instructors will also use this block of the training to connect their progress towards teaching
employees how to ascertain the organizational goals and sync their plans. The course shall take
dedicated time to highlight models of value, enthusiasm, and interest in organizational tasks. This
will further explain how to identify and resolve discrepancies between value and behavior.
Instructors will have latitude to use organizational examples or bring in external case studies that
align to the block of instruction. Lastly, instructors will introduce and teach the organizational
career specialty maps. This training will summarize required and desired performance levels in
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each specialty and then showcase how to maintain high levels of performance amidst shortage
environments.
Evaluation of the Components of Learning
Throughout instruction, there must be checks of the employees’ conceptual, procedural,
and metacognitive knowledge. This will ensure effectiveness and serve as a corrective measure if
the course is seemingly off track for any reason. Additionally, continued assessment of the
employees’ value development will be climacteric so as to ensure the training is not inhibiting
permanent learning. If there are gaps in employees’ perceptions of the value of this program and a
lack of commitment on their part to setting challenging goals and candidly reflecting on progress,
the cultivation of critical behaviors is less likely. Table 14 highlights the methods and timing for
evaluating these knowledge-based and motivational components of learning.
Table 14
Evaluation of the Components of Learning for the Program
Method(s) or Activity(ies) Timing

Declarative Knowledge “I know it.”
Knowledge checks through formative End of each training block after the “checks on
quizzes learning” and at conclusion of the program
Knowledge checks via instructor End of each training block as a “check on
call/responses format and group activities learning”
Pre-test and post-tests Beginning and end of program
Procedural Skills “I can do it right now.”
Observations of employees’ application of Periodically throughout the program
succession competency skills
Individual/group activity Beginning, middle, and end of program
Pre-test and post-tests Beginning and end of program
Attitude “I believe this is worthwhile.”
Discussions with employees about value Periodically throughout the program
Pre-test and post-assessments Beginning and end of program
Confidence “I think I can do it on the job.”
Likert scaled survey items related to Periodically throughout the program
confidence
Pre-test and post-assessments Beginning and end of program
Commitment “I will do it on the job.”
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Practice goal setting and creating individual Periodically throughout the program
action plans
Likert scaled survey items related to Periodically throughout the program
commitment
Level 1: Reaction
Level 1 evaluation seeks to measure reactions to the potential executive candidate program
in the categories of engagement, relevance, and customer satisfaction. Table 15 articulates the
methods or tools for evaluating these reactions and indicating the frequency and timing of each
evaluation.
Table 15
Components to Measure Reactions to the Program
Engagement
Observations by instructor of peer Periodically throughout the program
assessments/interactions
Observations by instructor during program that Periodically throughout the program
indicate value, excitement, and cognitive
engagement
Program evaluation At the end of each program
Relevance
Employee survey Quarterly
Customer Satisfaction
Employee survey Quarterly
Evaluation Tools
Immediately Following the Program Implementation
In this chapter, course evaluations and specific items were listed as ways to measure Level
1 and Level 2 outcomes immediately following implementation of the potential executive
candidate course. This evaluation plan highlighted Level 1 questions that were designed to be
reflective of only the post-program reactions. The goal of this is to measure employees’ own
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perceptions of their engagement while learning, their satisfaction with the experience, and the
relevance of what they learned using a four-point Likert scale. Level 2 evaluations incorporated
measures of declarative and procedural knowledge, commitment, confidence, and attitude. This
evaluation plan also highlighted Level 2 rating items that were designed to include both post-
course assessments and pre-course reflections using a five-point Likert scale. These items seek to
measure both the effectiveness of the program at achieving the intended learning goals, while also
assessing employees’ perceptions of their opportunities for growth in knowledge, confidence,
commitment, and attitude. Appendix E provides examples of Level 1 and Level 2 rating items,
such as those that might be used on a course evaluation at the conclusion of each potential
executive candidate course.
Delayed for a Period After the Program Implementation
Kirkpatrick and Kirkpatrick (2016) advised an additional; but delayed post-program
evaluation. This would come after the required drivers have been activated and the employees have
had ample opportunities to enact the knowledge and skills acquired from the potential executive
candidate program. The recommended timeframe will vary from organization to organization,
depending upon how long it takes to activate both the drivers and the stakeholders’ critical
behaviors (Kirkpatrick & Kirkpatrick, 2016). The drivers articulated in this implementation and
evaluation plan describe actions to be taken by employees in the potential executive candidate
program to reinforce, encourage, and reward them as they work on developing critical behaviors.
Due to the employee’s ongoing acquisition of learning goals and continuous development of their
critical behaviors, progress on Level 3 drivers should be evaluated at the midpoint of the program.
This might allow instructors to adjust the implementation of drivers in order to achieve better
employee outcomes. Appendix E showcases Level 3 rating items for drivers using a four-point
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Likert scale, for a survey to be administered mid-way through an iteration of the potential executive
candidate program. Level 3 critical behaviors will be better measured after completion of the
program and should indicate the level to which employees’ critical behaviors were developed
while in training. Furthermore, Level 4 outcomes are expected to describe long-range indicators
of success which are generally aligned to the accomplishment of the stakeholder and organizational
goals. Hence, it would be most appropriate to assess level 4 rating items between four to six months
after completion of a program iteration. Kirkpatrick and Kirkpatrick (2016) encouraged revisiting
Level 1 metrics of relevance and customer satisfaction in a delayed survey. They further suggested
a check for retention of Level 2 knowledge and skills-based learning goals. Appendix F highlights
a sample delayed survey with Level 1, 2, 3, and 4 rating items that could be administered to
employees five months after completion of a program iteration. The rating items include a
combination of open-ended questions, indications of degree of application of behaviors on a five-
point scale, and check box questions.
Data Analysis and Reporting
I expected this implementation and evaluation plan to generate a significant amount of
data. Kirkpatrick and Kirkpatrick (2016) advised on how to avoid the common pitfalls in data
collection and analysis including (a) spending too much time and energy on Level 1 and Level 2
feedback, (b) asking questions that don’t generate useable data, (c) making presentations of data
analysis too complicated, and (d) simply not using the data that has been collected. The following
plan for data analysis and reporting has been designed to avoid these pitfalls by adhering to the
advice of Kirkpatrick and Kirkpatrick (2016).
This plan for data analysis and reporting includes creating a web-based portal for use by
