American Fisheries Society



American Fisheries Society

Executive Director Succession Plan

August 2010

Background

The American Fisheries Society employs an Executive Director who serves as the Secretary and Treasurer of the Society and manages the Society’s daily activities, implements Society policies and advances Society objectives as set forth in the Constitution, Rules and Procedures, and in Governing Board directives. Salary, compensation and duties of the Executive Director are established by the Governing Board (see attachment), whereas salaries and compensation for other Society staff are established by the Executive Director (AFS Constitution and Rules, September 1, 2009). The current contract of the Executive Director, Gus Rassam, expires at the close of the AFS 2011 Annual Meeting to be held in Seattle, WA, September 4-8, 2011. Society President, Don Jackson, charged a special committee to develop a contingency plan for the succession of the Executive Director, in the event that Gus retires.

The context for natural resource management has changed significantly over the past few decades and may demand an evolving leadership style from the Society’s Executive Director. Among these issues, are the following topics from the 2010-2014 AFS Strategic Plan speak directly to organizational structure, function and interaction with members:

• The business model for professional societies and government will shift to include greater demand for services that immediately benefit members, more direct participatory decision-making in collective actions, and operation as an intelligent, adaptive, knowledge-based organization.

• Electronic communication and social networking will be the predominant means of interacting, particularly among young professionals, international colleagues, and dispersed organizations, replacing participation in traditionally-structured meetings, and expecting professional societies to serve as information intermediaries that provide quality assurance and technical insight.

Refer to the AFS Strategic Plan for a summary of other issues in the current environment that also may affect AFS leadership in the future.

Succession Planning (adapted from Wolfred 2008)

Succession planning is a risk management practice that is critical to ensuring the viability of an organization. A governing board can be both energized and reassured by succession planning, which provides the opportunity for high-level strategy development. Many nonprofit organizations are led by Baby Boomer generation executives, and the next generation of leaders may not be interested in carrying on business as usual. So-called Gen X and Gen Y leaders that will most likely take on top jobs may seek to restructure the executive role, creating collaborative or shared leadership models and job expectations that allow for a healthier balance between work and life.

There are three approaches to succession planning: 1) strategic leader development, 2) emergency succession planning, and 3) departure-defined succession planning. Strategic leader development is an ongoing effort that focuses on and defines the strategic vision of an organization, identifies leadership and management needed to carry out the vision, and recruits and maintains individuals who have or want to develop those skills. Emergency succession planning ensures that administrative functions and leadership can continue without disruption should there be an unplanned absence of an administrator. Departure-defined succession planning is used when a long-term leader announces their departure two or more years in advance. This type of planning identifies the organization’s goals for the future, determines the information or tools needed to achieve those goals, and devotes attention to building capacity of the organization to sustain funding and programs for the future. The third type of succession planning represents the strategy AFS needs to adopt under the current situation, although elements of the other plans should be considered.

Departure–defined succession planning is recommended for organizations with long-tenured executive directors with definite departure dates. At least 18 months of preparation are required prior to the scheduled departure. The goal of this planning effort is to build leadership strength and lay the groundwork for a successful search for new leadership. The departing executive director should consider questions about his legacy, future career plans, and personal finances. The departing executive director’s final two leadership tasks are the “leadership of letting go” and the “leadership of preparing the way.” An organization also must let go of their executive director, offering a full and generous goodbye. A critical first step is to conduct a “sustainability audit,” which is a survey of administrative operations and resource relationships. This audit identifies key points of organizational vulnerability that could inhibit organization functioning. High risk situations are when the executive director has taken on “whatever needs to be done,” which results in the equivalent of the executive performing more than one job and replacing him nearly impossible. This situation may require an administrative restructuring, which could include the creation of a new management position to assume some of the functions of the current executive. The organization should look at how leadership can be cooperatively shared throughout the organization to reduce dependency on the executive and take advantage of staff development opportunities. The successor will thrive if he inherits a doable job description with a competent team that shares management and leadership responsibilities. To accomplish succession planning, an ad hoc committee should be appointed and act on behalf of the governing board to provide oversight of the succession planning process and craft a succession plan for the board to review and approve.

In creating a succession plan for a long-term executive, the Society should consider the activities below. Together, they address the elements critical to setting up the organization for success with the next executive director.

1. Deal with personal and professional barriers for the departing ED, for example:

• Future employability concerns;

• Inadequate retirement savings;

• Unfinished business in the current job; and/or

• Loss of identity and status attached to current job.

2. Set the departure date after discussion and in agreement with the departing ED.

3. Form a Succession Planning Committee.

4. Prepare a communications plan (how soon to tell whom and by what means).

5. Identify organizational vulnerabilities via a “sustainability audit.”

6. Design and implement strategies to address the vulnerabilities.

7. Identify the organization’s broad strategic directions three to five years out.

8. Solidify the management team in light of organizational vulnerabilities and skills demanded by the strategic directions.

