Leadership is commonly seen as an impor-tant variable affecting organizational per-formance. While the concept has been extensively studied, there is still much to be dis- covered regarding how leadership affects vari- ables such as organizational culture, climate, and performance. Most of the research on leadership has been in for-profit organizations. While research on leadership in human services organi- zations is increasing, there is still a limited amount of research knowledge to guide practice in our field. One seminal article in social work described the importance of administrative “behaviors, attitudes, practices, and strategies” in ensuring effective service outcomes (Patti, 1987, p. 377), and subsequent research, some of which is included below, supports this perspective.

The purpose of this chapter is to provide guid- ance to human services managers, consultants,

and researchers regarding the ways in which leadership can improve the performance of human services organizations. The chapter will begin with definitions, a conceptual overview, and a brief discussion of evidence-based practice applications in management, which will under- gird the rest of the chapter. Then we will review the best-known and most studied theories and models of leadership, with specific attention to how leadership impacts organizational culture, climate, and performance. Organizational change leadership and, specifically, organizational cul- tural change will receive special attention because of their key roles in impacting and improving organizational performance. Related issues, including diversity and ethics, will be briefly reviewed. The chapter will conclude with discussions of implications for practice, educa- tion, and future research.

Leadership and Performance in Human Services Organizations

Thomas Packard

CHAPTER 7

Leadership Defined

In a recent survey of theory and practice in lead- ership, Northouse (2004) concluded that “there are almost as many different definitions of lead- ership as there are people who have tried to define it” (p. 2). Northouse’s definition will be used here: Leadership is defined as “a process by which an individual influences a group of indi- viduals to achieve common goals” (p. 4). The term followers will be used to describe those whom the leader is attempting to influence. The term subordinates is often used in organizational settings, but the term followers suggests that lead- ers can be in any role or position, and a bureau- cratic hierarchy is not necessarily implied. Additionally, the concept of shared leadership contradicts the notion of “solo” or unilateral lead- ership. According to Gill (2006), shared leader- ship is characterized by the quality of interactions rather than hierarchical level; team problem solv- ing; “conversation rather than instructions, shared values, and beliefs”; and “honesty and a desire for the common good” (p. 30).

Another useful way to frame leadership is to contrast it with management. According to Kotter (1990), management produces pre- dictability, order, and consistency regarding key results and includes planning, budgeting, orga- nizing, staffing, controlling, and problem solv- ing. Leadership produces change and includes establishing direction through visioning, align- ing people with the vision and strategies, and motivating and inspiring staff. One conceptual- ization for human services organizations defines administration as a combination of leadership and management (Roberts-DeGennaro & Packard, 2002). Leadership includes visioning, change management, strategy development, organiza- tion design, culture management, and commu- nity collaboration. Management includes program design, financial management, infor- mation systems, human resource management, program evaluation, and project management. Effective execution of management functions often requires leadership.

The Context: Leadership, Organizational Dynamics, and Performance

Leadership is often seen as a key factor in coordi- nating and aligning organizational processes (Lewis, Packard, & Lewis, 2007). As with any aspect of organizational functioning, it should focus on organizational performance, and most important, effectiveness in achieving desired out- comes (see Chapter 8). The conceptual model in Figure 7.1 illustrates the place of leadership in organizational performance. At the far left of the figure, leadership traits, styles, and approaches are a starting point. Leadership can, to a large extent, affect management capacity through the design of organizational systems. A leader must assess contingency factors in the environment and in staff and the situation, considering staff characteristics and using leader-member processes to shape organizational climate and culture. Other factors, including program capac- ity (e.g., the service delivery model) and client characteristics, will affect ultimate outcomes. Leaders can impact program capacity through the use of evidence-based practice in program design. In this model, job satisfaction is seen as an intermediate outcome that can also affect an organization’s effectiveness.

Leadership can be observed at several levels: groups, teams, programs, agencies, communities, societies/countries, and even worldwide (e.g., international affairs). The focus here will be on program/agency leadership: organizational lead- ership for organizational performance.

Another important aspect of the leadership context in the human services is the growing emphasis on evidence-based practice (McNeece & Thyer, 2004). This plays out in two ways in a dis- cussion of leadership. First, in its traditional usage, evidence-based methods should be used by lead- ers in the design and implementation of the pro- grams of their agencies. Second, evidence-based practice principles can be used in assessing the theories, models, and practice guidelines for leadership. The newly emerging field of

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evidence-based management is an example of this application (Pfeffer & Sutton, 2006; Rousseau, 2006). When leadership models and principles are discussed below, the relevant empirical literature will be cited wherever possible.

Finally, it should be noted that, while much of the discussion here may imply that leadership is a rational activity, there are powerful contextual factors—including the agency’s policy and politi- cal arena and economic, social, and technological

forces (Lewis et al., 2007, Ch. 2) and internal dynamics such as organizational power and pol- itics (Gummer & Edwards, 1995)—that impact the behavior and effectiveness of leaders. Some of the leadership approaches discussed below, including strategic leadership and contingency theory, provide tactics to deal with these organi- zational complexities. Other tactics, such as influence skills, are also relevant but beyond the scope of this chapter.

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Client characteristics and client-worker interaction

services, evidence base, model fidelity, dosage, etc.

Program capacity

environment, structure, communication, decision making, size, age, etc.