the program instructors, employees, and organizational leadership. Since piloting organizational
111
change requires the need for continuous data collection and analyzation, I assert that the program
instructors, employees, and organizational leadership might benefit from a filterable visual display
of results of the measures for Level 1, Level 2, and Level 3 drivers administered at the conclusion
of each program iteration. The display of results would be aggregated, and employee survey
responses would be kept confidential with no collection of identifying information.
This web-based portal would have a second section that allows for monitoring of the Level
3 behaviors and Level 4 results. The goal of the second page would be to monitor if the potential
executive candidate program is working to accomplish the organizational goal and increase
employee knowledge on succession competencies. This web-based portal allows the organization
to quickly visualize aggregate results of changes in Level 2 confidence throughout the program
while illustrating the Level 3 critical behaviors and Level 4 indicators relating to employee gaps.
The overall purpose of collecting, visualizing, and analyzing data is to monitor progress toward
the achievement of stakeholder and organizational goals. In addition to data from the evaluations
designed in this chapter, progress toward the stakeholder goal should continue to be monitored
using samples of employee assessments as was modeled in Chapter Four of this dissertation.
Summary
This chapter utilized the New World Kirkpatrick Model to design an integrated
implementation and evaluation plan to enact recommended solutions to the problem of employee
competency development on the succession competencies (Kirkpatrick & Kirkpatrick, 2016). I
designed the potential executive candidate course using backwards planning, starting from the
Level 4 indicators of goal attainment and Level 3 stakeholder critical behaviors. The program
offers guidance on how to implement the first and recurring iterations of the potential executive
candidate course. The successful first iteration of this program will allow each subsequent iteration
112
of this program to offer better employee development of the Level 2 learning goals. These goals
will continue to be driven by the behaviors articulated by the Level 3 drivers.
It is not recommended to wait until the end of implementation to assess program success
of changing behaviors and creating desired organizational results, but to instead gather data
continuously (Kirkpatrick & Kirkpatrick, 2016). Frequent and repeated data collection allows the
opportunity to explore the following three questions about outcomes at any of the four Kirkpatrick
levels: (a) Does this outcome meet expectations?; (b) if so, why?; and (c) and if not, why not?
(Kirkpatrick & Kirkpatrick, 2016). I believe that eventually new evaluation instruments will need
to be developed in order to involve the other stakeholder groups of this study. The current
evaluation tools were only designed for use with the employee stakeholder group. To best assess
if expectations are being met, observations of instructors will be critical to inform whether
employees are meeting expectations according to Level 3 critical behaviors and the Level 2
learning goals.
Return on expectations are defined as the best indicator of value of a training program
(Kirkpatrick & Kirkpatrick, 2016) and the New World Kirkpatrick Model ensures this value by
articulating expectations from the very beginning. They further make clear that the measure of
success for an implemented program is discovered by the attainment of successful attainment of
the leading indicators laid out in the study. If an organization or its leaders are left wondering how
to prove if a change initiative was successful, then there is room for disagreement on the value of
that initiative. Initiatives that utilize an integrated implementation and evaluation plan create buy-
in and a greater chance for success. This chapter has provided Xrante a greater likelihood of its
potential executive candidate program experiencing success due to the developed planning and
support process.
113
Strengths and Weaknesses of the Approach
All methodological and theoretical approaches have strengths and weaknesses, and this
research study proved no different. The Clark and Estes (2008) gap analysis model provided great
strengths through a lens of KMO due to the connections to employee needs and development.
Also, there was a unique relationship between theories of learning and motivation that was
amplified for greater understanding through the KMO lens. It was well aligned for the problem of
practice and recommended solutions laid out throughout this chapter.
The backwards planning method of the New World Kirkpatrick Model was highly effective
towards designing the potential executive candidate program. This reverse thought process helped
to idealize first what success should look like and then guided me through each step designed to
bolster each next level. Although the components have been researched and proven to be
beneficial, I did feel a slight disconnect from some previous experience in the KMO model. For
example, it was felt that the critical behaviors section of Level 3 would be more complete with an
“observation” portion. I credit this to the fact that employees watch and occasionally, copy one
another. Whether this occurs in the right or wrong, there is a belief that this could be built into an
employee development function and could be an add-on to scenarios based on the succession
competencies.
Limitations and Delimitations
This study leaves ample room for future researchers. It could be adapted for use in many
other types of organizational research and could even be shifted to center on various stakeholder
groups of focus. Ideally, the next phase of this research would lend itself to investigating the senior
leadership as the stakeholder of focus and improving top-down mentorship programs. These
programs could be modified as add-ons into the potential executive candidate program in which
114
employees’ pair with a mentor in the last days or weeks of the program. This dual focus would
then be improving employee development via succession competencies and senior leadership
mentoring skills through live action. This study could also be adapted as a field study that attempts
to research multiple organizations at once for a comparison study across industries. Due to
constraints put in place during the COVID pandemic, I had to shift from observations to document
analysis. It is believed that observations would have allowed a closer connection to workplace
displays of the succession competencies than document analysis was able to provide. This study
saw a disproportionate gender spread with survey participants showing 16 males and nine females
and interview participants showing eight males and two females. It is felt that this may have
perpetuated a deeper male perspective and it was unintentional. A future study would be best
served to recruit a balanced gender pool for survey and interview participants.
Future Research
Future research on this topic should consider senior leadership as the principal stakeholder
of focus and seek to add exploration on sub-component of top-down mentoring. It would serve a
wider scope of an organization if education of the succession competencies were to be expanded
into new forms of leadership. I felt that having to switch from observations to document analysis
thwarted findings of succession competencies in action. This should be explicitly explored in
future research through extensive observation. After said observation, triangulation would be best
served by looking for alignment between that and document analysis. I believe this would highlight
a more rounded story and could expose training needs that have not been realized yet. The research
study recruited 25 participants for surveys and 10 from that group agreed to interview. I think that
future research should look to double that participant pool at a minimum to provide an even more
holistic picture of perspectives towards organizational change and employee development.

