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What is succession planning? A key talent strategy for business

Succession planning helps businesses cultivate a pool of talented workers who are poised to take over leadership roles as the business grows, changes and develops..

What is succession planning?

Succession planning is a talent management process that builds a pool of trained workers who are ready to fill key roles when leaders and other key employees step down. Organizations with succession planning programs in place foster a talent-oriented culture by recruiting skilled workers and top talent. Once recruited, businesses focus on developing these workers’ skills, expertise and knowledge so they are prepared to take on leadership roles in the event of organizational growth, talent loss or management turnover.

A change in leadership can be sparked by more than a resignation — an employee might retire, get fired, get sick, take leave or quit without notice. Succession planning ensures there’s a strategy in place for someone to step in, get promoted and take over that person’s duties without a loss in productivity and morale.

However, the goal of succession planning isn’t to prepare one person to take over a specific role. That’s called replacement planning, which is different. Succession planning relies on a large pool of talented workers ranging from entry-level to senior leadership who are being prepared for key roles. These employees have the right skills, energy and leadership qualities that will benefit the company across a spectrum of roles, departments and seniority levels. Replacement planning is linear — you are preparing a worker to take over or replace specific senior management positions; succession planning is about cultivating a flexible, large selection of talent.

Succession planning process

The process of succession planning is unique to each company, but there are general guidelines that you can follow to help your business create a successful succession strategy.

• Identify the most important roles in the organization that would need to be filled quickly if that employee exits the organization.
• Define the main responsibilities, competencies and requirements for each job, including what personality traits best suit the role.
• Use the established criteria to assess candidates and to determine who has the potential to grow into a leadership position.
• Establish a talent pool of workers who are qualified to eventually fill key roles in the organization.
• Develop these employees through training and valuable work experience so they’re ready to take over leadership positions when the time comes.

Succession planning template

It’s important to create a template that outlines what succession planning will look like in your company. The goal is to create as seamless of a transition as possible and to avoid hurting morale and productivity. The template should reflect the specifics of your succession planning — whether you’re a business owner preparing for the day you pass the company onto someone else or an executive planning your future exit strategy. Some companies even publish their own templates online, which can help offer guidance if you’re struggling to create a template for your business.

Your template should at least include the following:

• All relevant company information including the date the succession plan was developed.
• A table of contents that can point readers to different sections of the succession plan.
• An overview of the succession plan, what the organization wants to achieve with the strategy and any details
• Any leadership or non-leadership roles that are vital to business operations or have a large impact on the company.
• A list of roles that you can predict will be open within the next few years due to retirement. If you’re in an industry or area with high competition, consider potential losses from poaching.
• A list of all potential candidates that are fit for future leadership or high-potential positions.
• Training programs and career development efforts to train high-performing workers.
• Any legal documents that need to be considered, including contracts, partnerships and other agreements.

Succession planning best practices

Succession planning is a great way to build your next generation of IT leaders . Your succession plan should take into consideration current and future business challenges, critical skills, future skills, all core and technical competencies and a strong plan for career development. Succession planning involves multiple steps but there are four core objectives that you’ll need to build a strong succession planning strategy .

• Identify qualified candidates within the organization who will be able to take on more responsibility in the future.
• Once you identify your top candidates, focus on developing their skills and expertise through training
• Get leadership engaged in developing future talent and supporting those with high potential in the organization.
• Create a database of workers so staffing decisions can be made quickly when key positions open.

For more on succession planning best practices, see “ How to build the next generation of IT leaders ” and “ CIO succession planning in the digital age .”

Who benefits from succession planning?

Succession planning is as important in small organizations as it is in large organizations. For smaller companies, with less resources, smaller budgets and fewer employees, succession planning helps avoid disruptions in workflow. This is especially true for owner-operated businesses once the owner steps down or sells the company. In large organizations, succession planning is important because there’s a lot at stake and an unexpected loss can leave the business in chaos. With a complex organizational structure, there needs to be enough talent to go around so leadership and management changes can be addressed quickly.

Succession planning examples

At Apple, Steve Jobs founded Apple University to support succession planning by educating Apple employees and leaders to understand how he built the business and how to think like Steve Jobs. It’s highly secretive, but it’s designed to help keep consistency in the organization. Apple also demonstrated a commitment to succession planning when Tim Cook seamlessly took over as CEO after Jobs stepped down. Cook has since indicated that succession planning is still an important strategy for the organization, with a “deep bench” of successors poised to take over in the future.  

IBM demonstrated its succession planning strategy in 2011, when Samuel J. Palmisano stepped down. The company’s first female CEO, Virginia Rometty, was ready to take over in his place. Rometty worked for IBM for over 30 years, so she already had a deep knowledge of the company culture and business operations. It allowed for an effortless transition, so the company could continue working to its full potential despite the organizational changes.

The future of succession planning

A key component of succession planning is talent development. For key players that are identified as potential candidates for succession planning, it will be important to figure out how to keep them engaged and motivated. Currently, it’s millennials who are coming up in the workforce and are largely the target of succession planning.

Millennials comprise 38 percent of the workforce, according to Gallup, and they’re poised to take over leadership roles as baby boomers start to retire. The report points out that if organizations fail to meet millennial’s needs, they’re more likely to “function as free agents, always looking for fresh opportunities.” The survey found that 60 percent of millennials in the U.S. workforce say they’re “currently looking for a new job opportunity.”

According to a report from Gallup, employees used to care about salary, satisfaction, having a good boss, annual reviews, their weaknesses and their job. But today, employees are focused more on having a purpose, developing their skills and working with mentors. Employees are also less focused on annual reviews, and more concerned with maintaining ongoing discussions about performance throughout the year. These workers are also interested in cultivating their strengths and finding a healthy work-life balance.

The good news is that millennials are eager to learn and grow under “high-quality management.” They want to feel interested in their work, with a sense of purpose, and they want to know they have opportunities to advance. Understanding your employees will make it easier to develop their talent in the modern workplace, so they’re prepared as future leaders.

Succession planning tools and software

Succession planning is a skill that requires business acumen, communication skills, leadership skills and other hard and soft skills. But there are tools and software designed to help make the process of succession planning easier on an organization. Talent management is critical to succession planning, so tools that help manage employee training and progress will give you more insight into how talent develops in the organization. Here are some popular succession planning tools and software:

• Talent Guard
• MentorcliQ Employee Mentoring
• Workday Succession
• HRToolBench
• Bullseye Engagement Performance Management System
• EmployeeConnect

Succession planning training and certification

Succession planning requires collaboration, buy-in and effort from leadership in the organization. It also requires working across departments to understand and fill talent gaps, and then communicating those to HR and recruiters. If you want to get a better understanding of succession planning and how it will fit into your business, here are some training and certification programs you can choose from:

• EDUCBA — Succession planning video course
• ASPE Training — Succession planning boot camp
• Human Capital Institute — Leadership Development & Succession Strategist (LDSS) certification
• Institute of Organization Development — Leadership Development Certification program (LDCP)
• MRA — Succession planning training course
• The American College — Business succession planning certificate

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How to Create a Business Succession Plan

For many small business owners, maintaining positive cash flow and a stable balance sheet can be an ongoing battle that consumes virtually all of their time. Even retirement often seems like a distant speck on the horizon, let alone plans to hand over the business. However, establishing a sound business succession plan is beneficial for most business owners and can be absolutely necessary for some.

For business owners that are at or near retirement, the issue of succession cannot be ignored. In this article, we will take you through the steps you'll want to take to create a successful succession plan.

Picking a Successor Isn't Easy

Many factors determine whether a succession plan is necessary, and sometimes the logical and easy choice will be to sell the business lock, stock, and barrel simply. However, many owners prefer the thought of their businesses continuing on even after they're gone.

Choosing a successor can be as easy as appointing a family member or assistant to take the owner's place. However, there may be several partners or family members from which the owner will have to choose — each with a number of strengths and weaknesses to be considered. In this case, a lasting resentment by those who were not chosen may happen, regardless of what choice is ultimately made. Partners who do not need or want a successor may simply sell their portion of the business to the other partners of the business in a buy-sell agreement .

How Much Is the Business Worth?

When business owners decide to cash-out (or if death makes the decision for them), a set dollar value for the business needs to be determined, or at least the exiting share of it. This can be done either through an appraisal by a certified public accountant (CPA) or by an arbitrary agreement between all partners involved. If the portion of the company consists solely of shares of publicly-traded stock, then the valuation of the owner's interest will be determined by the stock's current market value.

Life Insurance: The Standard Transfer Vehicle

Once a set dollar value has been determined, life insurance is purchased on all partners in the business. In the event that a partner passes on before ending his relationship with their partners, the death benefit proceeds will then be used to buy out the deceased partner's share of the business and distribute it equally among the remaining partners.

There are two basic arrangements used for this. They are known as "cross-purchase agreements" and "entity-purchase agreements." While both ultimately serve the same purpose, they are used in different situations.

Cross-Purchase Agreements

These agreements are structured so that each partner buys and owns a policy on each of the other partners in the business. Each partner functions as both owner and beneficiary on the same policy, with each other partner being the insured. Therefore, when one partner dies, the face value of each policy on the deceased partner is paid out to the remaining partners, who will then use the policy proceeds to buy the deceased partner's share of the business at a previously agreed-upon price.

As an example, imagine that there are three partners who each own equal shares of a business worth $3 million, so each partner's share is valued at $1 million. The partners want to ensure that the business is passed on smoothly if one of them dies, so they enter into a cross-purchase agreement. The agreement requires that each partner take out a $500,000 policy on each of the other two partners. This way, when one of the partners dies, the other two partners will each be paid $500,000, which they must use to buy out the deceased partner's share of the business.

Entity-Purchase Agreements

The obvious limitation here is that, for a business with a large number of partners (five to ten partners or more), it becomes impractical for each partner to maintain separate policies on each of the others. There can also be substantial inequity between partners in terms of underwriting and, as a result, the cost of each policy.

There can even be problems when there are only two partners. Let's say one partner is 35 years old, and the other is 60 years old — there will be a huge disparity between the respective costs of the policies. In this instance, an entity-purchase agreement is often used instead.

The entity-purchase arrangement is much less complicated. In this type of agreement, the business itself purchases a single policy on each partner and becomes both the policy owner and beneficiary. Upon the death of any partner or owner, the business will use the policy proceeds to purchase the deceased person's share of the business accordingly. The cost of each policy is generally deductible for the business, and the business also "eats" all costs and underwrites the equity between partners.

3 Reasons to Have a Business Succession Plan

Creating and implementing a sound succession plan will provide several benefits to owners and partners:

• It ensures an agreeable price for a partner's share of the business and eliminates the need for valuation upon death because the insured agreed to the price beforehand.
• The policy benefits will be immediately available to pay for the deceased's share of the business, with no liquidity or time constraints. This effectively prevents the possibility of an external takeover due to cash flow problems or the need to sell the business or other assets to cover the cost of the deceased's interest.
• A succession plan can greatly help in establishing a timely settlement of the deceased's estate .

The Bottom Line

Proper business succession planning requires careful preparation. Business owners seeking a smooth and equitable transition of their interests should seek a competent, experienced advisor to assist them in this business decision.

American Bar Association. " Forms of Stock Purchase Agreements ," Page 1.

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Company Succession Planning: Step-by-Step Guide & Templates

Written by: Idorenyin Uko

Company succession planning : it's a winning business strategy that keeps your business future-proof. It helps your company plan for expected and unexpected turnover in all key roles throughout the company—not just leadership roles—while training and developing employees for future roles.

But succession planning isn't just a win for your business; employees benefit from it as well. It boosts their confidence, engagement and motivation as they strengthen their competencies and enhance their careers.

So, how do you execute succession planning in your company? This article will help explain what company succession is, how to execute and succeed at it and templates you can use.

Table of Contents

What is succession planning for a company, benefits of succession planning, succession planning model, the succession planning process for companies, 16 templates you’ll need for company succession planning, faqs on company succession planning.

• Succession planning is the practice of identifying and developing talent for future roles—not just for leadership positions but for key roles across the company.
• Investing in succession planning creates a structure for training and development and boosts employee engagement, morale and retention while reducing recruitment costs.
• Succession planning helps you spot and groom talent, keeps your company disaster-proof and preserves your legacy and institutional knowledge.
• The three main models of succession planning are the hope model, the nominal model and the robust model.
• The succession planning process for companies includes the assessment, development and evaluation phases.
• Visme provides a robust suite of templates, tools and solutions for every phase of your company's succession planning.

Succession planning is the practice of identifying and developing talent for key roles across the company. It prevents talent shortages and ensures a smooth transition when important employees leave, get transferred or change roles.

Preparing employees to take over leadership may take many forms, such as:

• Offering specialized training, education and executive programs to enhance the skills of potential leaders.
• Transferring the employee to a specific department or job to gain experience.
• On-the-job shadowing enables the employees to learn and observe the role being carried out.
• Developing contingency and crisis plans for unexpected departures or unforeseen circumstances.

Filling the talent and leadership pipeline with trained employees can benefit your business in many ways. Let's take a look at why you should start investing in succession planning today.

1. Build a Structure for Training and Development

Training and development are at the heart of effective succession planning. It provides a platform for high-impact training programs that train and equip high-potential individuals to take on crucial leadership roles in the future.

Training isn't just about providing courses or learning materials. The employee’s professional development may come in the form of coaching, mentoring, job shadowing, or a gradual increase in more advanced responsibilities. In other cases, it may require the candidate to get additional education or professional certification.

2. Boost Employee Engagement, Morale and Retention

Succession plans highlight areas for growth so employees can develop critical skill sets. It empowers potential leaders to thrive now and in the future.

A survey from Better Buys shows that employees who access professional development opportunities have 34% higher retention and are 15% more engaged than those who don’t.

When employees see an opportunity to move up the corporate ladder, they're more engaged. What makes it even better is their motivation to grow with your company. Statistics have shown that more employees will stay with a company that invests in their development.