Organizational contingency factors

social support, innovation, outcome orientation, emphasis on rewards, team orientation, decisiveness, etc.

Culture

leader-member exchange, path-goal

Leader-member processes

Leadership traits

Competencies

Styles

Approaches

characteristics, values

knowledge, skills

task, relationship, and change behaviors

transformational, situational, exemplary, strategic, empowerment, etc.

leader, staff, situation, FIT

Contingencies assessment depersonalization,

role conflict, role clarity, exhaustion, etc.

Climate

ability, commitment, self-esteem, locus of control, diversity, etc.

Staff attributes and demographicsplanning and strategy,

financial management, management information systems, human resource management, etc.

Management capacity

burnout/stress, etc.

Job satisfaction

client outcomes, agency growth, etc.

Organization effectiveness

Figure 7.1 Factors Affecting Organizational Performance: A Heuristic Model

Leadership Theories and Models

This section will summarize the most influential theories and models of leadership, following the historical development of this field. The earliest research on leadership focused on traits, which were originally seen as innate characteristics of leaders. This area of study has broadened to include skills and competencies as well as more innate traits. Next, research in group dynamics examined interpersonal and task behaviors as they impacted group effectiveness. The notion of leadership style evolved from this work, often using a continuum from autocratic or directive styles to participative approaches. Eventually, researchers explored the notion that there is no one “best way” of leading and identified contin- gencies that would suggest the best approach. Current theories commonly include elements of several of these earlier models.

The Trait Approach

Discussions of leadership in the 20th century essentially began with the trait approach. While this perspective is now seen as incomplete, there has been recent renewed interest in characteris- tics of effective leaders. In spite of the question- able premise of trait theory as originally conceived, recent research has identified some traits associated with effective leaders: intelli- gence, self-confidence, determination, integrity, and sociability (Northouse, 2004, p. 19).

In an extensive review of the trait research, Yukl (2006) found several traits that were related to leadership effectiveness: a high energy level and tolerance for stress, self-confidence (includ- ing self-esteem and self-efficacy), an internal locus of control orientation, emotional stability and maturity, and personal integrity. Other fac- tors identified by Yukl included emotional intel- ligence, including self-awareness, empathy, and self-regulation (the ability to effectively channel emotions and behavior), and social intelligence,

including the ability to understand needs and processes in a situation and behavioral flexibility in adapting to these situational requirements. Systems thinking and the ability to learn are also seen as important (p. 189).

In evaluating the trait research, Yukl (2006) noted both “considerable progress” and “method- ological and conceptual limitations” (p. 207). Little is known about how a combination of traits may impact effectiveness. Researchers do agree that it is important to note that traits are important only to the extent that they are rel- evant to a particular leadership situation. In fact, one of the weaknesses of the trait approach is that it does not provide detailed descrip- tions of how traits affect organizational out- comes (Northouse, 2004, p. 24). Regardless of these limitations, Yukl (2006) has offered some general suggestions for applications, including maintaining self-awareness, developing relevant skills through continuous learning and leader- ship development, remembering that a strength can become a weakness in a different situation, and compensating for weaknesses by using delegation or staff with complementary skills (pp. 208–209).

Leadership Skills and Competencies

The skills approach suggests that leadership abilities can be developed, whereas traits are more inherent in an individual. This approach is most prominent in leadership development pro- grams that focus on identifying specific compe- tencies that are important in a leadership setting. Leadership competencies have been defined as “the combination of knowledge, skills, traits, and attributes that collectively enable someone to perform a given job” (Zenger & Folkman, 2002, p. 83). The use of competencies in leadership development has become somewhat controver- sial (Hollenbeck, McCall, & Silzer, 2006). For example, the “competency movement,” as Zenger and Folkman (2002, p. 85) refer to it, has weak- nesses, including, for example, the failure to relate

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“lists” of competencies to leadership effective- ness in a specific situation and the mistaken assumption that all competencies are equal. Nevertheless, the competencies perspective is generally seen as one valid piece of leadership development.

In their research, Zenger and Folkman (2002, pp. 103–108) found that 16 groups of compe- tencies were seen as associated with organiza- tional effectiveness. These included character (displaying integrity and honesty), technical and professional expertise, problem-solving and analytical ability, innovation, self-development, a focus on results, setting “stretch” goals, taking personal responsibility for outcomes, effective communication, inspiring and motivating oth- ers, trust and interpersonal effectiveness, con- cern for others’ development, collaboration and organizational change skills, ability to cham- pion change, and ability to relate well to outside stakeholders.

They also found that leaders with strengths in multiple competencies were most effective, and, significantly, that particular combinations of competencies seemed to be more powerful pre- dictors of effectiveness. For example, being able to give feedback did not always correlate with effectiveness, whereas giving feedback while building trust did (Zenger & Folkman, 2002, p. 151). They also found that listening skills alone were not particularly valuable, but listening skills plus other interpersonal skills (e.g., being consid- erate and caring) did make a difference.

Current thinking uses a “strengths per- spective,” in which administrators work to build upon their strengths and find situations that optimize them (Buckingham & Clifton, 2001). Zenger and Folkman (2002) agree that magnify- ing strengths is the best overall approach, but add that “fatal flaws” must be fixed. For example, they found that an inability to learn from mistakes and a lack of core interpersonal skills were fatal flaws (pp. 157–162).