115
Conclusion
This study focused on the underperformance of executive succession planning expectations
and the overall lack of an executive succession plan at Xrante using Clark and Estes (2008) KMO
framework. This was sub-focused to explore how employees, as potential executive candidates,
can be developed for inclusion into future executive succession planning by investigating their
development through succession competencies established by this research study. A deeper
understanding of the employee’s knowledge and motivation through investigation ultimately
provided the opportunity to generate recommendations in support of a potential executive
candidate program. This program was created through research on competencies necessary for
employment at the executive level and analysis through the Kirkpatrick & Kirkpatrick (2016) and
the New World Kirkpatrick Model (Kirkpatrick & Kirkpatrick, 2016) four levels of training and
evaluation. This study allowed gaps to be identified in knowledge areas of conceptual, procedural,
and metacognitive while also showing room for improvement on employee values of the
succession competencies. Cultural models and settings around professional growth and a culture
of personal support were among the foremost organizational gaps identified. This approach is
expected to enable Xrante to build an employee talent management system based on succession
competencies, skills, and mindsets, that will invariably feed into the organizational succession
planning.
116
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Appendix A: Survey Protocol
The purpose of this survey is to assess the knowledge, motivation, and organizational needs of
employees in the areas of competency development and executive succession planning. Please
provide your opinion on the following 10 questions. If you have any questions regarding the survey
items, please feel free to contact the researcher.
Knowledge
Table A1
Question 1
Question 1 Do you know the definitions of these competencies?