3. Reduces Recruitment Costs

Recruiting and hiring top talent can cost hundreds to thousands of dollars. And this cost will continue to soar if you don’t have a plan to shape up your talent pipeline with prospective leaders.

With company succession planning, successors come from within the company. This means you can save costs that would have gone into external recruitment. You’ll be able to invest the money in other aspects, like training and development.

4. Keeps Your Company Disaster-Proof

Let's face it. Change is inevitable. Your essential employee could become ill or be poached by another company for higher pay. When unplanned, it can make or break your business. The exit of any important member of your company means important roles will go unfilled for too long.

Let’s say your lead software engineer suddenly resigns. This could put your business's success in jeopardy. Without a successor, your entire system will crumble and you could lose business.

With succession planning, change management becomes a breeze. Since you already have replacements for crucial positions, your business isn't left vulnerable when change happens. The successor simply steps up to the plate and it's business as usual.

5. Spots and Grooms Top Talent

The beauty of having a company succession plan is that it helps you discover gems.

With the right approach to succession planning, you'll easily identify, develop and retain key employees who perform well in top roles.

Having come through the ranks, these talents embody the company's mission. As they grow, they acquire everything it takes to lift your organization to great heights.

Here's another advantage of having a strong talent and leadership pipeline. You're not boxed into picking anyone who's simply available. You can measure your options and make the best decisions regarding potential successors.

Also, you can align your succession pool with your diversity and inclusion goals, ensuring a representative leadership pipeline.

6. Establishes Your Legacy and Preserves Institutional Knowledge

When leaders are cognizant of their potential successors, they can offer mentorship and impart valuable knowledge. This ensures that when leaders step down, their legacy and influence will remain. Not only that, but institutional knowledge is preserved and passed down.

Their successors will carry on the dedication and effort invested over the years, allowing your leaders to imprint a lasting legacy on the organization.

There are three main models of succession planning:

Nominal Model

Robust model.

In this model, companies aren’t proactive with their succession plans. They just hope executives don’t resign, retire or die. And if that happens, they hope they find the right replacement as soon as possible—via recruitment or promotion.

When there's a gap in critical positions, someone within the organization is promoted. As an alternative, external candidates are sourced, interviewed and selected. In this case, it can take up to 12 months for the new hire to settle in fully or become productive. The worst part? Many of these appointments—about 30%—are found to be unsuccessful.

• There are no ongoing costs for training, capacity development and mentoring.
• The role can be adapted to suit the strengths of the new recruits.

Disadvantages

• The cost of searching for new hires is high.
• There are increased indirect costs while the role is vacant.
• External candidates may have long learning curves.
• Recruits may find adjusting to the culture and role expectations difficult.
• This model has a high failure rate.

The nominal model is a more efficient succession planning model than the Hope model. It involves identifying one to three successors for crucial roles. These individuals should be capable of seamlessly assuming these roles on short notice.

• The direct costs are minimal.
• Successors can promptly fill a role without gaps.
• This model eliminates the uncertainties associated with a replacement search.
• The newly appointed individual has a shorter learning curve to adapt to expectations.
• The direct cost is low, but there's an ongoing cost of grooming talent.
• Expectations are set among the identified successors. This creates the possibility of disappointment and disillusionment if promotions do not materialize.
• Transitioning into a new role may challenge these individuals beyond their strengths.
• The role's demands may require different personal characteristics that are challenging or impossible to cultivate.

The robust model is the most effective succession planning model. It entails building a talent pool with individuals who have the potential to assume critical positions at different levels of your organization—not just executive positions.

The next step is to assess their abilities, attitudes and skills, as well as their training and development needs. These individuals are then groomed to fill vacant positions within the organization whenever needed.

• The organization gains a strategic overview of its talent strengths. This allows for proactive planning of talent requirements well in advance.
• With individuals 'waiting in the wings' for top roles, the organization can swiftly respond to vacancies.
• All high-potential talent undergoes development. This enhances their current performance, boosts motivation and engagement and prepares them for more senior roles.
• Institutional knowledge is preserved and passed on to the next generation.
• There’s an ongoing cost associated with assessing potential, addressing development needs, implementing development programs and tracking talent.
• Talents may still leave after you’ve invested in training and grooming them.

Succession planning can look different from organization to organization. However, the general process typically falls into these three critical phases:

Assessment Phase

Evaluation phase, development phase.

Each phase has different steps your company needs to take to develop an effective succession plan.

Step 1:  Understand your company’s strategic direction based on the overall strategic plan and workforce plans . This will help you steer your succession planning efforts to meet your company's evolving needs and sustain success.

Step 2:  Conduct a SWOT analysis to determine where your company stands in terms of succession planning. This helps you identify both internal weaknesses and strengths as well as external opportunities and risks, which can impact expected outcomes.

Step 3: Write down your succession planning goals. Make sure they align with your workforce plan and company-wide goals. For example, your goal could be to:

• Identify and document potential successors for critical roles within the next six months
• Ensure knowledge transfer from retiring leaders to successors
• Increase diversity in the leadership pipeline

Step 4:  Pinpoint the business gaps and challenges that could affect your company in the next 1–10 years if succession planning isn’t executed.

Step 5: Specify roles and positions critical to your business's survival and growth. These are roles that aren't just urgent or catalysts for success but are important for business operations and meeting short and long-term company goals.

Step 6: Identify the important skills, abilities and institutional knowledge that make the company successful and sustainable.

Step 7: Analyze the current workforce to discover whether or not there are qualified individuals to fill these critical positions

Step 8: Develop a Success Profile. This document should detail the education, skills, knowledge and competencies that talents need to succeed in that role. Also, include information about position demographics like age, gender, location, level and experience.

Step 9: Nominate promising employees and potential successors for important roles.

• Create a list of potential successors and their current positions. For each candidate, outline an estimated timeline indicating the anticipated duration of their readiness to assume the targeted position.
• Have conversations with employees about their career aspirations and interests. Assess their past performance and leadership abilities in their current roles to gauge their readiness for higher positions.
• Make sure to communicate to each potential candidate that they are being considered for critical positions. This helps them understand the opportunity and encourages their commitment to growth.

Step 10: Specify the learning, training and development needs or experiences necessary for your successors to excel in leadership positions and other critical areas within the organization.

Step 11: Create a training and development plan . Ensure each plan is tailored to each role and succession candidate and is designed to help candidates close skill or experience gaps. Align training plans to the knowledge, skills, languages and capabilities required for current and future roles.

Step 12: Execute training and a career development plan.

Creating corporate training programs helps potential successors cultivate and enhance their skills. Professional development can take various forms, including mentoring, coaching, task or job rotation, job shadowing or assuming higher responsibilities. They may also need to enroll in formal degree programs, courses and workshops or pursue professional certifications to further enrich their skill sets.

Step 13: Discuss with current leaders how they can pass on knowledge before leaving the organization. Implement a structured blueprint for knowledge transfer, facilitating the exchange from experienced employees to those in the learning phase.

This can involve initiatives such as mentoring programs, coaching sessions and on-the-job training , ensuring a seamless transfer of expertise and wisdom within the team.

Step 14: Evaluate progress and measure the success of your succession planning efforts.

Review, compare and communicate progress with different stakeholders every 6–12 months. You can monitor the effectiveness of your succession plan using metrics like bench strength, career path ratio, retention, time to fill, diversity metric, risk of loss, cost savings and more. These indicators will help you communicate progress to senior leadership, succession candidates and the organization as a whole.

Succession planning is a winning strategy for longevity and business success. However, you need to deploy the right tools and templates at every step to ensure a streamlined company success planning process.

Let's check out some of the tools and templates you should have in your stack.

1. Succession Plan

Creating a strong plan for when employees leave is crucial, whether it's due to retirement or other reasons. This company succession plan example is here to help you build a solid strategy, ensuring you're ready for any changes.

It provides crucial information about the leadership pipeline, ideal candidate profile, assessment, training and more. You can easily customize everything in Visme, from colors to text and fonts. Visme also has a rich library of stock images , icons and videos to make your document engaging. Feel free to make this template your own. Use the features in Visme to create a succession plan that fits your needs and looks great too.

Here’s another succession plan that can secure your business’s long-term success. This plan offers a clear roadmap for developing successors who can elevate your business to new heights. It helps ensure important aspects of succession planning don't slip through the cracks.

2. Business Plan

Use this business plan template to ensure your succession planning efforts are directly aligned with your company’s strategic direction. With Visme’s data visualization tool , you can visualize data such as:

• Budget and financial projections
• Market trends
• Historical patterns in your business data
• Customer segmentation

You’ll find different types of graphs, charts, maps and widgets to present data in a captivating way. As you groom successors, share your business plan with them. It will help them understand where your company is headed and continue to work towards the same objective.

Creating a business plan facilitates a smooth transition. It also sets the stage for the continued success of your organization. Keep the plan up-to-date with changes in business and industry trends. This way, you can ensure that the succession plan meets the needs of your organization as it evolves.

3. SWOT Analysis

Conducting a SWOT analysis helps you assess the strengths and weaknesses of potential successors. Knowing these strengths helps you harness and build on them. By pointing out their weaknesses, you can develop training and development plans to address these gaps before they assume leadership roles.

Use this template to assess your company’s readiness for succession planning. You can visualize future opportunities and threats to leadership transitions in your organization.

If you have a succession plan strategy, the SWOT framework can still work. You can use it to evaluate the status or effectiveness of your succession plan.

​​It’s also effective for making informed decisions about the best candidates for leadership roles and development initiatives, as well as making potential adjustments to the succession plan based on the external environment.

4. Market Research Report

Succession planning isn’t just about replacing leaders. It’s a strategic approach that considers external factors that influence leadership transitions like industry trends, market analysis and the competitive landscape.

Conducting market research will keep your company in tune with the realities of your business landscape. Armed with this knowledge, you can ensure your successors are equipped to navigate industry shifts and capitalize on emerging opportunities. It enables you to align leadership development strategies with the external forces shaping your industry.

Use this template below to capture the report of your market analysis.

Add interactive elements like hover effects or clickable pop-ups to make it navigable and engaging. Visme also offers animated icons, GIFs , illustrations and special effects to give your report a special touch.

5. Financial Projections/Reports

Succession planning doesn’t come cheap. A lot of money goes into searching, recruitment, onboarding, training and integration. Tools, technology and compensation for current and potential leaders are critical cost components as well.

Use this template to forecast the financial investment required for leadership planning. Put together financial contingency plans to ensure your financial resources are aligned with strategic priorities.

After sharing the report, you can use the analytics tool to see how your audience has engaged with it. The tool lets you measure metrics like Views, Unique Visits, Average time, Average Completion and more.

6. Organizational Chart

Visualize the current leadership structure using this customizable template. It provides a clear overview of the hierarchy. You can easily identify crucial roles and understand the reporting relationships between employees.

By looking at the org chart, you can easily spot a lack of depth in the leadership pipeline. It’s also easy to spot where and which successors need to be groomed. Here’s an organizational chart template you can use to simulate various succession scenarios.

Keep your org chart on brand with the help of Visme's brand wizard . Once you input your URL, the tool pulls up your brand assets and adds them to your brand kit. That way, you don't have to manually add your branding every time you create designs.

7. Employee Handbook

Streamline the process of onboarding internal and external hires with this employee handbook. It brings your successors up to speed with the various company policies that apply to the different leadership cadres. This template features sections like:

• Company overview
• Employment basis
• Workplace policies
• Code of conduct
• Benefits and Perks
• Compensation
• Working hours

With a modern design, sharp color scheme, tech-inspired icons and visuals, this template presents essential information in a captivating format.

8. Performance Metrics and KPIs

Tracking metrics and KPIs help assess the impact of your succession planning initiative and how well-prepared your company is in the case of an unexpected event.

With this template below, you can report metrics such as bench strength, career path ratio, retention, time to fill, diversity metric, risk of loss, cost savings and more.

Show senior managers and stakeholders that your plan is future-proof with the help of this fully customizable report template. It has a delightful color combo and an eye-catching selection of fonts, images and icons which makes it an excellent pick for a variety of business needs.

Just replace the placeholder text in this report template then tweak the visual elements until you have a design you love.

9. Risk Management Plan

Succession comes with a lot of risks. Some of them may include:

• Talent shortfalls
• Overreliance on a few individuals
• Resistance to change
• Insufficient investment in training and development programs
• Successor unpreparedness

With a solid risk management plan, you can mitigate the impact of these risks on your company. It helps you anticipate potential challenges and develop contingency plans for unexpected events.

But that's not the only reason you need a risk management plan. When the successor eventually assumes the position, this plan keeps them aware of potential risks in the business or market and empowers them to make informed decisions.

10. Crisis Communication Plan

Successful leadership transitions thrive on effective communication. An effective communication plan helps you build transparency and trust, increase employee engagement, mitigate resistance and manage expectations.

With this template, you can develop a clear and transparent strategy for communicating the succession plan to all stakeholders, including employees, clients, investors and other relevant parties.

Navigate the difficulty associated with this process and stay winning with this template. This communication plan explains how crucial information will be communicated to stakeholders during succession planning.

It also highlights who will be receiving the communication, how and when they will receive it and how often they should expect to get that info.

When creating your plan, make it a collaborative process. Use Visme's collaboration tool to ensure everyone participates in the planning process. Team members can leave feedback, comments or even draw annotations in real time.

The Workflow feature makes communication even better. You can assign pages to different team members, set due dates and review submissions.

11. Training Plan

Training and development serve as the cornerstones of a robust succession plan. They equip employees with the skills, knowledge and experience required to take on bigger responsibilities.

Use this template to create a robust training plan that caters to the individual needs of each employee. It clearly highlights the training program outline and describes how the program will be delivered along with an evaluation and follow-up process.

Build a robust succession pipeline that boosts employee engagement and increases retention rates. Start by identifying the skill gaps for each employee and create training programs to address those gaps.