9. Build the Board’s leadership abilities.

10. Back-up key executive relationships.

11. Put finances in order.

12. Build financial reserves and secure multi-year program funding.

13. Agree on the parameters of the ED’s emeritus role, if one is set up.

14. Set the executive search strategy, i.e., decide whether or not to use an executive recruiter.

Succession Readiness Checklist

When the following conditions are in place, an organization can expect a relatively smooth transition to new leadership whenever it might occur. An organization might determine which elements below are lacking in its current operations and then create a “succession plan” or “capacity building plan” that prescribes activities and timelines for filling the gaps. The organization is then ready for leadership transitions, foreseen or unforeseen.

• A strategic plan is in place with goals and objectives for the near term (up to three years), including objectives for leadership talent development..

• The board evaluates the executive director annually on general performance and achievement of strategic goals.

• The board, based on its annual self-evaluation, is satisfactorily performing its major governance jobs—financial oversight, executive support and oversight, policy development, and strategic planning.

• The executive’s direct reports, based on annual evaluations, are judged as solidly skilled for their positions.

• The top management cohort, as a high performing team:

o Has a solid team culture in place in which members support one another and can reach decisions as a group efficiently and harmoniously;

o Shares leadership of the organization with the executive in having significant input to all major organization decisions;

o Can lead the organization in the absence of the executive; and

o Has authority to make and carry out decisions within their respective areas of responsibility.

• Another staff person or officer shares important external relationships (major donors, funders, community leaders) maintained by the executive.

• A financial reserve is in place with a minimum of one-year operating capital.

• Financial systems meet industry standards. Financial reports are up to date and provide the data needed by the board and senior managers responsible for the organization’s financial strength and viability.

• Operational manuals exist for key administrative systems and are easily accessible and up to date.

• Top program staff have documented their key activities in writing and have identified another staff person who can carry their duties in an emergency.

References and Resources

Wolfred, T. 2008. Building leaderful organizations: succession planning for nonprofits. Executive Transition Monograph Series, Volume 6. The Annie E. Casey Foundation, Baltimore, Maryland.

Potential transition consultants:

1. Staff and Organizational Development (1276 N. Wayne St. No. 625; Arlington, VA 22201); 703-243-1052, Joyce Kozuch, joycekozuch@)

2. Transition Management Consulting (3961 Fessenden St NW, Washington DC 20016; 202-244-3163; rvanhook@)

3. Transition Leadership International (5054 Fulton St NW, Washington DC 20016; 202-293-1100; Patrick.nichols@)

4. Tucker and Associates (4690 Kirkpatrick Ln; Alexandria, VA 22311; 703-379-7477; Judith Tucker, President)

An extensive list of consultants in all fields of association business can be found in The Association Buyer’s Guide, an annual report from ASAE.

Next Steps

1. Review the succession plan and readiness checklists.—

a. Identify the actions that have been accomplished and those needed to prepare for the succession of the executive director (ED).

b. Develop an outline of succession procedures, including timelines for when various steps should be taken. List the essential functions of the ED that must be fulfilled during the transition.

c. Create a calendar of events and activities for the coming year, including for example, performance and salary reviews, pending contract negotiations, special meetings (governing board, annual meeting, unit meetings, etc.)

d. Develop a communication plan about ED departure that includes internal and external stakeholders (staff; membership; leadership, etc.) and a template press release.

e. Review the most current job description for the ED.

f. Describe the ED search process and a charter for the search committee.

g. Consider selecting external interim management (consultant) to aid in the transition.

h. Ensure that successional planning is incorporated into AFS operational guidance (e.g., Constitution, Procedures, Strategic Plan).

2. Prepare for the financial transition.—

a. Develop a list of financial institutions and check-signing authority.

b. Create a transition financial plan.

1. Conduct a sustainability audit survey of AFS.—For a sustainability audit, staff and external stakeholder input is important in identifying Society vulnerabilities and strengths. Gather staff and stakeholder comments either in person or via a survey to engage them in the planning process and reduce anxieties about the impending leadership change.

2. Conduct an AFS staff survey.—The staff survey, completed anonymously, seeks candid input on the infrastructure and leadership development needs

3. Conduct an AFS stakeholder survey.—Conduct phone interviews with important supporters of the Society to assess expectations for interactions by the AFS Executive Director with internal members and unit leaders, external partners, and allied associations. Develop a list of key contacts.

4. Obtain operational manuals.—Ensure that manuals exist for key administrative systems and staff positions (e.g., staff position descriptions, duties and responsibilities) and are easily accessible and up to date.

5. Document key activities.—Ensure that top program staff have documented their key activities in writing and have identified another staff person who can carry their duties in an emergency. Describe the relationship and function of various levels of AFS leadership in the event of a successional emergency (e.g., President, other Society officers, Governing Board, and unit leaders).

Duties of the AFS Executive Director

AFS Constitution

Article III.2. The Governing Board may employ an Executive Director and other Society staff, who shall serve at its pleasure. The Executive Director serves as Secretary and Treasurer of the Society.