Select the correct definition for each term.
Factual: Conflict Resolution Two or more parties work towards a
Employees need to know the solution to a problem or dispute.
meaning of the Succession
Competencies
Efficiency Oriented Focus on high output with least amount

of input.
Decision Making Analyze data and information to make
considered decisions.
Initiative Identifies what needs to be done and
acts before being asked.
Teamwork Ability, and desire to work
cooperatively with others
Work Commitment Enthusiasm towards one’s workplace
and tasks assigned.
Goal Setting Development of an action plan
designed to motivate and guide a
person or group toward a goal.
Communication Sharing of information verbally and in
writing.
Results Oriented Ability to focus on the desired result of
one’s own or one’s unit’s work.
Empowerment Convey confidence in an employee’s
abilities.
132
Table A2
Question 2
Question 2 Do you know the benefits of these competencies to the success

of the organization?
Select the correct benefit for each term.
Conceptual: Conflict Resolution Commitment and new insight

Employees need to know the between partners.
benefits of the Succession
Competencies to the success
of the organization.
Efficiency Oriented Greater productivity in a

shorter amount of time.
Decision Making Long-term prosperity and
improved business
operations.
Initiative Self-drive, self-awareness,
insight, and personal
motivation.
Teamwork Organizational creativity and
innovation.
Work Commitment Ownership of work and
ambassadorship.
Goal Setting Shared organizational vision
and increased optimism.
Communication Employee engagement and
flow of information.
Results Oriented Continuous improvement.
Empowerment Employee satisfaction and
branding.
133
Table A3
Question 3
Question 3 Do you know how to implement strategies towards achieving

these competencies?
Select the correct strategy for each term.
Procedural: Conflict Resolution Manage stress quickly while
Employees need to know remaining alert and calm.
how to implement the
strategies for the Succession
Competencies.
Efficiency Oriented Practice strict time

management.
Decision Making Analyze all details and select
the best solution.
Initiative Align proactiveness with
organizational goals.
Teamwork Establish the outcome of
desired improvement.
Work Commitment Seek feedback and career
growth opportunities.
Goal Setting Utilize the SMART method.
Communication Employ verbal, listening,
writing, and social skills.
Results Oriented Enable targeted direction and
objectives of performance.
Empowerment Take prudent risks to elevate
business operations.
134
Table A4
Question 4
Question 4 Do you know how to best assess your progress towards

achieving these competencies?
Select the correct performance assessment for each term.
Metacognitive: Conflict Resolution Acknowledges problems and