Yukl (2006) has noted that different skill mixes are needed at different managerial levels, with conceptual skills more important at higher

levels and technical skills more important at lower levels. Some of each skill will be needed at every level, and interpersonal skills are equally important at every level of management (p. 204).

In social work, a set of generic management competencies, ranging from advocacy to inter- personal skills, has been developed by the National Network for Social Work Managers (http://www.socialworkmanager.org/); they include many of the competencies mentioned in the research and others that are tailored to human services settings.

Leadership Styles

Competencies are also reflected in the style theories of leadership: the notion that certain behaviors make leaders more effective and that these behaviors or styles (e.g., participative or autocratic leadership) can, by and large, be learned and improved. The earliest work in this area, at Ohio State University and the University of Michigan, contrasted task behaviors, such as directing and providing structure for the group and focusing on production, with relationship behaviors, which emphasized building trust, respect, good relations within the team, and an employee orientation. Examples of these behav- iors and a newly developing category of change- oriented behaviors are provided in Table 7.1.

Yukl (2006) has concluded that “there are seri- ous weaknesses in much of the behavioral research conducted during the past two decades,” noting “a tendency to look for simple answers to complex questions” (p. 75). Researchers “were looking for a universal theory of leadership that would explain leadership effectiveness in every situation” (Northouse, 2004, p. 68), but research in this area turned out to be inconclusive, although “the overall pattern of results suggests that effective leaders use a pattern of behavior that is appropriate for the situation and reflects a high concern for task objectives and a high con- cern for relationships” (Yukl, 2006, p. 76). Leader- ship research now more typically recognizes

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complexities, which cannot offer simple answers. These insights are reflected in more current style models, including the Leadership Grid and vari- ous contingency theories.

The Leadership Grid. Blake and McCanse’s (1991) Leadership Grid is considered to be a style approach to leadership, proposing a two-axis model to make a distinction between a concern for

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Table 7.1 Examples of Task-, Relations-, and Change-Oriented Behaviors

Task-Oriented Behaviors

• Organize work activities to improve efficiency. • Plan short-term operations. • Assign work to groups or individuals. • Clarify what results are expected for a task. • Set specific goals and standards for task performance. • Explain rules, policies, and standard operating procedures. • Direct and coordinate work activities. • Monitor operations and performance. • Resolve immediate problems that would disrupt the work.

Relations-Oriented Behaviors

• Provide support and encouragement to someone with a difficult task. • Express confidence that a person or group can perform a difficult task. • Socialize with people to build relationships. • Recognize contributions and accomplishments. • Provide coaching and mentoring when appropriate. • Consult with people on decisions affecting them. • Allow people to determine the best way to do a task. • Keep people informed about actions affecting them. • Help resolve conflicts in a constructive way. • Use symbols, ceremonies, rituals, and stories to build team identity. • Recruit competent new members for the team or organization.

Change-Oriented Behaviors

• Monitor the external environment to detect threats and opportunities. • Interpret events to explain the urgent need for change. • Study competitors and outsiders to get ideas for improvements. • Envision exciting new possibilities for the organization. • Encourage people to view problems or opportunities in a different way. • Develop innovative new strategies linked to core competencies. • Encourage and facilitate innovation and entrepreneurship in the organization. • Encourage and facilitate collective learning in the team or organization. • Experiment with new approaches for achieving objectives. • Make symbolic changes that are consistent with a new vision or strategy. • Encourage and facilitate efforts to implement major change. • Announce and celebrate progress in implementing change. • Influence outsiders to support change and negotiate agreements with them.

SOURCE: Yukl (2006), Table 3-1, p. 66.

people and a concern for production or results. On the Grid, Point 9 indicates a leader’s maximum concern, whereas Point 1 denotes minimum con- cern. The Leadership Grid shows graphically the management styles of leaders, who are identified not by their behaviors but by their attitudes. However, this model assumes that managers’ behaviors will reflect their concerns (i.e., a relative emphasis on the task or the people). Managers who are concerned primarily with output, or task, and are less concerned with people are considered 9,1-oriented managers who emphasize task behav- iors. Those more concerned with people and who have little concern for production are considered 1,9-oriented managers who emphasize relation- ship behaviors. It is also possible to be a 1,1- oriented manager or a 9,9-oriented manager. The two axes are independent, so more concern for one factor does not necessitate less concern for the other.

According to the Leadership Grid, the 9,9 management style is seen as the ideal and one toward which managers can and should strive. Survey research has not adequately supported this theory (Yukl, 2006, p. 60). However, the model is compatible with other leadership principles and offers useful intuitive guidance, suggesting that any leader or supervisor should be concerned about both people and results. According to con- tingency theory, however, leaders can use differ- ent combinations of task and relationship behaviors, depending on the situation.

Contingency Theory

Contingency theory suggests that there is no one best way to lead and that different behaviors are appropriate in different situations.

The Decision Approach. One classic, but complex, contingency model is Vroom and Yetton’s (1973) Decision Model. In this model, the leader consid- ers several variables in a decision tree format, which eventually suggests a style to use. Factors to consider include the importance of the decision, the amount of relevant information that the sub- ordinates and leader have, the need for decision

quality, subordinate concern for task goals, the extent of structure in the problem, and the importance that subordinates accept the decision. Based on an assessment of these conditions, the leader uses a style ranging from autocratic to consultative to group decision making. While the model is conceptually incomplete, there is some research support for it (Yukl, 2006, pp. 94–95).