A. The Executive Director is responsible to the Governing Board and acts with its advice and consent. The Executive Director shall manage the Society's daily activities, implement Society policies and advance Society objectives as set forth in the Constitution, Rules and Procedures, and in Governing Board directives.

B. Salaries and compensation for the Executive Director shall be established by the Governing Board. Salaries and compensation for other Society staff shall be established by the Executive Director.

AFS Rules

5. Duties of the Executive Director

A. The Executive Director is responsible to the Governing Board and acts with its advice and consent. As the Society's executive officer, the Executive Director shall

i. manage the Society's daily activities;

ii. implement Society policies and advance Society objectives as set forth in the Constitution and Rules and in Governing Board directives;

iii. represent the Society in all business operations, including fund raising, and, if authorized by the President, on all other matters when the President or other officers are unable to do so;

iv. be responsible for Fisheries and act as Senior Editor;

v. communicate with the membership by means of Fisheries, electronic and other communications, and attendance, when feasible, at unit meetings;

vi. present an annual report to the Society and at least monthly activity reports to the Governing Board;

vii. be a nonvoting member of the Board of Professional Certification, Management, Resource Policy, and Membership committees.

viii. assist in the effective functioning of units and committees, and participating in unit and committee meetings; and

ix. aid in the establishment of the Society's strategic direction.

B. As Society secretary, the Executive Director shall

i. maintain the Society's official records and

ii. arrange Society, Management Committee, and Governing Board meetings, the former with aid of the Arrangements Committee.

C. As Society treasurer, the Executive Director shall

i. be protected by a surety bond in an amount determined by the Governing Board, the premiums for which shall be paid by the Society;

ii. collect and receive all monies due or granted to the Society, and have custody of Society funds; and

iii. pay all Society accounts owed and make other expenditures authorized by the Governing Board.

D. As Society business manager, the Executive Director shall

i. prepare an annual Society budget for Governing Board approval;

ii. employ and discharge staff necessary for Society business, and direct all staff;

iii. rent or otherwise acquire office quarters for business transactions and protection of Society assets and records;

iv. have custody of the Society's library, including its archives and publications;

v. oversee promotion and sales of Society publications and other Society services and products;

vi. recommend to the Governing Board at the midyear meeting pricing of major items (e.g., membership dues, journal subscription prices) for the following year; and

vii. promote the development of Society membership.

Serves the following Committees and Boards:

Governing Board (presentations, minutes, facilities arrangements)

Management Committee (presentations, minutes, facilities arrangements)

Certified Fisheries Professionals (notification, forwards appeals)

Ethics and Professional Conduct (receives notices of decisions)

Membership Committee (mailings and notices in Fisheries)

Membership Concerns (forwards concerns from members, coordination of surveys)

Nominating Committee (general membership balloting, review and audit, notification)

Past Presidents’ Advisory Council (receives advice on Society activities)

Publications Overview Committee (oversight of Publications Manager)

Resource policy (publication, promotion of approved policies

Web Editorial Advisory Board (website administration)

Resolutions (review emergency proposals; distribution and implementation, as needed)

Other specific responsibilities identified in Society documents:

Balloting for election of officers

Minutes of business meetings

Petitions for alternative division membership

Ballots for a change in Division geographic area

Proxy vote notification for the Governing Board and Annual Business Meeting

Budget proposal and financial report presented twice a year (mid-year and annual meetings)

Documents for new unit formation

Notifies units of approval for bylaws amendments

Referenda notice and ballots provided to membership

Editorial standards and quality control procedures

Dues and fees collection

Investment of AFS funds

Constitutional amendment notice to members

Report to the AFS Annual Business Meeting

Transfer proportion of Society annual dues to units (Divisions and Chapters)

Collection and transfer of some unit dues, upon request

Travel expense reimbursement for officers and Constitutional Consultant, as specified

Travel funding for committee activities, as specified

Attendance at unit and related meetings, as needed

Annual work activities to implement Society policies and plans

Dues and membership categories and pricing of major items (recommendations)

Annual Society audit coordination

Negotiations for annual meeting arrangements (location, budget, contracts)

Self-evaluation of Plan of Work performance (3-4 weeks before Annual Meeting)

Agenda for Governing Board meetings, in consultation with AFS President and others

Society awards (notification and plaques)

Unit officers and meeting dates (maintains records and distributes information)

Minutes of Governing Board and Annual Meetings

Expert testimony and lobbying guidelines (implementation, as specified)

Fisheries (publication)

Publication of journals, books, proceedings (administration, editorial policies, translation,)

New publications policies, as delegated

Receipts of sale profits from symposia and other events, as negotiated

Support for meetings (expenditures, as negotiated)

Program and financial planning, including Reserve Fund, Overhead, Special Projects

Financial reports from units (receive member-audited reports; asset allocation upon dissolution)

Dedicated funds (administration)

Reports to the Governing Board (filing, distribution)

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