Save time and create quality training content in minutes using Visme's AI text generator . Just describe what kind of content you want to create and watch it generate your text in seconds.

12. Strategic Plan

Your succession planning document isn't a replacement for your company's strategic plan . The succession plan must be in sync with your company's broader goals and vision.

A strategic plan helps you identify potential risks and uncertainties in the business environment. Integrating your company-wide goals and succession planning helps you identify and develop a diverse pool of talent for leadership positions.

Use this template below to develop a strategic plan that sets the foundation for purpose-driven leadership, continuous improvement and long-term sustainability.

Share your plan with your audience online or download in multiple formats (PDF, image, PPTX, HTML) and share offline via other channels.

13. Surveys and Feedback Forms

Surveys and feedback forms are valuable tools for obtaining information about the employee's development needs. You can use it to gauge employees' strengths and how to harness them. On the flip side, it also reveals their weaknesses and how you can address them as well.

If you're looking to improve the number of employees who engage with your forms, we recommend using Visme Forms.

Visme's no-code feedback form creator helps lift feedback form metrics so you get a better insight into the minds of your employees. Read this case study to see how Visme can increase your form conversion rates by 207%!

14. Employee Evaluation Forms

Assess how well employees are absorbing the training and development program with this employee evaluation form template.

What makes employee evaluation so important is that it:

• Enables you to provide constructive feedback to both trainers and trainees.
• Helps you identify high-performing individuals who may be ready for additional challenges or leadership roles.
• Creates a sense of accountability and encourages participants to take the training seriously.
• Allows you to measure training effectiveness and ROI.
• Provides a framework for improving your succession planning initiatives.

This template has a clean layout with crisp fonts and a minimalistic design. These attributes make it suitable for businesses across different sectors. Customize it to your taste by adding your brand elements with just a few clicks.

Easily customize this template for different trainees with the help of the dynamic fields feature. You can create custom fields and values that repeat across different projects or documents.

Q. What Is Succession Planning?

Succession planning is the practice of identifying and developing talent for future roles—not just for leadership positions but for critical roles across the company. It's about finding and training new leaders from inside (and sometimes outside) the company to make sure the shift in responsibilities goes smoothly.

Q. What is Succession Planning and Diversity?

Succession planning and diversity are two different concepts.

Combining succession planning with diversity initiatives ensures that the pool of potential leaders is not only skilled but also representative of a diverse range of backgrounds and perspectives.

Diversity in succession planning helps organizations avoid groupthink, encourages innovation and reflects the changing demographics and global perspectives in the business landscape.

Q. What are the 4 stages of succession planning?

Here are the four main stages of succession planning:

• Identifying crucial positions that are essential for the success and continuity of your business.
• Conducting a thorough assessment of your current talent pool. This involves evaluating employees' skills, competencies and potential to determine their suitability for future leadership roles.
• Implementing training programs, mentorship opportunities and other initiatives to enhance the skills and capabilities of potential successors.
• Transitioning from the outgoing leader to the successor. Additionally, there is a continuous monitoring process to ensure the new leader succeeds in their role, with adjustments made as necessary.

Q. What should a business succession plan include?

A business success plan should include the following elements:

1. Identification of Key Positions: Clearly define the critical roles within the organization that are pivotal for its success and require succession planning.

2. Talent Assessment: Conduct a comprehensive evaluation of current employees to identify individuals with high potential for leadership roles.

3. Leadership Development Programs: Implement structured training and development initiatives to enhance the skills and capabilities of potential successors.

4. Communication Plan: Develop a clear and transparent strategy for communicating the succession plan to all stakeholders, including employees, clients, investors and other relevant parties.

5. Knowledge Transfer: Establish a plan for transferring critical knowledge and skills from current leaders to potential successors, ensuring a smooth transition.

6. Legal and Financial Considerations: Address legal and financial aspects related to succession, including estate planning, tax implications and the legal structure of the business.

7. Contingency Planning: Develop contingency plans to handle unexpected events, such as sudden departures or the incapacitation of important leaders.

8. Diversity and Inclusion: Consider diversity and inclusion in succession planning to ensure a varied pool of potential successors.

9. Regular Review and Updates: Periodically review and update the succession plan to align with strategy, structure or personnel changes.

10. Succession Readiness Assessments: Implement a system for assessing the readiness of potential successors and addressing any development needs.

Q. What is the role of HR in succession planning?

Human Resources (HR) plays a pivotal role in succession planning. They collaborate with leadership to identify critical roles, conduct talent assessments and develop a pipeline of high-potential individuals.

HR is also responsible for planning and implementing leadership development programs, ensuring transparent communication and fostering diversity. They also monitor the readiness of potential successors to facilitate smooth transitions and long-term organizational success.

Use Visme to Create Dynamic Documents & Plans for Your Company

There you go—everything you need to know about company succession planning, including tools and templates to help you get started.

Succession planning isn't just a replacement plan for senior-level positions. It involves nurturing potential successors for any position—whether it's junior, mid-level or senior-level executives.

Another thing you should know is that it goes beyond mere replacement strategies. It's a proactive approach to identifying and grooming a diverse pool of talent within your company.

The truth is, you need robust business productivity tools like Visme to pull it off. Visme has a rich library of templates and tools you can use to streamline the entire company succession planning process.

Whether you're in HR , sales and marketing , training and development , or project management , Visme has solutions for you. What are you waiting for? Contact sales to find out how Visme can help your business thrive.

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Your Business Needs a Succession Plan: Here Are the Basics

Succession planning may be the single-most neglected aspect of business ownership. Don’t make the same mistake that so many others do. Instead, get started with your plans today.

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In Part 1 and Part 2 of this series on selling your business, we’ve examined the questions facing owners who entered 2020 ready to make their move, breaking down how the COVID-19 pandemic changes the situation and how to increase a business’s value if you decide to delay bringing it to market. There’s another way forward, though — standing pat and not selling.

Tax Wrinkles for Work-at-Home Employees During COVID-19

If you were a business owner who was considering putting your company on the market but decided not to sell (or at least not anytime soon), what steps should be you taking now? The goals are to ensure preservation of the current business, as well as provide for an orderly and stable future transition when the proper time to sell arrives. Accordingly, the first and most critical step is setting a goal to implement both a business continuity plan and a business succession plan. The sooner, the better.

We have all learned a valuable lesson from the COVID-19 pandemic: A significant business disruption can happen with very little advance notice, and not being prepared can be disastrous.

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Developing a Business Continuity Plan

Armed now with the knowledge of how the pandemic impacted your own business operations, you can now plan. Did the travel restrictions impair your sales efforts? Did the substantial increase in employees working remotely overburden your IT infrastructure? Did your vendors and suppliers make requests that you couldn’t respond to effectively?

The goal of a business continuity plan is to identify that which is essential and that which is not and to place the business in a position where it can continue to operate during a disruption. Ideally, the business continuity plan would include:

• A comprehensive strategy for keeping the business operating day-to-day.
• An assessment of essential and non-essential operations and processes.
• An analysis of key employees/positions and how each would be impacted by a disruption and, specifically, the potential loss or unavailability of key employees.
• A review of facilities and analysis of how the business operates if one or more location becomes unavailable.
• A plan to protect, secure, back up and replicate, if necessary, critical data systems, infrastructure and applications.

These are only a few of the many issues for consideration when developing a business continuity plan. Many of the details are industry-specific, and you need to work with your key employees and advisers to address the challenges likely to face your particular industry. Consider meeting and discussing with your vendors, customers and suppliers the challenges that were presented by the COVID-19 restrictions. Get their views on how things could have been handled more effectively. Information is key to developing a plan that will actually work.

There’s Never Been a Better Time for Business Owners to Make a Move

Once you develop a plan, revisit it regularly and adjust and update it so that it is always ready to go when you need it. If, for example, your CFO retires, you will need to consider how the loss of that person and their particular knowledge will affect the plan. Will their successor have the wealth of historical knowledge necessary to obtain and transfer information in a timely manner? If not, consider how you address the gap. Every organization seems to have those “go-to” people who have been there forever and without whom things run much less smoothly. Consider how the plan is impacted if those individuals are unavailable. The key takeaway is that the plan needs to grow and change with the business in order to work effectively when the disruption happens.

Developing a Business Succession Plan

No matter what your plans are for the future of the business, eventually, you will transition it to someone. Perhaps that someone is a purchaser, or perhaps you will transition to your family, key employees or some combination of the two groups. The point is that transition will eventually be unavoidable. Ideally, you get to control and be part of the process. That, however, is not always the case. Unexpected death of an owner, key executive or employee can cripple a business if no successor has been identified and there is no plan for transitioning management.

Every business succession plan looks different. Not every business owner wants to transition their business in the same way or at the same time. Some owners want to exit completely at a certain date. Others want to stay involved to a lesser degree over time but never exit entirely. These issues, as well as many others, must be considered. The plan should be designed to:

• Address anticipated timing.
• Identify one or more successor.
• Address the value of the business.
• Provide for implementation of the plan.
• Discuss communication with employees, customers and family.
• Include tax planning.
• Provide for contingencies.

In my long career as a business lawyer, I have observed that succession planning is the single-most neglected aspect of business ownership. Maybe it’s human nature to think that we’ll always have time to deal with it later. The truth is, if you don’t get around to it and the unexpected occurs, the impact on your family and employees could be devastating. Also, we see many executive job candidates asking about a company’s transition planning before they are ready to commit to working there. Lack of a transition plan can therefore have a negative impact on attracting and retaining talented employees and executives.

The best way to approach the process, in my experience, is by dedicating a year to the effort. Spend three or four months discussing the process with your family, executive employees, your bank and other key stakeholders. Get your lawyer and accountant or other tax adviser involved from the outset. Develop and refine the plan over the next few months, and implement it over the last three or four months. One year is what you need. Negotiate the fees with your professional advisers in advance and get a budget for each phase. When it’s done, you’ll thank yourself, and your business will be better off for having gone through the process.

Final thoughts

As touched on in this article and the other parts of this series, the COVID-19 pandemic was and remains a major disruption that couldn’t have been foreseen by most business owners at the start of 2020. The confusion of the early days, however, is beginning to clear. For owners who were planning for a transition, there is path forward — be it bringing the business to a changed market, delaying the decision or staying put for a time.

No matter the decision, proper preparation and organization will make it easier.

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Patricia Farrell is a corporate law attorney in Pittsburgh. With a primary practice in business services, she regularly represents privately held businesses in mergers, acquisitions, divestitures and other major transactions, both in the United States and in Europe, Asia and Australia. She also has a broad corporate practice where she assists with corporate governance as well as succession planning for business owners and a variety of other day-to-day business issues.

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The leader’s guide to effective succession planning

Reading time: about 6 min

What is succession planning?

The succession planning process helps organizations recruit, identify, and develop employees to take on new leadership positions or replace current leaders when they retire or leave the company.

A necessary part of business success is preparing for every possible outcome. Proper planning means the difference between weathering a storm and drowning beneath the inevitable changing tide.

Succession planning, then, should be treated as a necessary failsafe against change and a way to keep your business running smoothly.

A responsible and self-aware owner, human resources department, or senior executive embraces change and knows that a rotating employee base is natural to any company, even while striving for employee retention. The most enlightened leaders know that sometimes top performers will outperform their position and need to move on. Some may even change careers entirely, moving on for more fulfillment, more money, more opportunity, or myriad reasons people leave positions behind. And it doesn’t have to be bad.

In fact, with proper planning, effective people management, and responsible communication, your succession plan may end up serving the company even better in the future as you navigate through changes.

Succession planning is the process whereby an organization ensures that employees are recruited and developed to fill each key role within the company. During the succession planning process, you ensure that you will never have a key role open for which another employee is not prepared. This process is also significant as you develop your talent bench strength within your organization.

Effective succession planning involves having a long-term vision of your company and may involve lateral moves, assignments to special projects, leadership within teams, and internal or external development opportunities.  Understanding the needs of both leadership and employees is vital to the succession process, as it can involve both vertical and lateral advancement for company employees.

Ever wonder why NFL teams keep a second and third-string quarterback ready? This is a key example of effective succession planning. A proper succession plan not only prepares for unexpected employee turnover—it plans for employee promotion and leadership development, creating a self-sustained internal advancement model from the mailroom to the boardroom.

Benefits of a succession planning process

Organizations at every size benefit from organizational succession planning. Consider even the small 10- to 12-person team of a lean startup: Succession planning for companies of this size leverages against the risk of losing a vital team member who takes up a much larger relative percentage of the work output.

By cross-training all members of an organization, a leadership team can mitigate against the often volatile startup space by having employees ready to fill in roles for anyone who may transition within or outside of the company.

Perhaps the company wants to cut costs by eliminating a position and redistributing responsibilities laterally within the company. Succession planning, then, would entail making sure that current employees are trained on the duties of the role to be eliminated. Management succession planning for small companies could also mean preparing current employees to onboard a new process, new service offering, or even developing a new leadership position.

Let's break down how succession planning will specifically benefit management, HR, and individual employees.

The value of a management succession plan

Managing a successful operation becomes increasingly difficult when you rely on many employees to support your company, from creating the actual products and services to reinforcing the mission statement and vision. Losing key members puts all of those ends at risk. You need prepared employees to step into leadership roles as the company grows or shifts directions.

A management succession plan, which ultimately results in more prepared, well-trained employees, will enable your company to create or supplement leadership positions based on industry growth potential rather than scrambling to adjust and undertraining, potentially missing major opportunities.

Now especially is a time for established companies to actively invest in succession planning for management as baby boomers reach retirement age. As new technology provides a range of business opportunities for digital natives, management succession planning is the perfect opportunity to transition companies into a digital future.