Employees know how to works to understand all
monitor their progress toward perspectives.
achieving the Succession
Competencies.
Efficiency Oriented Completes tasks in the most

optimal way.
Decision Making Chooses actions that give the
best outcomes for themselves
and others.
Initiative Assesses issues and generates
solutions.
Teamwork Emulates observed strong
organizational behavior.
Work Commitment Demonstrates responsibility
towards the organization.
Goal Setting Highlights realistic impact
planning and measurement.
Communication Boosts engagement through
leveled employee
interactions.
Results Oriented Recognizes what is important
and takes steps to achieve it.
Empowerment Values others through
encouragement, delegation,
and gratitude.
135
Motivation
Table A5
Question 5
Question 5 Rate your confidence in performing each of the 10 Succession

Competencies right now.
0 (no confidence) to 10 (most confidence)
Self-Efficacy:
Employees need confidence Manage stress quickly while 0–10 Self-Efficacy Scale
in their ability to perform remaining alert and calm.
the Succession
Competencies.
Practice strict time 0–10 Self-Efficacy Scale

management.
Analyze all details and select 0–10 Self-Efficacy Scale
the best solution.
Align proactiveness with 0–10 Self-Efficacy Scale
organizational goals.
Establish the outcome of 0–10 Self-Efficacy Scale
desired improvement.
Seek feedback and career 0–10 Self-Efficacy Scale
growth opportunities.
Utilize the SMART method. 0–10 Self-Efficacy Scale
Employ verbal, listening, 0–10 Self-Efficacy Scale
writing, and social skills.
Enable targeted direction and 0–10 Self-Efficacy Scale
objectives of performance.
Take prudent risk to elevate 0–10 Self-Efficacy Scale
business operations.
136
Table A6
Question 6
Question 6 Rank the 10 Succession Competencies according to your

values.
1 (least important) to 10 (most important).
Value: Conflict Resolution 1–10 participant ranking
Employees need to value the
Efficiency Oriented 1–10 participant ranking
Decision Making 1–10 participant ranking
Initiative 1–10 participant ranking
Teamwork 1–10 participant ranking
Work Commitment 1–10 participant ranking
Goal Setting 1–10 participant ranking
Communication 1–10 participant ranking
Results Oriented 1–10 participant ranking
Empowerment 1–10 participant ranking

137
Table A7
Question 7
Question 7 Success in achieving these 10 competencies is within my

control.
Select the best answer.
Attribution: Conflict Resolution (Each has its own scale)
Employees need to feel their Efficiency Oriented Strongly Disagree
success in achieving the Decision Making Disagree
Succession Competencies is Initiative Agree
in their control. Teamwork Strongly Agree
Work Commitment
Goal Setting
Communication
Results Oriented
Empowerment
Table A8
Question 8
Question 8 I am excited to pursue further development in each of these

competencies.
Emotions: Conflict Resolution (Each has its own scale)

Employees must want to Efficiency Oriented Strongly Disagree
pursue the Succession Decision Making Disagree
Competencies. Initiative Agree
Teamwork Strongly Agree
Work Commitment
Goal Setting
Communication
Results Oriented
Empowerment
138
Organization
Table A9
Question 9
Question 9 The organization has a culture that supports

personal growth.
Cultural Model Strongly Disagree
Culture Supportive of Personal Growth Disagree
Agree
Strongly Agree
Table A10
Question 10
Question 10 The organization provides professional