Path-Goal Theory. Another contingency theory, the path-goal model (House & Mitchell, 1974), suggests that the leader assess task and follower characteristics and then demonstrate to followers how working toward organizational goals will meet their needs. Leadership style choices are supportive and directive leadership, discussed above; participative leadership, which involves consultation with subordinates; and achieve- ment-oriented leadership, which involves “setting challenging goals, seeking performance improve- ments, emphasizing excellence in performance, and showing confidence that subordinates will attain high standards” (Yukl, 2006, p. 219). For example, to lead followers with high expectations and a need to excel in ambiguous, challenging, and complex situations (common in human ser- vices professions), the achievement-oriented approach is suggested (Northouse, 2004, p. 130).

As is the case with several leadership theories, the path-goal model’s complexity makes it diffi- cult to precisely implement and test (Northouse, 2004, pp. 132–133), and research to test it has led to mixed results (Yukl, 2006, p. 221). However, also consistent with other models, it does offer practice principles that may be useful in particu- lar situations.

Leader-Member Exchange Theory. While not explicitly a contingency theory, leader-member exchange (Graen & Uhl-Bien, 1995) is covered here because, like path-goal theory, it places par- ticular emphasis on the relationship between the leader and the follower. In this approach, the leader and individual follower work out an effec- tive relationship of roles and interactions. A favor- able relationship is more likely when there is personal compatibility between the leader and

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follower and the follower is competent and dependable. In such a situation, the leader is sup- portive, provides mentoring, and uses consultative and delegating styles (Yukl, 2006, pp. 117, 120).

In spite of a good deal of research on this the- ory, there are still conceptual ambiguities that require further research (Yukl, 2006, p. 121; Northouse, 2004, p. 156). It nevertheless offers a useful perspective for a leader to assess and attend to the relationships formed with individ- ual followers so that subordinate needs and orga- nizational goals can be addressed.

Hersey and Blanchard’s Situational Leadership Model. A popular contingency theory is situa- tional leadership (Hersey, Blanchard, & Johnson, 2001). This model suggests that the effectiveness of leadership styles depends, to a great extent, on the situation. The model is unique in its attention to the variable of follower readiness (a combina- tion of ability and willingness to perform a job) level, which is seen as the most important situa- tional factor. Ability is associated with relevant knowledge and skill, and willingness with confi- dence and commitment. Readiness is measured in terms of the specific task to be performed (e.g., a given follower might be ready regarding one job duty and not ready in another).

Hersey et al.’s (2001) situational model distin- guishes between task behavior and relationship behavior on the part of the leader. They contend that varying amounts of relationship and task behaviors (see Table 7.1) can be appropriate, in varying combinations, depending on the readi- ness level of the follower. According to the situa- tional leadership model, the leader should adapt his or her style to the followers’ readiness. A leader dealing with individuals who are at low readiness in terms of the task in question should use a high degree of structure or task behaviors (such as defining tasks and responsibilities) and a low degree of relationship behavior (a guiding, telling, or directing approach). As the follower’s maturity level increases, it is appropriate to con- tinue task behaviors and add relationship behav- iors, such as two-way communication, facilitation, and emotional support. For followers with

moderate readiness, a selling or persuading style is appropriate. As maturity increases further, to a level at which high relationship and low task behaviors are appropriate, an encouraging or participating style is used. When followers have reached a high degree of maturity, the leader can decrease both supportiveness and structure, using a delegating style.

Consistent with other theories, there is little empirical support for the theory, partly because of conceptual weaknesses such as imprecise defi- nitions of its elements and relationships among them (Northouse, 2004, pp. 93–94; Yukl, 2006, p. 224). Regardless of these limitations, this model can be helpful to leaders in human ser- vices agencies, where followers may vary greatly in terms of their readiness levels. Although a per- son new to an agency might require a high degree of structure, at least temporarily, a seasoned pro- fessional might be most effective when led with a delegating style. It is important that the leader assess followers as individuals in terms of their readiness for particular tasks, and then use the appropriate style for each person and situation.

In spite of the limitations in the various contin- gency theories, Yukl (2006, pp. 240–243) has offered some useful practice guidelines. First, of course, maintaining a situational awareness will help a leader choose an approach appropriate to the follower and situation. More planning will be needed for complex tasks, and more direction will be needed when teams have members with inter- dependent roles. More direction may also be needed in a crisis situation. This approach suggests a more consultative approach with people who have relevant knowledge and more coaching of an inexperienced follower. Critical tasks or unreliable followers may require closer monitoring, and those working on a stressful task should receive support.

Current Theories

Charismatic Leadership

Charismatic leadership (Conger & Kanungo, 1998) will be briefly discussed here as a prelude

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to a full discussion of current well-developed models of leadership, some of which include ele- ments of charismatic leadership. A charismatic leader is a strong role model who demonstrates competence and confidence, articulates goals, and communicates high expectations (Northouse, 2004, p. 172). Charismatic leaders foster the development of trust and can inspire followers to a new vision through self-sacrifice, risk taking, and a concern for followers. It should also be noted that charismatic leadership is risky: Power can be misused, and followers can become inap- propriately dependent upon a charismatic leader (Yukl, 2006, pp. 250, 262).