The value of human resource succession planning

HR succession planning begins at the recruitment phase. Companies save valuable time in the succession planning process by onboarding exceptional employees and drawing from their built-in human resource pool rather than headhunting for new positions when leadership roles become available. The human resource cost can add up—in time, money, and energy—and bringing on the right people from the beginning is the best way to both prevent added HR cost and to increase HR value in the long run.

Succession planning for HR begins with H promoting on-the-job shadowing for the right employees, facilitating transfers to different jobs, and developing a top-notch recruitment plan. All of this ensures that there is a systematic succession process for preparing employees to fill key roles as they become vacant. The goal for all future-minded companies should always be to prepare employees for advancement or promotion into ever more challenging roles within the organization.

The value of an employee succession plan

Entering a new company comes with a range of emotional and mental processing: the stress and excitement of learning entirely new information, the rush and anxiety of meeting new co-workers and superiors, the wonder and uncertainty of your future within the organization. Employee succession planning has a myriad of positive benefits for the employees as they make this often awkward transition into a new space.

When succession planning for employees, consider Maslow's Hierarchy of Needs. When new hires are primed with the knowledge that the company plans on advancing them internally, it fulfills not only a vital career need of security but also a need for social belonging. 

Additionally, employees who know that a higher position awaits them receive a boost of self-confidence and self-respect as a result of feeling valued. This confidence enhances their performance within the organization. By fulfilling these more basic needs, employees can start working toward self-actualization, where they develop their skills and find creative solutions to problems. 

Further, as an added bonus to management and leadership, employees who feel valued, who are looking forward to additional responsibility, and who share that information within the company are likely to contribute to training or preparing other employees to fill their role. A shared effort to continuously train employees improves overall company culture and saves valuable human resource time and energy expenditures.

Planning out succession will make an already effective leader look like a genius. But doing it properly requires transparency across your organization, prepping potential leaders by arming them with the necessary information for any potential transition. Take the next step and learn how to succession plan.

See our 9 steps for creating a succession plan and preparing for change.

About Lucidchart

Lucidchart, a cloud-based intelligent diagramming application, is a core component of Lucid Software's Visual Collaboration Suite. This intuitive, cloud-based solution empowers teams to collaborate in real-time to build flowcharts, mockups, UML diagrams, customer journey maps, and more. Lucidchart propels teams forward to build the future faster. Lucid is proud to serve top businesses around the world, including customers such as Google, GE, and NBC Universal, and 99% of the Fortune 500. Lucid partners with industry leaders, including Google, Atlassian, and Microsoft. Since its founding, Lucid has received numerous awards for its products, business, and workplace culture. For more information, visit lucidchart.com.

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How to create a succession plan for business continuity and growth

By Diyaa Mani April 2, 2024

Updated April 2, 2024

What is succession planning, and why is it so important?

Succession planning is vital to organisational development and extends beyond the C-suite and upper management roles. It's essential for all levels of an organisation, ensuring a seamless transition of talent and skills.  

Following are the topics we will cover in this article:

• Succession planning definition
• Key elements of an effective succession plan  
• Risk mitigation and adaptation strategies
• Implementing succession plans for mission-critical roles

How to create a succession plan

Succession planning case studies: implementing in various business contexts.

• Common succession planning challenges and how to overcome them
• Key takeaways
• Invest in your business' future with Airswift

Let's start with a clear succession planning definition

Succession planning is the process of identifying and preparing promising executives for greater future responsibilities and is significant in modern business environments because it ensures leadership continuity and success. 

According to Neil Manfred, Group IT Director at Airswift, "Succession planning is about making sure the whole organisation continues to run smoothly by identifying reliable individuals."  

The two main components of succession planning encompass staff retention and talent development. 

Staff retention 

Staff retention is critical for maintaining business continuity and growth. It involves strategies and practices to retain talented employees and reduce turnover rates.

Says Charles Pfauwadel, Senior Vice President of ASPAC at Airswift, succession planning is "by far the best way to retain people because the longer someone is with the organisation, the more they contribute because they have fostered strong relationships with clients and within the business."

• Boosts morale and motivation: Recognition of potential through succession planning increases employee commitment and drive. 
• Demonstrates investment: Training, mentorship, and leadership development programs show the company values employee growth. 
• Reduces turnover costs: Investing in existing employees reduces recruitment and training costs associated with high turnover. 

Career path clarity: Defined career paths within succession planning keep employees engaged and motivated.

Career progression is very much linked to succession planning. We want to make sure leaders elevate and promote team members, which often leads to replacing managers and opening up new roles. – Charles Pfauwadel  

Talent development 

Talent development in succession planning is integral to a robust and adaptable workforce. "Empowering individuals based on their strengths and interests can contribute significantly to the organisation. In technical fields such as IT, tailoring projects based on what individuals enjoy doing can lead to remarkable achievements, such as leading ISO certification efforts," says Manfred.

Here are several benefits to developing talent:

• Identifies and nurtures potential: Programs assess skills and potential to develop future leaders from within.  
• Enhances skills and competencies: Training focuses on leadership, communication, and decision-making to prepare employees for future challenges. 
• Adapts to changing needs: Programs evolve alongside the business landscape to ensure employees have the latest skills needed for success. 
• Improves succession readiness: Investing in development creates a pipeline of prepared leaders to mitigate risks from staff departures. Pfauwadel emphasises that succession planning helps businesses anticipate sudden changes. "It ensures tasks and knowledge are not lost overnight and allows for preparation and training in advance." he says.
• Fosters continuous learning: A culture of ongoing growth is encouraged through employee development opportunities.

Key elements of effective succession planning 

Succession planning is a theoretical exercise and builds organisational resilience. A robust succession plan comprises several components that ensure its success in identifying, nurturing, and transitioning talent. 

Proactive training and skills documentation

Effective succession plans begin with identifying and documenting critical skills and competencies for various roles. Training programs are then implemented to develop these skills among employees, ensuring they are well-prepared to step into leadership positions.  

Leadership pipeline creation 

Establishing a leadership pipeline involves identifying high-potential employees and providing them with opportunities for advancement and development. This includes rotational assignments, stretch assignments , and targeted development programs designed to groom future leaders from within the organisation. 

Mentorship and coaching programs 

These play a crucial role in succession planning by providing guidance and support to emerging leaders . Experienced executives can mentor younger employees, sharing their knowledge, insights, and experiences to help them develop leadership skills. According to Pfauwadel, "it's all about identifying high-potential people as early as possible and supporting their development and growth.”

Succession readiness assessments 

Regular assessments are conducted to evaluate the readiness of potential successors to step into key roles. This may include performance reviews, competency assessments, and leadership potential evaluations to identify gaps and development areas. 

Contingency planning 

"Being ready for unexpected situations is crucial. If someone resigns, and you don't have succession planning in place, especially if this person is a salesperson, for example, you may lose the business because you don't have a backup plan."     - Charles Pfauwadel

Effective succession planning includes contingency planning for unexpected events such as sudden departures, retirements, or incapacitation of key personnel. Contingency plans outline alternative strategies for filling critical roles on short notice, minimising disruption to business operations. 

The role of open communication and collaborative goal-setting 

I'm a massive believer in one-to-ones with my direct reports, speaking at least once a week. I want everybody to feel like they can come to me and say, ‘Hey, I'm struggling with this area’, without worrying about retribution or retaliation. -Neil Manfred

Open communication and collaborative goal-setting are essential to a transparent and aligned organisation. Employees who feel empowered to share ideas bring diverse perspectives to inform decisions and spark innovation.

Collaborative goal setting ensures everyone understands the company's vision and their role in achieving it, fostering a sense of ownership, boosting motivation and productivity. This combination creates a high-performing workforce. 

Risk mitigation and adaptation strategies 

Succession planning involves identifying and mitigating risks associated with leadership transitions. The steps highlighted below ensure business continuity in the face of unforeseen challenges. 

Diversifying the leadership pipeline 

Succession planning involves diversifying the leadership pipeline. This includes identifying and developing a pool of talented individuals across different departments and levels of the organisation who have the potential to step into leadership roles. By broadening the talent pool, organisations can reduce dependency on specific individuals and increase resilience to unexpected departures or changes in leadership. 

Cross-training employees 

Cross-training employees is an effective strategy for building versatility and flexibility within the workforce. Organisations can ensure that multiple individuals can perform critical tasks and responsibilities by providing opportunities for employees to gain experience and skills outside their primary roles.  

Succession planning is about finding individuals who have the inclination to move into another area. It's about giving them a well-rounded ability across each department.   – Neil Manfred

Implementing succession plans for mission-critical roles 

Specific roles within an organisation are essential for maintaining business operations and continuity. Succession planning involves identifying these mission-critical roles and developing specific succession plans to ensure qualified individuals are ready to step in when needed.  

With good succession planning, you can smoothly transition someone new into a vacant role. It's all about ensuring the company can plan and think long-term. - Charles Pfauwadel

Scenario planning and contingency plans 

Organisations engage in scenario planning to anticipate and prepare for various potential outcomes and challenges associated with leadership transitions. This involves identifying potential scenarios, assessing their likelihood and impact, and developing contingency plans to address them.  

Regular review and updates 

Risk mitigation and adaptation strategies should be regularly reviewed and updated to reflect changes in the organisational landscape and evolving business priorities. Succession plans should be dynamic and responsive to emerging risks and opportunities, with regular assessments to ensure effectiveness.  

Effective succession planning involves deliberate strategies to identify, nurture, and prepare talent to seamlessly transition into key roles. This ensures organisational resilience and long-term success.

Here are eight ways to ensure effective succession planning strategies:

Start early : Begin succession planning well in advance. Preparing multiple candidates for key positions to address sudden changes and aligning this process with your company's growth objectives for a steady stream of leadership talent is vital.

Be open-minded : Cultivate high-potential employees at all levels. Overlooking seniority, focus on the skills and attitudes needed for leadership roles. Promote a culture where growth and learning are supported through training and mentorship.

Document skills : Keep detailed records of employees' skills, roles, and job requirements. Update these regularly to mirror any shifts in responsibilities, laying the groundwork for promotions and identifying areas for improvement.

Identify skill gaps : Regularly assess employees to spot skill shortages, using this analysis to guide development plans. This keeps your succession plan informed and targeted.

Engage and align : Foster transparent discussions about employees' career goals, aligning their aspirations with the company's needs. This collaboration ensures mutual benefits and satisfaction.

Plan together : Collaborate with managers to tailor succession strategies, offering tools and advice to harness their insight into team dynamics and potential leaders.

Practice and assess : Use temporary leadership roles, like covering for vacations, as trial periods to evaluate candidates' readiness, providing feedback and additional training where necessary.

Hire strategically : Align your hiring strategy with your succession plan, leveraging internal talent evaluations to guide external recruitment, thereby maintaining a consistent approach to talent development and leadership continuity.

Succession planning is dynamic and should be tailored to various businesses' unique characteristics.

This requires a nuanced understanding of organisational structures, resources, and cultures in small, medium, or large enterprises.

Small enterprise: Huntswood

Succession planning for Huntswood is focused on its 226 employees and 4,000 contractors. This highlights the company's commitment to internal development and talent management.

Huntswood's succession planning strategy extends beyond its employees to include contractors, emphasising the importance of building a solid leadership pipeline. The company's approach involves strategic hiring and developing internal successors to ensure continuity in key roles. 

Huntswood's proactive approach to succession planning showcases the company's dedication to regulatory compliance, quality, and customer outcomes. By focusing on internal development and talent management, Huntswood positions itself to navigate challenges and sustain leadership continuity effectively.  

Medium enterprise: GoPro  

Adapting leadership to a rapidly changing market for wearable technology, GoPro faced intense competition and needed leaders who could navigate this dynamic environment. 

GoPro's approach has been more reactive at times. Nick Woodman, the founder and long-time CEO, stepped down in 2020. The company brought outsiders with experience in areas like enterprise software (CEO Lisa Su from AMD) to address their evolving needs.

Flexibility is needed for medium-sized companies in fast-paced industries. They may need to look outside for specific expertise while nurturing internal talent. 

Large enterprise: Samsung  

For Samsung , its main challenge was maintaining stability and growth for a complex multinational corporation with a family-oriented leadership structure. 

The multinational conglomerate utilises a multi-pronged approach. They strongly focus on internal development through programs like the Samsung Leadership Institute, which grooms future leaders from within the company. Additionally, they leverage their global presence by considering qualified candidates from various regions for leadership roles. 

Samsung has seen relatively smooth leadership transitions despite its complex structure. This can be attributed to their focus on internal development and a global talent pool. 

Common succession planning challenges and how to overcome them 

Organisations can maximise succession planning efforts and ensure long-term success by proactively addressing and overcoming common challenges.

Resistance to change 

Prioritise clear communication and transparency throughout the succession planning process to overcome resistance to change.

Engage employees in open dialogue about the rationale behind succession planning and its benefits to individuals and the organisation. Provide support and resources to help employees adapt to new roles, emphasising the opportunities for growth and development. 

Lack of resources 

Prioritise resource allocation for succession planning, recognising it as a strategic investment in long-term sustainability.

This involves investing in training, technology for talent management, and allocating time and personnel for succession planning. Additionally, organisations can explore partnerships with external consultants or educational institutions to supplement internal resources. 

Inadequate leadership buy-in 

Emphasise the strategic importance of succession planning and its alignment with broader organisational goals to cultivate leadership buy-in.

Provide education and training for senior leaders on the benefits of succession planning and their role in its success. Encourage leaders to actively engage in talent development efforts and lead by example in promoting a culture of succession readiness and continuous learning. 

Insufficient talent development  

Prioritise talent development as a core component of succession planning.

Implement structured training programs, mentorship initiatives, and leadership development courses to nurture the skills and capabilities of high-potential employees.

Encourage continuous learning and skill-building at all levels of the organisation, empowering employees to take ownership of their career growth and advancement. 

Lack of talent pool diversity

Prioritise diversity and inclusion in their succession planning efforts, actively seeking and developing talent from diverse backgrounds.