development for the succession competencies.
Cultural Setting Strongly Disagree
Disagree
Professional Development Agree
Strongly Agree
139
Appendix B: Interview Protocol
Time in: __________________ Time out: __________________
Introduction
Thank you for meeting with me today. I am conducting this interview as part of my dissertation
research with my doctoral program at University of Southern California. I am seeking your insight
and experiences to better understand the knowledge, motivation, and organizational needs of
employees (as potential executive candidates) to help them engage in self-improvement activities
of competencies necessary to succeed other leaders. I anticipate taking no more than 30 minutes
of your time, and I only have 10 questions for your consideration.
Your participation is completely voluntary. We can skip any question you want at any time, and
you may stop the interview at any time. No identifiable information will be obtained or saved in
connection with this study.
If you are comfortable with it, I would like to record our conversation and the recording will be
destroyed after it is transcribed. Are you comfortable if I record the conversation?
Knowledge
Question 1 (Factual): Employees need to know the meaning of the Succession Competencies.
Here is a list of the Succession Competencies. Can you tell me what three of them mean?
Question 2 (Conceptual): Employees need to know the benefits of the Succession Competencies
to the success of the organization.
Tell me some of the benefits of the Succession Competencies.
Question 3 (Procedural): Employees need to know how to implement the strategies for the
What are some of the strategies in achieving the Succession Competencies?
Question 4 (Metacognitive): Employees know how to monitor their progress toward achieving
How do you monitor your progress towards achieving these Succession Competencies?
Motivation
Question 5 (Self-Efficacy): Employees need confidence in their ability to perform the

How confident do you feel in your ability to perform the 10 Succession Competencies
right now?
140
Question 6 (Value): Employees need to value the Succession Competencies.

Tell me how you would rank the 10 Succession Competencies.
Question 7 (Attribution): Employees need to feel their success in achieving the Succession
Competencies is in their control.
How do you feel you control your success in achieving these competencies?
Question 8 (Emotions): Employees must want to pursue the Succession Competencies.

Are you excited to pursue each of these competencies? Why/Why Not: Please explain
what led you to that decision.
Organization
Question 9 (Cultural Model): Culture Supportive of Personal Growth

Tell me about the culture of personal growth in this organization.
Question 10 (Cultural Setting): Professional Development

Please explain the organization’s approach to professional development.
141
Appendix C: Document Analysis Protocol
Area Goal / Purpose Findings / Notes
Knowledge - Factual Review artifacts or for evidence of

Employees need to know the knowledge of facts, information,
meaning of the Succession and terminology.
Competencies
Knowledge - Conceptual Review artifacts or behaviors for
Employees need to know the examples of knowledge of key
benefits of the Succession conceptual information.
Competencies to the success of
the organization.
Knowledge - Procedural Review artifacts for evidence of
Employees need to know how to the necessary methods,
implement the strategies for the techniques or steps being
Succession Competencies. disseminated to employees.
Knowledge - Metacognitive Observe artifacts for evidence and
Employees know how to monitor examples of employee’s
their progress toward achieving metacognitive knowledge.
Motivation - Self-Efficacy Observe artifacts or documents for
Employees need confidence in evidence of the role of self-
their ability to perform the efficacy.
Motivation - Value Observe artifacts or documents for
Employees need to value the evidence of the role of value.
Motivation - Attribution Observe artifacts or documents for
Employees need to feel their evidence of the role of
success in achieving the attribution.
Succession Competencies is in
their control.
Motivation - Emotions Observe artifacts or documents for
Employees must want to pursue evidence of emotional support.
142
Area Goal / Purpose Findings / Notes

Organization Gather/review documents from the
Cultural Model organizational leadership to see if
Culture Supportive of Personal personal growth is discussed and
Growth promoted throughout the
organization.
Organization Gather/review documents from the
Cultural Setting human resources and training
Professional Development department to determine if the
organization provides
professional development.
143
Appendix D: Sample Survey Items Measuring Kirkpatrick Levels 1 and 2
1. This program consistently held my interest. (Level 1 Engagement)

Strongly Disagree, Disagree, Agree, Strongly Agree
2. I was constantly learning and growing in this program. (Level 1 Engagement)

3. The competencies that were the focus of this program will have relevance in my life
beyond this program. (Level 1 Relevance)
4. I enjoyed the succession competency-based approach to employee development.