Also, as noted by Collins (2001), effective lead- ers do not need to be strongly charismatic in the traditional sense of “larger than life heroes” such as Lee Iacocca at Chrysler (pp. 28–30). In fact, his research found that leadership attributes included a “paradoxical blend” of humility and a fearless determination to succeed, concluding that “Charisma can be as much a liability as an asset, as the strength of your leadership personality can deter people from bringing you the brutal facts” (p. 89). The challenge here seems to be to demon- strate the characteristics noted without displaying an oversized personal presence, which puts more emphasis on the person than the organization.

Transactional and Transformational Leadership

Currently, one of the most popular and stud- ied models of leadership contrasts two related approaches: transformational leadership and transactional leadership.1 Much of the current work on this model has been reported by Bass and associates (Bass & Avolio, 2006). In transac- tional leadership, the more common approach, an exchange process involves the leader and follow- ers agreeing to do or provide things to accommo- date each others’ needs. In transformational leadership, the leader “transforms and motivates followers by (1) making them more aware of the importance of task outcomes, (2) inducing them to transcend their own self-interest for the sake of

the organization or team, and (3) activating their higher-order needs” (Yukl, 2006, p. 262).

Transactional leadership has two components. First, contingent rewards are valued rewards received for performing desired behaviors. A transactional leader identifies factors that moti- vate a worker and provides the support needed for effective performance. Second, management by exception assumes that under normal circum- stances, little intervention by a supervisor will be necessary. When exceptions (variations from routine activities) occur, management by excep- tion is used. A leader can use active or passive management by exception. In active manage- ment by exception, the leader “arranges to actively monitor deviances from standards, mis- takes, and errors that occur and to take corrective action as necessary” (Bass, 1998, p. 7). In passive management by exception, the supervisor does not actively monitor but waits for deviances or mistakes to occur and then acts.

To effectively lead professional staff, transac- tional leadership will probably not be enough to achieve outstanding performance. Transactional leadership should be augmented by the use of transformational leadership, which includes idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration.

Idealized Influence. Idealized influence “refers to the ability of leaders to display conviction, empha- size trust, take stands on controversial issues, pre- sent their most important values, and emphasize the importance of purpose, commitment, and eth- ical consequences of decisions” (Bargal, 2000, p. 308). According to Bass (1998), a transforma- tional leader serves as a role model who is admired, respected, and trusted. Followers of such charismatic leaders “identify with the leaders and want to emulate them”; perceive them to have “extraordinary capabilities, persistence, and deter- mination”; and see them as risk takers who are “consistent rather than arbitrary” (p. 6). The appli- cation of idealized influence essentially amounts to being a role model and exhibiting behaviors that subordinates admire and appreciate.

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Inspirational Motivation. A key component of inspirational motivation is vision. The overuse of this concept in the popular press and misapplica- tions in organizations has led to cynicism on the part of some employees. Nevertheless, when properly executed, visionary leadership can be a powerful tool for focusing and energizing staff. Visionary leadership is briefly discussed below as a specific model of leadership. Another impor- tant aspect of this element is setting high expec- tations for the work unit or program. Enthusiasm and encouragement are then used by the leader to pull the team toward the vision and achieve- ment of expected results.

Intellectual Stimulation. Intellectual stimulation involves encouraging innovation and creativity. To enhance this, Bargal (2000) suggests that the leader develop the ability to “question old assumptions, traditions, and beliefs; to stimulate new perspectives and ways of doing things in others; and to encourage expression of new ideas and reasoning” (p. 308). This includes the cur- rent management axiom of “thinking outside the box.” This principle is particularly important in the early stages of assessing the need for change.

Individualized Consideration. Individualized con- sideration involves coaching and mentoring workers as individuals and having ongoing per- sonalized interactions with staff. Individual con- sideration involves finding ways for followers to identify growth goals and providing opportuni- ties for them to achieve them. This can take the form of an explicit discussion with a follower, simply asking what is important to them and how these things can be achieved in a work setting.

According to Avolio and Bass (2002, p. 5), the best leaders use more transformational leader- ship than transactional leadership, but both used together are optimally effective. Finally, it is also important to note that transformational leader- ship can be confused with “pseudotransformational leadership,” which focuses on personal power, manipulation, threat, and punishment (p. 8).

Yukl (2006, pp. 274–277) has offered several guidelines for the use of transformational leader- ship. First, articulate a clear and appealing vision,

and explain how it can be attained. Act confident and optimistic, and express confidence in followers. Support the vision through resource allocations and emphasizing key values, and lead by example.

Summarizing research over the past 20 years, Bass and Avolio (2006, p. 48) concluded that transformational leadership was positively related to performance in the business, military, educational, government, and not-for-profit sec- tors. One meta-analysis of Full-Range Leadership, which includes the use of both transactional and transformational leadership (Judge & Piccolo, 2004), found that both transformational leader- ship and contingent rewards had significant rela- tionships with outcomes, including follower satisfaction and group or organizational perfor- mance. In a review of the literature, Tucker and Russell (2004) concluded that transformational leaders can have a major influence on organiza- tional culture and change. Yukl (2006) concluded that, in spite of conceptual weaknesses in the the- ory, “the available evidence supports many of the key propositions of the major theories of charis- matic and transformational leadership” (p. 272).