Implement strategies to remove biases from talent identification and selection processes, such as blind screening techniques or structured interview protocols. Foster an inclusive culture where all employees feel valued and empowered to contribute their unique perspectives and talents. 

Succession plan rigidity 

Design flexible succession plans, allowing for adjustments based on changing circumstances and emerging talent trends.

Incorporate regular reviews and updates into the succession planning process to ensure alignment with evolving business strategies and talent priorities. Encourage a culture of agility and adaptability, where employees are encouraged to explore new roles and opportunities for growth within the organisation. 

Key takeaways 

• Succession planning is proactive, not reactive . Don't wait for a crisis to hit. Begin cultivating your future leaders today. 
• It's a continuous process, not a one-time event. Regularly re-evaluate and adapt your plan to align with evolving needs and opportunities. 
• Benefits extend far beyond filling key roles. A well-implemented plan fosters  employee engagement, knowledge transfer, innovation, and organisational resilience.  
• Communication and collaboration are key.  Transparent discussions, collaborative goal-setting, and open career development pathways build trust and motivation. 
• It's an investment in your future .  You secure your organisation's long-term sustainability and success by nurturing talent and preparing for transitions .  
• Succession planning is not just for giant corporations or impending CEO retirements; it's a strategic approach applicable to any organisation . 

Invest in your business' future with Airswift 

Organisations can weather changes and thrive in an ever-evolving landscape by prioritising succession planning as a strategic investment.  

At Airswift, we understand the importance of talent management and succession planning in driving business continuity and growth. Whether you seek strategic workforce solutions or expert guidance in mobilising international talent we can support your journey towards a resilient and sustainable future.  

Reach out to us today to learn how we can partner with you to secure your organisation's long-term success.

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Home / Resources / ISACA Journal / Issues / 2021 / Volume 3 / Succession Planning for Business Continuity

Succession planning for business continuity.

In this digital age, when discussing business continuity, the first things that come to mind are technology and related processes. However, it is important to note that the critical elements of human resources (HR) and processes have equal weight. The challenge of succession planning is not limited only to technology teams, but it is actually a business concern. US founding father, statesman, philosopher and inventor Benjamin Franklin once said, “If you fail to plan, you are planning to fail.” 1

Executives across the world emphasize having a succession plan in place to enable organizations to continue after a disrupting event or disaster scenario. However, most enterprises are actually unprepared for such challenges. According to the US National Association of Corporate Directors, only 23 percent of enterprise boards say they have a formal succession plan in place. 2 The study also notes that public enterprise boards have become more focused on succession planning in recent years.

Enterprises struggling to manage the effects of the COVID-19 pandemic have highlighted the crucial need to have a strategy in place if senior management gets sick. A disastrous situation may prevent core management from staying connected with their teams. A risk-based plan to create possible disaster scenarios should be developed. Internal leaders who can take up the necessary roles in disaster situations must be in place. Identified individuals should go through periodic assessments to evaluate their capability and capacity to tackle such scenarios. Pragmatic risk management practices such as the International Organization for Standardization (ISO) standard ISO 31000:2018 Risk management—Guidelines 3 and the COBIT ® 2019 framework 4 control objectives should be considered when performing risk assessment exercises.

Succession planning cannot take place in a vacuum. It should also be an intensive, comprehensive initiative, much more than a preparation of a list of names that will be tabled if the chief executive officer (CEO) is hit by a bus. Similarly, succession plans will not increase the productivity growth rate of the firm if they are designed only to allow the internal auditor to tick the box: ‘Succession plan in place.’ 5

The main objective of a successful succession plan is: Should there be a disruptive change, the enterprise can continue to operate under the right leadership. These scenarios can include retirement, resignation, redundant resources, or even the unfortunate events of sickness or death. The high-level approach to succession planning includes the following steps:

• Review enterprise objectives and identify mission-critical operations.
• Identify the positions critical for these enterprise operations.
• Identify the candidates who have the required skills, knowledge and experience.
• Develop a training plan.
• Provide development opportunities.
• Perform a trial run of the succession plan.
• Maintain a skills inventory.

Nearly all industry best practices, standards and regulatory frameworks require enterprises to have a business continuity plan (BCP) in place. As the BCP touches all aspects of an organization, enterprises cannot ignore the fact that succession planning and business continuity planning go hand in hand.

From Succession Planning to Succession Management

As the name suggests, succession planning should be supported by a plan in line with enterprise strategy, values and culture ( figure 1 ).

Strategy Succession planning is a multifaceted discipline in which an overall strategy lays the foundation. When developing the plan, consider the enterprise operating environment; the expectations of the board, shareholders and customers; and legal and compliance requirements (i.e., laws and regulations). These considerations help identify the expectations of future leadership. The ultimate goal is to preserve the enterprise’s values and maintain growth and continuity of business governance practices.

The goals and objectives of succession planning should be identified and agreed on by senior management. Management commitment will:

• Minimize the challenges of allocation of resources
• Provide consistency in the decision-making process
• Establish the basis for performance evaluations
• Establish practices for succession planning

Once management endorsement is obtained, an overall plan for succession that covers critical management and key business operations positions must be developed. The goals and objectives identified provide a sound basis for identifying skills and competencies required at various management levels.

Job profiles should be developed for each key position. This should also include key success factors, performance evaluation criteria, skills, experience and attributes.

Figure 2 illustrates a proposed maturity model for transition from succession planning to succession management.

Some key questions to answer while developing a succession management system include:

• Which positions are key to organizational success?
• What are the aspects of exemplary performance for these positions?
• How will these positions be filled?
• How many key positions need to have at least one identified successor?
• How will employees or contractors be identified for succession?
• How will employees be developed, tested and retained?

Governance Enterprises with sound governance practices are able to weather challenges. Successors will be better able to perform if the enterprise has established its mission, vision and values supported by appropriate policies, procedures and organizational structure. A smooth transition is the aim of an effective succession management system, and the board and executive management are accountable for having an effective BCP in place to aid this smooth transition. A successful succession management system provides individuals with exemplary skills and attributes to fulfill the position requirements. Good corporate governance practices provide required resources (i.e., people, processes, finance, facilities, infrastructure) for the success of a succession system.

A SUCCESSFUL SUCCESSION MANAGEMENT SYSTEM PROVIDES INDIVIDUALS WITH EXEMPLARY SKILLS AND ATTRIBUTES TO FULFILL THE POSITION REQUIREMENTS.

Developing a succession plan.

Once the enterprise has identified the requirements for succession planning, such as the overall strategy, approval and resource availability, the next phase is the development of the plan.

Developing a succession plan is a multifaceted activity that comprises three broad phases:

• Initiation — The overall framework for controlling and managing the whole exercise needs to be developed before entering the planning phase. These activities include but are not limited to risk assessments, contextualization of key positions for success management, documentation of criteria for exemplary performance, performance assessment criteria and a strategy for the skills gap. Roles and responsibilities of various stakeholders, namely HR, C-level management and the board, are also explicitly documented and approved. Development of the career ladder and process for successors is also part of this phase.
• Planning —Based on assessments performed in the previous phase, key positions for succession planning are identified. Identified individuals are screened based on job profiles. Based on assessments and the identified skills gap, individual development plans are created. Similarly, succession plans are put in place for each identified position. Successors for each position along with their development plans are approved by senior management.
• Development —Subsequent to approval, successors will be developed per the approved plan. Management should consider challenging the skills and knowledge gained by successors. This may include BCP testing or trials of real-life scenarios.

An important aspect of succession management is continuous improvement, where succession management systems outputs are used for improving the succession planning and development process.

DESPITE THE BENEFITS EXPECTED FROM SUCCESSION MANAGEMENT, ORGANIZATIONS MAY FACE CHALLENGES THAT RANGE FROM A MAJOR STRUCTURAL ISSUE TO A FINEGRAINED PROBLEM.

Challenges deploying a succession management system.

Despite the benefits expected from succession management, organizations may face challenges that range from a major structural issue to a fine-grained problem. As organizations identify potential candidates to be successors, there is the possibility that they may hit a wall in the process due to internal friction within management. Challenges deploying a succession management system include the following:

• Lack of management support —Management support provides the base for successful succession management. To obtain senior management support, the value and benefits as well as any compliance and regulatory requirements should be articulated.
• Lack of resources —A crunch in resource availability can impact the effectiveness of succession planning. Successors may not possess the required skills and attributes. Any challenges to obtaining the resources necessary for adequate training and development should be escalated to management.
• Lack of successors —In this situation, management should consider external hiring. However, this needs due diligence based on the management level of the successor.
• Challenges in talent retention —It is quite challenging to retain talent. The best way to retain talent is to provide career development opportunities. There are several reasons other than financial for people to switch jobs. These can be managed through empowerment, recognition and skills development opportunities.

Human assets are more important than any other asset category. Unique learning abilities and individual personality attributes make human resources a special factor of production for any organization. Unlike other factors of production (i.e., land, capital), labor productivity and capabilities can be enhanced through training and other motivational factors such as financial, recognition of efforts and empowerment.

One way to recognize contributions to the organization is through succession and providing a career path. Creating a succession management system can provide a conducive HR environment and help prepare an organization for business continuity in the face of disruption or disaster. Succession management systems perform best with a clear strategy and good corporate governance practices.

1 KPMG, “The 3 Keys to a Good Family Business Succession Plan,” 2 June 2015, https://home.kpmg/xx/en/home/insights/2015/06/3-keys-good-family-business-succession-plan.html 2 Edgerton, B.; “New Research Spotlights CEO Succession Challenges,” NACD Board Talk , 18 April 2019, https://blog.nacdonline.org/posts/new-research-spotlights-ceo-succession-challenges 3 International Organization for Standardization (ISO), ISO 31000:2018 Risk Management—Guidelines , Switzerland, 2018, https://www.iso.org/standard/65694.html 4 ISACA ® , COBIT ® 2019: Introduction and Methodology , USA, 2018, https://www.isaca.org/resources/cobit 5 Cantor, P.; “Succession Planning: Often Requested, Rarely Delivered,” Ivey Business Journal , 2005, https://iveybusinessjournal.com/publication/succession-planning-often-requested-rarely-delivered/

Muhammad Asif Qureshi, CISA, ACMA, CIA, CISSP, PMP

Is an experienced governance, risk management and compliance (GRC) professional with a background in information systems auditing. He is a GRC manager at Tawazun Economic Council. Qureshi actively participates in mentoring and coaching activities for young learners in schools and colleges. He has been a guest speaker on cybersecurity-related topics for young students on numerous occasions. Qureshi worked with a dedicated team to build the information security architecture and establish an information security department in his organization from ground zero.

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The Key to Successful Succession Planning for Family Businesses

• James Vardaman

Don’t exclude non-family members from the discussion.

Successfully passing the baton to the next generation is a goal for many family business leaders. It can also be a sound business move if the right steps are taken. By clearly communicating family succession intentions, developing strong relational bonds, and proving the fitness of next generation leaders, family firms can achieve buy-in from their nonfamily employees. Not only will this make for a smooth leadership transition, but it can also increase nonfamily identification with both the family and the firm, creating a more productive and satisfied workforce that propels the firm for years to come.

The succession process is one of the biggest challenges facing family firms, as most fail to remain a family business past the second generation. Among those that do succeed, a key concern is how nonfamily personnel will receive a successor. Perceptions of nepotism in succession can undermine nonfamily employee commitment to the business and their continued participation in the firm. Addressing this common issue can be difficult because the ability to choose a family successor and provide employment opportunities for family members is often a primary aim of family business owners. Thus, a key challenge for family businesses is gaining buy-in from nonfamily employees for the next generation of family leadership .

• WT Will Tabor is an Assistant Professor of Business Administration at Mississippi College. His research focuses on family businesses and organizational ethics. His work has been published in Family Business Review and The Journal of Business Ethics .
• JV James Vardaman holds the Chair of Excellence in Free Enterprise at the University of Memphis and is the author of Global Talent Retention: Understanding Employee Turnover Around the World .

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Can your business survive without you 9 succession planning tips for business owners.

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Adi Vaxman, the Founder & CEO of Sheba Consulting and a seasoned leader with 30+ years of experience growing businesses and leading change.

As a business owner, you've poured your heart and soul into building your company from the ground up, and often, you may feel that your business simply cannot survive without you. However, this mindset is dangerous. The truth is, no matter how integral you are to your company's success, your business can and must be able to thrive without you.

In my many years of experience working with a wide range of businesses across various industries, I've seen the critical importance of succession planning firsthand. It’s a crucial aspect of ensuring the long-term success and sustainability of any business, yet many owners fail to prioritize it.

This isn't just about preparing for death or retirement; it's also about maintaining continuity during short-term absences and planning for future changes in ownership or leadership. Without a solid plan, your company could face significant, avoidable challenges, from leadership vacuums to financial instability and the loss of key stakeholders.

To set your business up for long-term success, here are nine essential steps to incorporate into your succession planning strategy:

‘The Acolyte’ Episode 6 Recap And Review: These Short Episodes Were A Big Mistake

Wealth of thailand’s 50 richest on forbes list declines nearly 12% to $153 billion, nate diaz vs. jorge masvidal: date, time and how to watch, 1. identifying and developing potential successors.

Identify and develop potential successors who can take the reins when the time comes. Look beyond technical skills and experience, considering leadership potential, cultural fit and alignment with your company's values and mission.

Start with your current employees; identify those who have demonstrated leadership skills, a strong work ethic, a deep understanding of your business operations and, most importantly, trustworthiness and loyalty.

However, don't limit yourself to internal candidates; external hires can bring fresh perspectives, skills and experience. Just make sure you identify candidates who not only meet the job requirements but also embody your company's values and culture.

2. Investing In Successor Development

Invest in your successor’s development through mentoring, training and stretch assignments to prepare them for leadership. Create a structured development plan with regular check-ins, feedback and growth opportunities.