(Level 1 Customer Satisfaction)
Questions 5–9. Use the four-point scale articulated below to respond to the prompts. Each
question asks you to consider the way you would have responded before participating in this
program compared to how you respond now, at the conclusion of the program.
1 2 3 4
strongly strongly
disagree agree
disagree agree
Before this program: 5. I am committed to applying After this program:

1 2 3 4 the skills I developed in this 1 2 3 4
program to future leadership
opportunities. (Level 2
Commitment)
Before this program: 6. I can summarize the After this program:

1 2 3 4 necessary skills to engage in 1 2 3 4
(Level 2 Declarative
Knowledge)
144
Before this program: 7. I can execute the steps of After this program:
1 2 3 4 workplace employee 1 2 3 4
development according to the
(Level 2 Procedural
Knowledge)
Before this program: 8. I feel confident that I can After this program:
1 2 3 4 set specific, targeted goals 1 2 3 4
for my growth aligned to
the succession
competencies.
(Level 2 Confidence)
Before this program: 9. I feel confident that I After this program:

1 2 3 4 can master the succession 1 2 3 4
competencies in my daily
duties at my workplace.
(Level 2 Confidence)
Before this program: 10. I see the value in the After this program:
1 2 3 4 5 succession competency-based 1 2 3 4 5
model of employee
development.
(Level 2 Attitude)
145
Appendix E: Sample Survey Items Measuring Kirkpatrick Level 3 Drivers
Level 3 drivers should be assessed at the program’s midpoint, as monitoring the drivers at the
midpoint could help employees to adjust their personal and professional goals. Sample Level 3
rating items for an employee survey are shown below.
1. I have received adequate training on the required skills of the succession competencies.
(Level 3 Required Driver — Reinforcing)
2. I have opportunities for repeated practice connecting the succession competencies to

organizational goals. (Level 3 Required Driver – Reinforcing)
3. I have frequent, detailed supervisory feedback that is well aligned to the succession
competencies and organizational goals. (Level 3 Required Driver – Encouraging)
4. I am encouraged that I am capable of long-term success. (Level 3 Required Driver —

Encouraging)
5. I feel recognized when successfully modeling succession competencies

(Level 3 Required Driver — Rewarding)
6. My leadership highlights my actions and values that align to the succession

competencies and organizational goals. (Level 3 Required Driver — Rewarding)
146
Appendix F: Sample Blended Evaluation Items Measuring All Levels of Kirkpatrick
SAMPLE BLENDED EVALUATION ITEMS MEASURING KIRKPATRICK
LEVELS 1, 2, 3, AND 4
It is recommended to revisit Level 1 relevance and satisfaction and Level 2 knowledge and skills
in a delayed survey to employees that completed the potential executive candidate program. In
addition, Level 3 critical behaviors and Level 4 indicators and results should also be assessed in
this measure administered at least 4 months after completion of the potential executive candidate
program. Sample items are shown below.
Open-Ended Questions for Revisiting Level 1 and Level 2
1. What lessons or competencies from the potential executive candidate course continue to
feel relevant to you now? (Level 1 Relevance)
2. Knowing what you know now, what would you change about the succession
competency-based employee development program? (Level 1 Customer Satisfaction)
3. Scenario Question: You are asked to create a job aid in checklist form that details how
to connect your individual goals to the organizational goals. Explain the steps you would take
to design the checklist. Discuss what hurdles you could anticipate during interactions with other
employees and the strategies you would use to overcome them. (Level 2 Procedural
Knowledge)
Four-Point Scale Questions for Evaluating Level 3 Critical Behaviors
For questions 4–7 below, identify the degree to which you have continued to practice the
behaviors that were cultivated in your succession competency-based employee development
program. (Level 3 Critical Behaviors)
1 — Little or no application
2 — Mild degree of application
3 — Strong degree of application
4 — Very strong degree of application
4. I cultivate skill sets and mindsets based on the 1 2 3 4

147
5. I set organizational goals that are aligned to growth from my 1 2 3 4

skills in the succession competencies.
6. I set personal goals that are aligned to growth from my skills 1 2 3 4

in the succession competencies.
7. I develop my values further through ongoing use of 1 2 3 4

organizational job aids.
Level 4 Indicators and Results Sample Metrics
8. I have noticed the following continued positive outcomes from my participation in the
executive candidate program. Check all that apply.
❏ I have more self-confidence in myself and my future as a potential executive.