There have been applications of transforma- tional leadership concepts to human services organizations (Barker, Sullivan, & Emery, 2006; Packard, 2004; Yoo & Brooks, 2005). In one national study, transformational leadership was correlated with perceived leader effectiveness (Mary, 2005). In a hospital study, transforma- tional leadership was significantly correlated with leader outcomes of effectiveness, satisfaction, and extra effort (Gellis, 2001). Another study found significant positive relationships between trans- formational leadership and job satisfaction, com- mitment, leader effectiveness, and satisfaction with the leader (Kays, 1993, cited in Mary, 2005, p. 209). Transformational leadership is compati- ble with human services values and principles regarding valuing and empowering individuals.

Exemplary Leadership

Kouzes and Posner’s (2002) popular books on leadership, unlike some of the popular literature, present a model with an empirical base. While

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they have not formally named their model, we will use here the title of their most comprehen- sive book on the subject: exemplary leadership. Their model is structured around five “practices” and ten “commitments” of leadership. Model the way involves clarifying one’s personal values and setting an example by aligning actions with val- ues. Inspire a shared vision includes envisioning the future and enlisting others in a common vision. Exemplary leaders challenge the process by finding opportunities to innovate, change, and grow and by experimenting and taking risks. These leaders enable others toact by fostering col- laboration through trust and cooperative goals and sharing power and discretion. Finally, such leaders encourage the heart by showing apprecia- tion for individual excellence and celebrating val- ues and victories through a spirit of community. In their research, they found several characteris- tics that people look for and admire in a leader:

• Honest: truthful, ethical, principled, worthy of trust

• Forward-looking: articulating a vision and sense of direction for the organization; using strategic planning and forecasting

• Competent: having a track record and the ability to get things done, understanding the fundamentals, having relevant experience

• Inspiring: enthusiastic, energetic, positive about the future

Kouzes and Posner (2002) conclude that these four make up source credibility—people believe in and trust them; they do what they say they will do, represented by the acronym DWYSYWD. “Do what you say you will do” requires that a leader practice what he or she preaches, “walk the talk,” and follow through.

Visionary Leadership

Vision has been mentioned in several contexts above, including transformational leadership and exemplary leadership, and because it is men- tioned so often in the leadership literature, it will be given special attention here. According to

Nanus and Dobbs (1999), a vision is “a realistic, credible, attractive, and inspiring future for the organization” (p. 78). The vision should be chal- lenging, but staff also need to see that, with time and enough of the right kind of work, it is attain- able. While a mission statement describes why an organization exists (its purpose) and what it does (its unique niche of programs or activities), a vision statement represents where the organiza- tion wants to be, its ideal future.

Articulating a clear and compelling vision is an important aspect of leadership and, as will be discussed below, of change leadership as well. This is important to provide meaning, focus, and clarity of purpose for staff on an ongoing basis, and it may be even more important when orga- nizational change is needed. The organization as a whole typically has a vision statement, and individual programs may have their own vision statements as well. Individual employees come to an organization with their own visions for what they want to accomplish in their careers. It is important for a leader to learn about his or her followers’ aspirations, build these into the orga- nization vision as possible, and help followers see how their individual visions can be realized through a common vision (Kouzes & Posner, 2002). Ultimately, all of these visions should be in alignment (Senge, 1990). While an initial statement of vision typically comes from the organization’s leader, alignment can be facilitated by having employees involved in creating a final vision statement and then promulgating it throughout the organization. This can occur through a visioning process or, if necessary, through a larger process of culture change or organizational change, as described below.

Servant-Leadership

Servant-leadership, developed by retired AT&T executive Robert Greenleaf (2002), has received increasing attention in the popular liter- ature in recent years. It is a nontraditional model for leadership in several respects. It was devel- oped by a successful career executive; it is explic- itly based in philosophical, ethical, and moral

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principles; and it presents the unorthodox idea that the leader should first serve followers.

Servant-leadership focuses on the leader- follower relationship and can be considered to be in the style category of leadership models because it focuses on leader behaviors. Spears (2005, pp. 33–36) has identified 10 characteristics of the servant-leader, many of which are clearly associ- ated with social work and other human services professions: listening, empathy, healing “broken spirits” and “emotional hurts,” general and self- awareness, using persuasion rather than posi- tional authority, broad conceptual thinking and visioning, learning from the past and foreseeing future outcomes, stewardship (“holding their institutions in trust for the greater good of soci- ety”), commitment to the growth of people, and building community.

Until recent years, much of the writing on ser- vant-leadership emphasized the description of desired behaviors and principles, but research on this model is expanding. A professional jour- nal devoted to it, The International Journal of Servant-Leadership, was launched in 2005. Further systematic empirical work on this model should more fully illustrate its potential.

Strategic Leadership

One conceptualization of strategic leadership (Boal & Hooijberg, 2001) contrasts what they call “supervisory theories” of leadership, including contingency, path-goal, and leader-member exchange approaches, with strategic leadership approaches including charismatic, transforma- tional, and visionary models.

Activities often associated with strategic leadership include making strategic deci- sions; creating and communicating a vision of the future; developing key competencies and capabilities; developing organizational structures, processes, and controls; manag- ing multiple constituencies; selecting and developing the next generation of leaders; sustaining an effective organizational culture;

and infusing entical value systems into an organization’s culture. (Boal & Hooijberg, 2001, p. 516)

Boal and Hooijberg (2001) further suggest that the “essence” of strategic leadership involves the ability to learn, the ability to change, and managerial wisdom, which includes social intelli- gence and the ability to take the right action at the right time (pp. 517–518).