Communicate your plans to your potential successors by letting them know they are being considered for future leadership roles. This transparency can foster loyalty and commitment, increasing the likelihood that they remain by your side and make your investment worthwhile.

3. Nurturing Key Relationships

Expose your successor to relationships that are critical to your business. Have them work with the same clients, suppliers, vendors and partners as you. Let them attend meetings, join discussions and build a rapport with key stakeholders. This will help make the transition much smoother.

4. Documenting Critical Processes And Knowledge

Document your knowledge and processes on an ongoing basis. Whenever you find yourself doing something by heart, take a moment to write it down or implement technology that will record it for you, such as password managers and CRMs that track email activity or AI tools that summarize meetings.

Draft standard operating procedures (SOP) outlining step-by-step instructions, but recognize that this is an ongoing process, not a static one. Make a habit of consistently contributing to your knowledge repository over time and ensure it's accessible to your successors.

5. Timing And Structure Of The Transition

Decide on the timing and structure of the transition. Consider your business's current state, upcoming milestones or challenges, and the readiness of your potential successors.

Think about your personal timeline and goals, including whether you want to retire completely or stay involved in some capacity. Choose between a clean break where you hand over the reins all at once or a more gradual approach where you phase out your involvement over time. The right choice will depend on your unique situation and goals.

Regardless of what you choose, consider doing a trial run with your successor ahead of your prolonged absence, such as having them take over while you are on vacation, and evaluate how they do.

6. Contingency Planning For Unexpected Events

Create contingency plans for sudden unexpected events like illness, disability or death. Work with professional advisors like lawyers, accountants and succession planning specialists to ensure your business is prepared for any eventuality.

Designate who will take over key roles and responsibilities in the event of an unexpected absence, focusing on the immediate needs of the business in a crisis. This might include temporary leadership appointments, emergency contact information for key stakeholders and protocols for maintaining critical operations.

Develop a clear communication plan for informing employees, clients and other stakeholders in the event of an unexpected absence or transition. For example, you could create pre-drafted email templates, scripts for phone calls or other communication tools that can be quickly deployed.

Fractional leaders, such as a fractional CEO or COO, can be invaluable in these situations; they can step in to provide leadership and ensure continuity while your designated successors prepare to take over permanently. (Full disclosure: My company provides fractional leadership services.)

7. Insurance Considerations

Consider purchasing key person insurance, disability insurance or life insurance, depending on your business's nature and your role within it. These policies can protect your business and loved ones by providing critical financial support to keep your business running and ensure your successors have the resources needed to step into their new roles.

8. Legal Documentation

Have clear, legally binding documents that outline what should happen in the event of an unexpected absence or incapacitation. These might include a will, trust or power of attorney designating who will make decisions on your behalf if you are unable to do so. Work with a qualified attorney to draft these documents, as they can have significant legal and financial implications for your business.

9. Continuous Planning

Review and update your succession plan regularly to ensure it remains relevant and effective as your business evolves and grows. Treat succession planning as an ongoing process requiring regular attention and refinement, not a one-time event.

Succession planning is ultimately about creating a lasting legacy that extends beyond your personal involvement. By following these steps, you can not only secure your company's future but also foster employee growth, strengthen stakeholder relationships and build a resilient, adaptable organization that benefits you even while you're in charge. So don't wait until it's too late—start laying the groundwork for a successful transition today, and watch your business thrive for generations to come.

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Endangered and Threatened Wildlife and Plants; Threatened Species Status for Mount Rainier White-Tailed Ptarmigan With a Section 4(d) Rule

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Fish and Wildlife Service, Interior.

Final rule.

We, the U.S. Fish and Wildlife Service (Service), determine threatened species status for the Mount Rainier white-tailed ptarmigan ( Lagopus leucura rainierensis ), a bird subspecies in Washington, under the Endangered Species Act of 1973, as amended (Act). This rule adds the subspecies to the List of Endangered and Threatened Wildlife and extends the Act's protections to the subspecies. We also finalize a rule under the authority of section 4(d) of the Act that provides measures that are necessary and advisable to provide for the conservation of the Mount Rainier white-tailed ptarmigan.

This rule is effective August 2, 2024.

This final rule is available on the internet at https://www.regulations.gov under Docket No. FWS-R1-ES-2020-0076 and at https://www.fws.gov/​office/​washington-fish-and-wildlife . Comments and materials we received are available for public inspection at https://www.regulations.gov under Docket No. FWS-R1-ES-2020-0076. Supporting materials we used in preparing this rule, such as the species status assessment report, are also available at https://www.regulations.gov under Docket No. FWS-R1-ES-2020-0076.

Brad Thompson, State Supervisor, U.S. Fish and Wildlife Service, Washington Fish and Wildlife Office, 510 Desmond Drive, Suite 102, Lacey, WA 98503; telephone 360-753-9440. Individuals in the United States who are deaf, deafblind, hard of hearing, or have a speech disability may dial 711 (TTY, TDD, or TeleBraille) to access telecommunications relay services. Individuals outside the United States should use the relay services offered within their country to make international calls to the point-of-contact in the United States.

Why we need to publish a rule. Under the Act, a species warrants listing if it meets the definition of an endangered species (in danger of extinction throughout all or a significant portion of its range) or a threatened species (likely to become an endangered species within the foreseeable future throughout all or a significant portion of its range). If we determine that a species warrants listing, we must list the species promptly and designate the species' critical habitat to the maximum extent prudent and determinable. We have determined that the Mount Rainier white-tailed ptarmigan meets the Act's definition of a threatened species; therefore, we are listing the Mount Rainier white-tailed ptarmigan as a threatened species. Listing a species as an endangered species or threatened species can be completed only by issuing a rule through the Administrative Procedure Act rulemaking process ( 5 U.S.C. 551 et seq. ).

What this document does. This rule makes final the listing of the Mount Rainier white-tailed ptarmigan as a threatened species under the Act and adopts a rule under section 4(d) of the Act for the subspecies.

The basis for our action. Under the Act, we may determine that a species is an endangered species or threatened species because of any of five factors: (A) The present or threatened destruction, modification, or curtailment of its habitat or range; (B) overutilization for commercial, recreational, scientific, or educational purposes; (C) disease or predation; (D) the inadequacy of existing regulatory mechanisms; or (E) other natural or manmade factors affecting its continued existence.

We have determined that the Mount Rainier white-tailed ptarmigan meets the definition of a threatened species due to habitat loss and degradation resulting from climate change within the foreseeable future. Rising temperatures associated with climate change are expected to have direct and rapid impacts on individual birds. Changing habitat conditions, such as loss of suitable alpine vegetation and reduced snow quality and quantity, are expected to cause populations to decline. This threat and responses are reasonably foreseeable because some are already evident in the range of the subspecies, and the best available information indicates that the effects of climate change will continue to alter the subspecies' habitat within the foreseeable future. Furthermore, it is unlikely that the Mount Rainier white-tailed ptarmigan will adapt to the changing climate by moving northward because alpine areas north of the subspecies' current range are expected to undergo similar impacts due to climate change and any potential connectivity to areas north of the current range is expected to decline.

Please refer to the proposed listing rule ( 86 FR 31668 ; June 15, 2021) for a detailed description of previous Federal actions concerning the Mount Rainier white-tailed ptarmigan.

A species status assessment (SSA) team prepared an SSA report for Mount Rainier white-tailed ptarmigan. The SSA report represents a compilation of the best scientific and commercial data available concerning the status of the subspecies, including the impacts of past, present, and future factors (both negative and beneficial) affecting the subspecies. In accordance with our joint policy on peer review published in the Federal Register on July 1, 1994 ( 59 FR 34270 ), and our August 22, 2016, memorandum updating and clarifying the role of peer review of listing actions under the Act, we solicited independent scientific review of the information contained in the draft SSA report. We sent the draft SSA report to seven independent peer reviewers including scientists with expertise in white-tailed ptarmigan as well as climate science; we received three responses. The peer reviews and the draft SSA report they commented on can be found at https://www.regulations.gov . We also sent the draft SSA report to three agency partners for review; we received comments from one agency—the Washington Department of Fish and Wildlife. We incorporated the results of these reviews, as appropriate, into the 2021 SSA report (version 1.0, USFWS 2021, entire), which was the foundation for the proposed rule and this final rule. Additionally, new information provided to us during the public comment period on the proposed rule was incorporated into both the final rule as well as version 2.0 of the SSA report (USFWS 2023, entire). A summary of the peer review comments and our responses can Start Printed Page 55092 be found in the Summary of Comments and Recommendations below.

In preparing this final rule, we reviewed and fully considered comments and new information received from the public on the June 15, 2021, proposed rule. This final rule does not make any substantive changes to the determinations made in the proposed rule. We updated the SSA report to version 2.0 (USFWS 2023, entire), revising it based on all new information and comments received. The new information received from our agency partners and others on genetics, diet, habitat characteristics, adaptive divergence, and range and distribution was incorporated into version 2 of the SSA but not incorporated into this final rule because it did not lead to substantive changes in the determinations made in the proposed rule. The changes we made to this final rule are as follows:

(1) We shorten the Background section to a condensed discussion of the general information for the subspecies on taxonomy/genetics, species description, range/distribution, life history, and habitat (for the full updated discussion on these topics see version 2 the SSA Report (USFWS 2023));

(2) We shorten the Summary of Biological Status and Threats section to include only a brief discussion of recreation and the full discussion of the effects of climate change (for the full updated discussion on factors influencing the status of the subspecies see version 2 the SSA Report (USFWS 2023));

(3) We make many clarifications and minor corrections in this rule to ensure better consistency with the updated SSA report (USFWS 2023), we clarify some information, and we update or add new references.

(4) We remove language referencing low connectivity between populations from this final rule.

(5) We revise table 6 in the final rule (and table 17 the SSA (USFWS 2023, p. 81) by correcting the following:

• We adjust the future condition score under Scenario 4 for the North Cascades-West Population Unit to poor, to be consistent with that unit's Scenario 2 score. Under both scenarios, we predict a lack of future availability of breeding and post-breeding habitat (USFWS 2023, chapter 6.0).
• We adjust the future condition scores for Mount Adams under Scenarios 1 and 3 from good to fair, to better reflect predicted future conditions for Mount Adams, as explained in the SSA report (version 2.0, USFWS 2023, chapter 6.0).

(6) In light of the April 5, 2024, regulation revisions to 50 CFR 424.12 , that pertain to circumstances when a designation of critical habitat may be not prudent, we indicate we will reevaluate the prudency analysis for the ptarmigan and issue a critical habitat determination in a separate Federal Register document.

(7) We make revisions to the description of the prohibitions and exceptions in our rule issued under section 4(d) of the Act (“4(d) rule”) in the preamble of this final rule to be consistent with the regulatory text that sets forth the 4(d) rule.

(8) We revise the regulatory text that sets forth the 4(d) rule by making the following changes:

• In § 17.41(i)(1), we add the full suite of section 9 prohibitions. We want to prevent declines in the species' status, and section 4(d) provides that the Secretary shall promulgate regulations that are necessary and advisable to provide for the conservation of the species. Although threatened species are not currently in danger of extinction like endangered species, we have determined those species are likely to become in danger of extinction within the foreseeable future, and we have an opportunity to try to prevent that from happening for newly listed species. Further, we often lack a complete understanding of the causes of a species' decline, and taking a precautionary approach to applying protections would proactively address potentially unknown threats. In addition, the initial listing of a species may bring new attention to the species and that attention may increase the risk of collection or sale. Therefore, this approach of applying section 9 prohibitions assists our goal of putting in place protections that will both prevent the species from becoming endangered and promote the recovery of species. As we learn more about the Mount Rainier white-tailed ptarmigan and the reasons for its decline over time, we have the option to revise the 4(d) rule accordingly.
• In § 17.41(i)(2)(ii), we remove reference to 17.21(c)(5) as this was an error in the proposed rule.
• In § 17.41(i)(2)(v), we remove the exception for Law Enforcement and On-the-job Wildlife Professionals. The intent of this exception is already satisfied by exceptions in § 17.41(i)(2)(i)-(iv), making this stand-alone this exception duplicative.
• In § 17.41(i)(2)(iv)(F), we add developed ski areas and helicopter landing pads to the list of examples of infrastructure where incidental take of Mount Rainier white-tailed ptarmigan can occur during routine maintenance. This revision ensures consistency between our description of the exception in the preamble of this document and in the regulatory text that sets forth the 4(d) rule. In addition, we keep references to trails as part of infrastructure, but remove any references to trails separate from infrastructure to eliminate redundancy in both the preamble and promulgation.

We conclude that the information we received during the comment period for the June 15, 2021, proposed rule did not change our previous analysis of the magnitude or severity of factors influencing the subspecies or our determination that the Mount Rainier white-tailed ptarmigan meets the definition of a threatened species.

Prior to developing the proposed rule, we solicited peer review and received comments on the draft SSA report (USFWS 2021) as discussed below. In our June 15, 2021, proposed rule ( 86 FR 31668 ), we requested that all interested parties submit written comments on the proposal by August 16, 2021. We also contacted appropriate Federal and State agencies, Tribes, scientific experts and organizations, and other interested parties and invited them to comment on the proposed rule. Newspaper notices inviting general public comment were published in the Seattle Times on June 21, 22, and 23, 2021, and we did not receive any requests for a public hearing. All substantive information provided during the public comment period either has been incorporated directly into this final rule or is addressed below.

As discussed in Peer Review, above, we received comments from three peer reviewers on the draft SSA report. We reviewed all comments we received from the specialists for substantive issues and new information regarding Mount Rainier white-tailed ptarmigan. The reviewers generally concurred with our methods and conclusions, and provided additional information, clarifications, and suggestions to improve the SSA report and this final rule. The SSA peer review comments mainly fell into categories pertaining to the subspecies' life history, influence factors, and population needs. Revisions per peer reviewer comments and expert opinions are incorporated into the SSA report (version 1.0, USWFS 2021, entire; Start Printed Page 55093 version 2.0, USFWS 2023, entire) and this final rule as appropriate.