❏ I contribute more to group processes.
❏ I have strategies for improving my understanding when I am stuck.
❏ I can identify the relevance of succession-based development.
❏ I produce higher quality work with increased understanding of the succession
competencies.
❏ I value feedback from my supervisors and use it to set new goals.
❏ I am better at setting specific, targeted goals for my improvement.
❏ Other positive outcomes, please specify.
❏ None of the above — I do not feel any continued positive outcomes.
9. To what degree do you feel ready to serve at the executive level as a result of this training?
Please explain your answer.
10. As a result of my training, I intentionally strive to exhibit the qualities necessary for
selection to an executive role.
Strongly disagree, disagree, agree, strongly agree
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Executive Succession Planning: A Study of Employee Competency Development

Thesis · August 2021

The user has requested enhancement of the downloaded file.

A Study of Employee Competency Development

Robert Mb. Flak

Rossier School of Education

University of Southern California

A dissertation submitted to the faculty

in partial fulfillment of the requirements for the degree of

All Rights Reserved

Dr. Eric Canny

Dr. Kenneth Yates

Dr. Adrian Donato, Committee Chair

Rossier School of Education

University of Southern California

examined the underdevelopment of workplace competencies for employees as potential executive

sequential mixed methods design, relationships between knowledge, self-efficacy, value,

Chapter 5 informs a potential change initiative towards competency-based employee development

“Believe you can and you’re halfway there.” - Theodore Roosevelt

I am extremely grateful for the commitment displayed by my dissertation committee! It is

to working with you on future projects.

are yet to come.

throughout your career. Truly, thank you for being my friend.

incredible woman. Thank you for your example.

List of Tables ................................................................................................................................ xii

List of Figures .............................................................................................................................. xiv

Chapter One: Introduction ...............................................................................................................1

Organizational Context and Mission ...................................................................................1

Organizational Performance Status/Need ............................................................................2

Importance of the Organizational Innovation ......................................................................4

Organizational Performance Goal........................................................................................5

Stakeholders and Stakeholders’ Performance Goals ...........................................................6

Stakeholder for the Study and Stakeholder Performance Gap.............................................6

Purpose of the Project and Questions ..................................................................................7

Methodological Framework .................................................................................................8

Organization of the Study ....................................................................................................9

Chapter Two: Review of the Literature .........................................................................................10

Succession Planning Characteristics ..............................................................................................10

Organizational Components of Succession Planning ........................................................13

Role of Stakeholder Group of Focus .................................................................................16

Clark and Estes’s (2008) Knowledge, Motivation and Organizational Influences

Stakeholder Knowledge, Motivation, and Organizational Influences ...............................17

Chapter Three: Methods ................................................................................................................32

Participating Stakeholders .................................................................................................33

Data Collection and Instrumentation .................................................................................36

Data Analysis .....................................................................................................................37

Credibility and Trustworthiness .........................................................................................38

Validity and Reliability ......................................................................................................39

Limitations and Delimitations............................................................................................41

Chapter Four: Results and Findings ...............................................................................................43

Participating Stakeholders .................................................................................................44

Data Validation ..................................................................................................................45

Results and Findings for Knowledge Causes.....................................................................45

Results and Findings for Motivation Causes .....................................................................57

Results and Findings for Organization Causes ..................................................................69

Summary of Validated Influences .....................................................................................77

Organizational Context and Mission .................................................................................82

Organizational Performance Goal......................................................................................83

Description of Stakeholder Groups ....................................................................................83

Goal of the Stakeholder Group for the Study ....................................................................84

Purpose of the Project and Questions ................................................................................85

Introduction and Overview ................................................................................................85

Integrated Implementation and Evaluation Plan ................................................................97