As bluntly stated by Gill (2006), “Without strategies, vision is a dream” (p. 174). Leadership and vision are focused on end results, and organi- zational strategies can provide a road map for reaching them. Students and practitioners of management are aware of the importance of strategic planning (see Chapter 16 on strategic planning). It is addressed here as an aspect of lead- ership, suggesting that effective leadership can increase the prospects of strategy implementation. Strategic leadership, in this sense, is largely the use of a comprehensive strategic planning process. There can be a leadership dimension to this as well, using participative approaches to leadership by involving staff in the strategic planning process.

Thus far, the discussion of leadership has gen- erally focused on a leader’s role in ongoing oper- ations of an agency. An increasingly important role for a leader in an organization is that of a change leader (Kotter, 1996). We will now discuss specifics of change leadership, with particular emphasis on organizational change and on creat- ing a high-performance organizational culture.

Leadership and Organizational Culture Change

Organizational culture and climate were addressed in Chapter 6. Here, the discussion will focus on how leaders can create or transform cul- tures (Hatch, 2000) to deliver high-quality, effec- tive services and on the kinds of leadership associated with a culture that is supportive of effective services. This is a key dynamic because culture is a medium through which leadership travels and impacts organizational performance.

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Leaders play an important role in “embed- ding” and transmitting (Schein, 2004) the culture that they believe will most enhance organiza- tional functioning. Schein (2004, p. 246) has identified six “primary embedding mechanisms”:

• What leaders pay attention to, measure, and control on a regular basis

• How leaders react to critical incidents and organizational crises

• How leaders allocate resources • Deliberate role modeling, teaching, and

coaching • How leaders allocate and reward status • How leaders recruit, select, promote, and

excommunicate

Schein (2004) has also identified six “sec- ondary articulation and reinforcement mecha- nisms,” which a leader can use to shape culture:

• Organizational design and structure • Organizational systems and procedures • Rites and rituals of the organization • Design of physical space, facades, and

buildings, including symbols • Stories about important events and people • Formal statements of organizational phi-

losophy, creeds, and charters

Administrative mechanisms such as these can help shape a culture as humanistic or bureau- cratic, performance or process focused, and team or individual oriented. Specifically, in the human resources area, supervisors as leaders can func- tion as agents of socialization by the ways they assess, develop, coach, counsel, and give feedback to staff (Major, 2000).

Leaders give staff important clues based on the aspects of the organization they pay atten- tion to. For example, if leaders focus on agency outcome data and the functioning of teams, they are likely to get different results than if they focus on following procedures and power strug- gles for resources. If leaders allocate resources for diversity initiatives and allocate rewards based on improved client outcomes through

evidence-based practices and collaboration, employees will get clues regarding what is important. Employees know to look beyond merely what a leader says in meetings or newsletters to see what behaviors the leader models on a daily basis.

Organizational culture change will be addressed more fully in the later section on orga- nizational change. Here, just a few comments will be made regarding the uniquenesses of culture change. Culture change will be presented below as a large-scale transformational change in the way the organization operates. Such a change requires totally new thinking and perspectives on the part of employees, and thus is extremely chal- lenging and complicated and typically can only occur over a period of years.

From an individual employee’s perspective, Schein (2004) has used Lewin’s classic concepts of unfreezing, changing, and refreezing to illus- trate how employees experience the culture change. Unfreezing creates disequilibrium in employees’ cognitive structure by presenting disconfirming data, which leads an employee to believe that current conditions are no longer comfortable. This, of course, creates psycholog- ical anxiety, which must be addressed by the leader creating psychological safety, so that staff will feel safe in trying out new ways of operat- ing. These new behaviors and attitudes are reinforced and rewarded by leadership, thus refreezing a new or modified organizational culture.

Schein (2004, pp. 332–333) has suggested sev- eral tactics to create psychological safety for staff. First, as mentioned above, a compelling vision for a new future can show how the organization can be improved. Formal and informal training, with active involvement of staff in the learning process, can be supported by “practice fields” where it is safe to try new behaviors, supported by coaches and useful feedback. Leaders act as role models for the new ways of thinking, and support groups can aid staff in the learning process. Finally, management systems, including structures and rewards, need to be set up in alignment with the new thinking.

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Schein (2004) makes an additional point about how to view “culture change.” While lead- ers often state culture change as the change goal, Schein asserts that a change goal should be stated in terms of desired organizational outcomes, not a process of culture change (p. 334). In other words, culture change is not an end in itself, but a process in service of the larger goal of improving operations and outcomes of the organization.

In summary, Schein (2004) suggests that cre- ating a new culture requires that leaders have vision, persistence, patience, and both flexibility and readiness regarding change (p. 407). They also need the ability to perceive the problem, insight and self-awareness regarding their strengths and limitations, strong motivation for change, emotional strength to handle the inevitable anxiety and criticism, the ability to bring to the surface and change existing culture assumptions, and the ability to involve others in the change process (pp. 414–417).