We received 14 public comment letters in response to the June 15, 2021, proposed rule. We reviewed all comments we received during the public comment period for substantive issues and new information regarding the proposed rule. A majority of the commenters supported the listing determination and one opposed the determination. Eight commenters provided substantive comments or new information concerning the proposed listing and 4(d) rule for Mount Rainier white-tailed ptarmigan. Below, we provide a summary of the substantive issues raised in the public comments we received; however, comments outside the scope of the proposed rule, and those without supporting information, did not warrant an explicit response and, thus, are not presented here. Identical or similar comments have been consolidated. As noted below in Critical Habitat, any substantive comments regarding critical habitat received during the comment period on the 2021 proposed rule will be responded to in a separate determination in the future in the Federal Register .

(1) Comment: The U.S. Forest Service (USFS) asked for clarification regarding species and habitat responses to climate change, including why the representative concentration pathway (RCP) 8.5 model predicted good food abundance if there is overall habitat loss and whether habitat loss is related to heat.

Our Response: We determined with our expert elicitation group that Mount Rainier white-tailed ptarmigan need both an adequate quality and quantity of foraging habitat in each season, but habitat quality is no longer relevant if habitat quantity is zero. The expert elicitation group included biologists from USFS, the Washington Department of Fish and Wildlife (WDFW), and the National Park Service (NPS) with local expertise on the subspecies and its habitat.

As described in the SSA report (USFWS 2023, chapter 3.0), we developed a list of species' needs and their indicators prior to the future condition analysis that includes the RCP8.5 scenario. The USFS comment is correct in noting an apparent contradiction between the ratings for habitat loss and food abundance, but the term “abundance of food resources” was chosen to represent the quality and quantity of foraging habitat within remaining breeding, post-breeding, and wintering habitat. We used a variety of indicators to represent “abundance of food resources,” including acres of winter forage vegetation, distance to water during the breeding season, Normalized Difference Vegetation Index (NDVI; an index of plant growth) during early brood rearing, peak timing of NDVI, soil moisture, and the width of the unvegetated area of the glacial forefront not yet colonized by forage plants. Of these, the only indicator available for future scenarios was a measure of soil moisture. In forb-dominated alpine environments, soil moisture will drive productivity in the face of climate warming (Walker et al. 1994, p. 402; Winkler et al. 2016, p. 1553). Soil moisture was projected to remain within one standard deviation of historical means (Northwest Climate Toolbox, developed by members of the Applied Climate Science Lab at the University of Idaho (Pacific Northwest Climate Impacts Research Consortium, CIRC, 2019)), and therefore remains within the range of a “good” rating for some of the population units in some future scenarios. We chose measures within one standard deviation of historical means as representative of a “good” rating because our expert elicitation group concluded that historical forage vegetation conditions adequately support populations of the Mount Rainier white-tailed ptarmigan.

With regard to the potential relationship of habitat loss and heat, the overall loss of ptarmigan habitat is not directly due to a warming climate or desiccation of alpine meadows, but to a shift from open meadow vegetation to forest (Intergovernmental Panel on Climate Change (IPCC) 2019, p. SPM-25; Jackson et al. 2015, p. 440; Steuve et al. 2009, entire; USFWS 2023, pp. 57-61). This future shift to forest represents a loss of habitat for the Mount Rainier white-tailed ptarmigan, and for other species dependent on alpine tundra vegetation.

(2) Comment: USFS questioned why alpine meadow habitat would not expand into areas where glaciers have retreated.

Our Response: In the June 15, 2021, proposed rule, and as explained in the SSA report (USFWS 2023, p. 60), as glaciers retreat and expose soil-less, unvegetated bedrock (called the glacial forefront), we estimate a minimum of 20 years for the development of white-tailed ptarmigan forage plants, and 70 to 100 years for maturation to full meadow and subshrub habitat within that area. This represents a time gap in development of breeding and post-breeding habitat of 5 to 24 generations of ptarmigan ( 86 FR 31668 , June 15, 2021, p. 31681), and thus in the foreseeable future, habitat loss is expected to exceed habitat gains. At some point after glacial retreat (beyond our projected timeline), the exposed areas will be suitable ptarmigan habitat with alpine meadows and remain so for a period of time. Eventually, however, any alpine habitat that develops there will become forest (USFWS 2023, pp. 57-61).

(3) Comment: USFS questioned our use of 50- to 80-year climate models as “foreseeable” and asked for clarification on the projected effects of warming temperatures on forage plant growth.

Our Response: As discussed below under Regulatory Framework, the foreseeable future extends as far into the future as the Service can make reasonably reliable predictions about the threats to the species and the species' responses to those threats. Analysis of the foreseeable future uses the best scientific and commercial data available and should consider the timeframes applicable to the relevant threats and to the species' likely responses to those threats in view of its life-history characteristics and the species' biological response. For the Mount Rainier white-tailed ptarmigan, we could make reasonably reliable predictions 50 to 80 years into the future with respect to the primary driver of the subspecies' status (climate change) and our understanding of information available on the subspecies' survival, generational framework, and physiology (see the discussion in Climate Change under Summary of Biological Status and Threats, below, and section 6.1 of SSA report (USFWS 2023, p. 73).

(4) Comment: USFS asked what metric we used to estimate the low connectivity between populations discussed under Status Throughout all its Range in the proposed rule, given that the subspecies is able to fly relatively long distances.

Our Response: In the June 15, 2021, proposed rule, we erred in stating that connectivity between populations is currently low ( 86 FR 31668 at p. 31685). Current connectivity levels between populations are not negatively impacting the viability of the subspecies; therefore, we removed language referencing low connectivity between populations from this final rule. For the SSA, we analyzed current connectivity between types of habitat within each population. Appendix F in the SSA report (USFWS 2023, pp. 120-138) provides information on current connectivity between breeding, post-breeding, and winter habitat within Start Printed Page 55094 each population unit. The categories of “poor,” “fair,” “good,” and “very good” are based on the size and abundance of habitat gaps within a population unit. Current connectivity for each population was categorically rated based on expert opinion (WDFW partners), but future condition estimates of connectivity were left blank (see appendix G in the SSA report (USFWS 2023, pp.138-156) because available vegetation models are not sensitive enough to model small-scale areas, which would be necessary to make a definitive statement of future condition of this indicator. Therefore, this indicator was not used to rate future condition of any population unit or the subspecies.

We clarified the language under Executive Summary, above, and Status Throughout All of Its Range, below, to make clear that this information was for evaluating connectivity between breeding, post-breeding, and winter habitat within populations, as opposed to connectivity between populations. We also clarified that the metric was only used for analysis of current condition for each population.

(5) Comment: The British Columbia Ministry of Environment and Climate Change remarked that the amount of existing recreation in British Columbia is similar to that occurring in the United States, with the same resultant effects to the species. USFS noted that recreational use of high-elevation habitats has been increasing, exponentially in recent years, but did not provide data to support or further explain this statement.

Our Response: We agree that factors influencing Mount Rainier white-tailed ptarmigan populations in British Columbia are similar to those affecting populations in the State of Washington. We thoroughly analyzed the best available information on the scope, magnitude, and intensity of recreation in the range of the subspecies (USFWS 2023, pp. 42-48). Based on this analysis, recreation of any type or timing in the range does not appear to currently affect any more than individual ptarmigan in localized areas. Although both established recreation in designated areas as well as recreation away from established roads and trails will likely increase in the future, we do not have information at this time to analyze whether future increases in recreation would rise beyond individual-level impacts such that it is likely to affect the resiliency of populations of Mount Rainier white-tailed ptarmigan.

(6) Comment: Three commenters, including British Columbia Ministry of Environment and Climate Change and USFS's Region 6, questioned the wording in the discussion of taxonomy and genetics in the June 15, 2021, proposed rule and suggested the Service refer to Taylor (1920, entire) and specific sections within Langin et al. (2018) in our final rule. These commenters questioned our identified boundary for the northern white-tailed ptarmigan, further suggesting the Mount Rainier white-tailed ptarmigan may not be a valid subspecies based on peer review comments and statements in Langin et al. (2018, entire).

Our Response: The June 15, 2021, proposed rule provided only a summary of the taxonomic and genetic information from the SSA report for the Mount Rainier white-tailed ptarmigan. As noted in the SSA report (USFWS 2023, p. 23), the 1957 American Ornithological Union (AOU, now American Ornithological Society (AOS)) taxonomic classification of the subspecies relies on a 1920 description (Taylor 1920, entire) of the subspecies based on a comparison of specimens taken only from Mount Rainier National Park. We adopted the 1957 AOU classification of the subspecies for delineating the range of the subspecies for the SSA analysis and explain in the SSA report that the AOU mapping of the subspecies' border at the international boundary was likely a convenience; the range of the subspecies likely extends slightly farther north than the U.S.-Canada border because habitat is contiguous across the border (USFWS 2023, p. 23; Langin et al. 2018, figures S10 and S14).

As explained in our June 15, 2021, proposed rule, a combination of sightings, dispersal distance, occurrence and distribution of suitable alpine/subalpine habitat, and forests, agriculture, cities, and highways that occur west of the range of the subspecies in British Columbia was used to determine the northern range limit. A 2018 genetics study referenced by commenters (Langin et al. 2018) raised some uncertainty regarding the taxonomic validity of several of the subspecies of white-tailed ptarmigan. However, Langin et al. (2018) stated that sampling was sparse in the area at the border of Washington and British Columbia, “. . . making it infeasible to identify the start and end points of putative genetic groups.” Furthermore, additional research by another group found that individuals are genetically clustered largely by their recognized subspecies (Zimmerman et al. 2021, p. 125).

We acknowledge there is some remaining uncertainty over the relationship between the subspecies in question and the exact boundary between L. l. rainierensis and other subspecies in the genus. However, there has been no change to the official nomenclature of Mount Rainier white-tailed ptarmigan, and the best available science leads us to find that the Fraser River represents the northern terminus of the range of the L. l. rainierensis subspecies. We have incorporated additional information in the discussion of taxonomy and genetics in the SSA report (USFWS 2023, pp. 4-6). All substantive peer review and expert elicitation comments were incorporated into the SSA report (version 1.0. USFWS 2021, entire; version 2.0, USFWS 2023, entire) and considered in development of the June 15, 2021, proposed rule and this final rule.

Section 4(i) of the Act states that the Secretary shall submit to the State agency a written justification for the failure to adopt regulations consistent with the agency's comments or petition. Comments we received from State agencies regarding the proposal to list the Mount Rainier white-tailed ptarmigan as threatened under the Act are addressed below. We received comments from WDFW related to biological information, influence factors, and the 4(d) rule. WDFW provided a number of recommended technical corrections, clarifications, or edits to the proposed listing determination for the Mount Rainier white-tailed ptarmigan. As noted in the Summary of Changes from the Proposed Rule, we have evaluated and incorporated this information into this final rule where appropriate to clarify the final listing determination.

(7) Comment: Citing a 1905 text by Judd, WDFW indicated the historical range of the Mount Rainier white-tailed ptarmigan may have extended south to Mt. Hood and Mount Jefferson in Oregon.

Our Response: We contacted biologists at WDFW to discuss this comment. Past research by WDFW biologists has shown that such historical observations may be in error. Because the Judd text did not provide any information on who or when someone may have seen the subspecies in that area, their recommendation was to mention the possible past occupancy of the subspecies in the area of Mt. Hood and Mount Jefferson, but not to list the area as a historical population. A clarification to this effect has been added to the SSA report (USFWS 2023).

(8) Comment: WDFW suggested that sections of the proposed rule that cite results from research conducted within Start Printed Page 55095 the range of the southern white-tailed ptarmigan should be cited as such, as those results may not accurately represent conditions or life-history traits for the Mount Rainier white-tailed ptarmigan.

Our Response: In this final rule, we clarify where information came from in studies of southern white-tailed ptarmigan and other subspecies of white-tailed ptarmigan under the Summary of Biological Status and Threats, below.

(9) Comment: Several commenters from nongovernmental organizations and other groups noted their repeated and extensive, yet unsuccessful, searches for Mount Rainier white-tailed ptarmigan over the last several years, concluding that the subspecies' range is likely contracting.

Our Response: We incorporated the search effort information provided by the commenters into the final SSA report and this rule (see Background, below), and we considered the information in our determination.

We completed a comprehensive assessment of the biological status of the Mount Rainier white-tailed ptarmigan and prepared a report of the assessment (SSA report; USFWS 2023, entire), which provides a thorough account of the subspecies' overall viability and risks to that viability. Please refer to the SSA report as well as our June 15, 2021, proposed rule ( 86 FR 31668 ) for a full summary of subspecies information. Both are available at https://www.regulations.gov under Docket No. FWS-R1-ES-2020-0076. Below, we summarize the key results and conclusions of the SSA report.

The Mount Rainier white-tailed ptarmigan, one of five subspecies of white-tailed ptarmigan (AOU 1998, p. xii; ITIS 2019; Clements et al. 2019, entire), is found in alpine and subalpine areas of the Cascade Mountains (Cascades) in Washington State and southern British Columbia, Canada. Mount Rainier white-tailed ptarmigan's historical range extended along the Cascade Range from southern Canada south to and including Mount St. Helens and Mount Adams. Mount Rainier white-tailed ptarmigan regularly occurred on Mount St. Helens before the active volcano lost approximately 400 meters (m) (1,314 feet (ft)) of elevation when it erupted in 1980 (Brantley and Myers 1997, p. 2). The population on Mount St. Helens is now presumed extirpated (Schroeder et al. 2021, p 4). We consider the current range of the Mount Rainier white-tailed ptarmigan to include alpine and subalpine areas in the Cascade Mountains, extending from the southern edge of Mount Adams in Washington State to approximately Lytton, British Columbia, Canada, east of the Fraser River. Recent searches for the subspecies noted the recession or loss of previously permanent snowfields, as well as a marked decline in sightings or density of sightings of individuals (Garner 2021, in litt.; Isley 2021, in litt.).

The four other recognized subspecies of white-tailed ptarmigan are the southern white-tailed ptarmigan ( L. l. altipetens ) primarily in Colorado; the Kenai white-tailed ptarmigan ( L. l. peninsularis ) in Alaska; the Vancouver Island white-tailed ptarmigan ( L. l. saxatilis ) in British Columbia, Canada; and the northern white-tailed ptarmigan ( L. l. leucura ) in northern Montana, and the provinces of British Columbia and Alberta, Canada. In the following paragraphs, we rely on studies conducted on other subspecies of white-tailed ptarmigan because most life-history studies either do not differentiate between the subspecies or focus on the more well-studied southern white-tailed ptarmigan subspecies. Mount Rainier white-tailed ptarmigan are cryptic birds that are resident or short-distance elevation migrants with numerous adaptations for snow and extreme cold in winter, including snow roosting behavior and heavily feathered feet that act as snowshoes to support them as they walk across the snow (Braun et al. 2011, Distinguishing Characteristics section). The subspecies molts frequently throughout the year to remain cryptic, appearing entirely white in winter (except for black eyes, dark toenails, and a black beak), mottled with brown and white in spring, and brown in summer; the tail feathers remain white year-round and distinguish the white-tailed ptarmigan from other ptarmigan species (Braun et al. 2011, Distinguishing Characteristics section; Braun et al. 1993, Appearance section; Hoffman 2006, p. 12). Males and females share similar body size and shape, with adult body lengths up to 34 centimeters (cm) (13.4 inches (in)), and body masses up to approximately 378 grams (g) (0.83 pounds (lb)) (Martin et al. 2015, table 3).

Pairs of ptarmigan form shortly after females arrive on breeding areas in late April to mid-May (Martin et al. 2015, Phenology section). Due to the short breeding season, female white-tailed ptarmigan raise only one brood per year (Sandercock et al. 2005, p. 2177). Within 6 to 12 hours after all eggs have hatched, broods gradually move upslope, depending on where forage and cover for chicks are found (Braun 1969, p. 140; Schmidt 1988, p. 291; Giesen and Braun 1993, p. 74; Hoffman 2006, p. 21; Martin et al. 2015, Young Birds section). Records of longevity for wild white-tailed ptarmigan include a 12-year-old female and a 15-year-old male (Martin et al. 2015, Life Span and Survivorship section). There have been no population-scale density estimates for populations in the range of the Mount Rainier subspecies but estimates for other subspecies range from fewer than 1 to about 14 birds per square kilometer (km 2 ) (2.6 to 36 birds per square mile (mi 2 )) (Clarke and Johnson 1990, p. 649). Mount Rainier white-tailed ptarmigan populations may or may not be within this wide range reported for other subspecies (USFWS 2023, p. 26).

Chicks younger than 3 weeks old primarily eat invertebrates (May 1975, p. 28), but adult white-tailed ptarmigan, as well as chicks older than approximately 5 weeks old, are herbivorous (May 1975, pp. 28-29). Mount Rainier white-tailed ptarmigan in the North Cascades were observed eating, in order of preference: dwarf huckleberry ( Vaccinium deliciosum ), red mountain heather ( Phyllodoce empetriformes ), black-headed sedge ( Carex nigricans ), white mountain heather ( Cassiope mertensiana ), crowfoot ( Luetkea pectinata ), Tolmie's saxifrage ( Saxifraga tolmiei ), spiked wood rush ( Luzula spicata ), and mosses (Skagen 1980, p. 4). A suitable microclimate is important for this cold-adapted bird. Because white-tailed ptarmigan have the lowest evaporative cooling efficiency of any bird (Johnson 1968, entire) and will pant at temperatures above 21 °C (70 °F), adults are likely limited by warm temperatures during the breeding and post-breeding seasons. Thermal behavioral adaptations include seeking cool microsites such as the edges of snowfields, near snowbanks, in the shade of boulders, or near streams where temperatures are cool; the absence of these microsites may preclude presence of the species (Johnson 1968, p. 1012). Use of snow in late summer may be important.

Breeding and brood-rearing habitat of white-tailed ptarmigan is within the alpine zone, defined by treeline at its lower elevation limit and permanent snow or barren rock at its upper elevation limit. As with breeding habitat, the lower elevation limit of post-breeding habitat is likely defined by treeline and proximity to water (Frederick and Gutierrez 1992, p. 895). Start Printed Page 55096 At high elevations in the Pacific Northwest, winter snowpack can store a significant portion of winter precipitation and release it to the soil during spring and early summer, thereby reducing the duration and magnitude of summer soil water deficits (Peterson et al. 2014, p. 26). At the basin scale, glacier melt supplies 2 to 14 percent of summer discharge in the Cascades and up to 28 percent of discharge by September (Frans et al. 2018, p. 11); the proportion is likely much greater in the high-elevation subbasins occupied by Mount Rainier white-tailed ptarmigan, which have a smaller catchment area to supply discharge from snow or rain.

No studies of the Mount Rainier white-tailed ptarmigan's use of winter habitat have been conducted, however, white-tailed ptarmigan in Colorado shelter from winter wind and cold in snow roosts (Braun et al. 1976, p. 2; Braun and Schmidt 1971, p. 245). Snow-roosting sites for white-tailed ptarmigan have deep, fluffy snow with high insulation value; this generally means snow that is cold, is relatively dry, and has abundant air spaces. Wind influences snow deposition patterns and the availability of snow roosts (Braun et al. 1976, p. 3). During the day when ptarmigan are not feeding, they seek shelter beneath or on the lee side of dwarf conifers growing along ridges, but snow on the ridges is often shallow and covered with a hard crust, making conditions unsuitable for night roosting. Thus, at dusk, the birds move from ridges to areas of deeper and softer snow along treeline, where they can burrow beneath the surface of the snow (Braun and Schmidt 1971, p. 245). When weather conditions are harsh, flocks will move below treeline to stream bottoms and avalanche paths (Braun et al. 1976, p. 4).

The Cascades of the Pacific Northwest have some of the deepest snowpack in North America. Willow stands along valley bottoms similar to those relied on by southern white-tailed ptarmigan are rare and are likely buried by heavy winter snows on the steep slopes within the range of the Mount Rainier white-tailed ptarmigan (Schroeder 2019, pers. comm.). Based on limited observations and information from other subspecies, we expect wintering Mount Rainier white-tailed ptarmigan will use alpine areas, open areas in subalpine parklands, and openings created by stream courses, landslides, and avalanches within subalpine forests, and refer to these habitat types as “alpine” or “potentially suitable” habitat herein. Approximately 76.5 percent of the total suitable habitat for the Mount Rainier white-tailed ptarmigan is found in the United States, and almost all of that area is federally owned (94.5 percent, see table 1, below).

Section 4 of the Act ( 16 U.S.C. 1533 ) and the implementing regulations in title 50 of the Code of Federal Regulations set forth the procedures for determining whether a species is an endangered species or a threatened species, issuing protective regulations for threatened species, and designating critical habitat for endangered and threatened species. On April 5, 2024, jointly with the National Marine Fisheries Service, the Service issued a final rule that revised the regulations in 50 CFR 424 regarding how we add, remove, and reclassify endangered and threatened species and what criteria we apply when designating listed species' critical habitat ( 89 FR 24300 ). On the same day, the Service published a final rule revising our protections for endangered species and threatened species at 50 CFR 17 ( 89 FR 23919 ). These final rules are now in effect and are incorporated into the current regulations. Our analysis for this final decision applied our current regulations. Given that we proposed listing for this species under our prior regulations (revised in 2019), we have also undertaken an analysis of whether our decision would be different if we had continued to apply the 2019 regulations; we concluded that the listing decision would be the same. However, we will reevaluate our not prudent determination, as discussed below under Critical Habitat, in a separate Federal Register notice. The analyses under both the regulations currently in effect and the 2019 regulations are available on https://www.regulations.gov .

The Act defines an “endangered species” as a species that is in danger of extinction throughout all or a significant portion of its range, and a “threatened species” as a species that is likely to become an endangered species within the foreseeable future throughout all or a significant portion of its range. The Act requires that we determine Start Printed Page 55097 whether any species is an endangered species or a threatened species because of any of the following factors:

(A) The present or threatened destruction, modification, or curtailment of its habitat or range;

(B) Overutilization for commercial, recreational, scientific, or educational purposes;

(C) Disease or predation;

(D) The inadequacy of existing regulatory mechanisms; or

(E) Other natural or manmade factors affecting its continued existence.

These factors represent broad categories of natural or human-caused actions or conditions that could have an effect on a species' continued existence. In evaluating these actions and conditions, we look for those that may have a negative effect on individuals of the species, as well as other actions or conditions that may ameliorate any negative effects or may have positive effects.

We use the term “threat” to refer in general to actions or conditions that are known to or are reasonably likely to negatively affect individuals of a species. The term “threat” includes actions or conditions that have a direct impact on individuals (direct impacts), as well as those that affect individuals through alteration of their habitat or required resources (stressors). The term “threat” may encompass—either together or separately—the source of the action or condition or the action or condition itself.

However, the mere identification of any threat(s) does not necessarily mean that the species meets the statutory definition of an “endangered species” or a “threatened species.” In determining whether a species meets either definition, we must evaluate all identified threats by considering the expected response by the species, and the effects of the threats—in light of those actions and conditions that will ameliorate the threats—on an individual, population, and species level. We evaluate each threat and its expected effects on the species, then analyze the cumulative effect of all of the threats on the species as a whole. We also consider the cumulative effect of the threats in light of those actions and conditions that will have positive effects on the species, such as any existing regulatory mechanisms or conservation efforts. The Secretary determines whether the species meets the definition of an “endangered species” or a “threatened species” only after conducting this cumulative analysis and describing the expected effect on the species now and in the foreseeable future.

The Act does not define the term “foreseeable future,” which appears in the statutory definition of “threatened species.” Our implementing regulations at 50 CFR 424.11(d) set forth a framework for evaluating the foreseeable future on a case-by-case basis which is further described in the 2009 Memorandum Opinion on the foreseeable future from the Department of the Interior, Office of the Solicitor (M-37021, January 16, 2009; “M- Opinion,” available online at https://www.doi.gov/​sites/​doi.opengov.ibmcloud.com/​files/​uploads/​M-37021.pdf ). The foreseeable future extends as far into the future as the Services can make reasonably reliable predictions about the threats to the species and the species' responses to those threats. The Services need not identify the foreseeable future in terms of a specific period of time. The Services will describe the foreseeable future on a case-by-case basis, using the best available data and taking into account considerations such as the species' life-history characteristics, threat-projection timeframes, and environmental variability. In other words, the foreseeable future is the period of time over which we can make reasonably reliable predictions. “Reliable” does not mean “certain”; it means sufficient to provide a reasonable degree of confidence in the prediction, in light of the conservation purposes of the Act.

The SSA report (USFWS 2023, entire) documents the results of our comprehensive biological review of the best scientific and commercial data regarding the status of a species, including an assessment of the potential threats to that species. The SSA report does not represent our decision on whether a species should be listed as an endangered or threatened species under the Act. However, it does provide the scientific basis that informs our regulatory decisions, which involve the further application of standards within the Act and its implementing regulations and policies.

To assess the Mount Rainier white-tailed ptarmigan's viability for the SSA, we used the three conservation biology principles of resiliency, redundancy, and representation (Shaffer and Stein 2000, pp. 306-310). Briefly, resiliency is the ability of a species to withstand environmental and demographic stochasticity (for example, wet or dry, warm or cold years); redundancy is the ability of a species to withstand catastrophic events (for example, droughts, large pollution events); and representation is the ability of a species to adapt to both near-term and long-term changes in its physical and biological environment (for example, climate conditions or pathogens). In general, species viability will increase with increases in resiliency, redundancy, and representation (Smith et al. 2018, p. 306). Using these principles, we identified the Mount Rainier white-tailed ptarmigan's ecological requirements for survival and reproduction at the individual, population, and subspecies levels, and described the beneficial and risk factors influencing the subspecies' viability.

The SSA process can be categorized into three sequential stages. During the first stage, we evaluated the individual species' life-history needs. The next stage involved an assessment of the historical and current condition of the species' demographics and habitat characteristics, including an explanation of how the species arrived at its current condition. The final stage of the SSA involved making predictions about the species' responses to positive and negative environmental and anthropogenic influences. Throughout all of these stages, we used the best available information to characterize viability as the ability of a species to sustain populations in the wild over time. We use this information to inform our regulatory decision.

Occurrence data are quite limited, and we do not know whether the abundance of Mount Rainier white-tailed ptarmigan has changed over time. To facilitate the assessment of the current and projected future status of the subspecies across its range, we used the limited occurrence data and expert elicitation to delineate representation areas and population units. We separated the range into two representation areas, the North Area and the South Area, to represent the known ecological variation between the two regions. Within those two representation areas, we identified seven current population units based on observations, elevation, and vegetation types from Landfire vegetation maps (see table 2, below).

We refined the boundaries of these units by selecting vegetation types on recently refined NPS vegetation maps and Landfire vegetation maps for USFS lands. Our refined population unit maps contain nearly all observations of the subspecies obtained from agency partners. One of the population units in the South Area, William O. Douglas, has suitable habitat but unknown occupancy. Another historical population in the South Area is Start Printed Page 55098 considered extirpated due to the 1980 eruption of the Mount St. Helens volcano. We did not include the presumed extirpated Mount St. Helens population unit in our analysis of current or future condition because we conclude that it does not constitute suitable habitat now and is unlikely to within the foreseeable future. Similarly, we did not consider Mt. Hood or Mount Jefferson because records there are more than 100 years old and are questionable.