While the most important goal of culture change is to improve organizational performance, the creation of a culture that is committed to ongoing learning is also a very important interme- diate goal because organizational learning is a key aspect of organizational change. Austin and Hopkins (2004) and their colleagues have pre- sented a variety of strategies for creating a learning organization and a culture of learning, including the design of “learning settings” (Garvin, 2000, cited in Austin & Hopkins, 2004). Regular organi- zational activities, such as staff meetings and out- comes assessments, can be augmented to become arenas for learning by a leader demonstrating a personal investment in learning, asking questions, empowering staff through shared decision mak- ing, using data in problem analysis and problem solving, and making time for reflection and the application of new knowledge, fostering dissent and risk taking, regular questioning and listening, and celebrating and rewarding individual learn- ing. The leader should also demonstrate a per- sonal commitment to learning through openness, an awareness of personal biases, a full use of data, and personal humility.

Change Leadership

We will now review a model of organizational change that can be used for any change goal, with our particular interest in improving organiza- tional performance and creating a culture that supports it. A leader may initiate an organiza- tional change process to meet a particular need or goal, such as moving the agency from a process-oriented to an outcomes-oriented cul- ture or implementing evidence-based practice. In addition to such a large-scale initiative, organiza- tional change in a typical human services agency can be a regular activity. Organizations and staffs change in small ways, such as developing new procedures, perhaps without even considering that change is occurring. For larger-scale changes, in which radical changes in the agency’s culture or systems are required, the use of change leadership skills should enhance the prospects of the agency reaching its desired new state.

Types of Organizational Change

Costello (1994, cited by Proehl, 2001) identi- fied three levels of organizational change. Developmental change involves adjustments to existing operations or improving a skill, method, or process that does not currently meet the agency’s standard. This level of change is the least threatening to employees and the easiest to man- age. Examples include problem solving, training, and improving communications. Transitional change involves implementing something new and abandoning old ways of functioning. This move through a transitional period to a new future state requires patience and time. Examples include reorganizations, new technology systems, and implementing a new program. The most extreme form of change is transformational change, which requires major shifts in vision, strategy, structure, or systems.

This might evolve out of necessity, for exam- ple, as a result of major policy changes like wel- fare reform and managed care. The new state

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involves a new culture, new beliefs, and aware- ness of new possibilities. Examples include priva- tization and managed competition.

A Model of Organizational Change

Proehl (2001) has described a change formula, which suggests that change can occur when (a) there is dissatisfaction with the current state, (b) staff have a clear vision of an ideal future state of the organization, (c) there is a clear and feasi- ble process for reaching the desired state, and (d) these factors considered together outweigh the perceived costs of changing. From an employee’s point of view, costs of change can include changes in employees’ sense of compe- tence, power or status, workplace relationships, rewards, and identity or roles. Therefore, the change leader can create conditions for change by creating dissatisfaction with the status quo, providing a clear and compelling vision for the new state, and establishing and using an effective and efficient process that minimizes the “costs” to participants. This formula is embedded in the following organizational change model.

The organizational change model described here is based largely on Proehl (2001), who created a model adapted from others, including Kotter (1996). Also included here are practice principles from Lewis et al. (2007) and Yukl (2006, p. 303). This model and the related practice principles are primarily informed by case research by author/consultants and a small number of research studies on specific elements of the model.

Imagine an agency executive of a not-for-profit agency who recognizes an important trend in the environment that is now facing the agency: the move in government agencies toward performance- based contracting (see Chapter 8). Most agencies are more accustomed to cost reimbursement contracts, in which the program often has to pro- vide only data on client demographics and ser- vices delivered. A move to a performance-based organizational culture is a significant one for most human services organizations. This executive, as a

change leader, may increase the prospects of a successful change by using a structured organiza- tional change process, beginning with creating a sense of urgency and ending with institutionaliz- ing and celebrating the change. In a related example, Fisher (2005) has suggested the use of transformational leadership in implementing an outcomes measurement system.

While these steps are presented in a logical linear fashion, they may at some times overlap or be addressed in a different sequence, based on specific agency conditions. Throughout the process, change leaders should be alert to human factors, including staff resistance and need to be informed of activities. Consistent with principles of participative management, involving staff in the process should have a significant effect on creating staff commitment, as well as leading to better ideas and outcomes.

1. Create a sense of urgency. The first step for a change leader is to create a sense of urgency among staff regarding the need for change. Staff may be both comfortable and happy with the sta- tus quo and feel that they are overworked enough as it is; they may be disinclined to take on a sig- nificant change in the way they and their pro- grams operate. The administrator can begin by sharing with staff the important environmental forces impacting the agency. If local government agencies are going to begin requiring perfor- mance data in new contracts, the executive can explain the implications for programs and staff; for example, the agency will need to be able to respond to these demands from key funding organizations in order to survive. Cost pressures, while not a popular topic with staff, can be shared, again related to agency growth and sur- vival needs.

As much as possible, existing data should be used to demonstrate the urgency for change. The agency may have staff morale data such as atti- tude surveys, or at least sick leave and turnover data, which may indicate problems needing attention. More important, if the agency’s data systems do not allow the documentation of client

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outcomes, or if cost effectiveness and efficiency results are below industry standards, staff should see that changes will be needed. This potentially disturbing information may be framed by the executive within a more optimistic and hopeful context by referring to agency and staff visions and ideals for the highest quality of services to the agency’s clients, to motivate staff in a more positive way. This step and others below found support in a study of large-scale service integra- tion change efforts in several counties (Patti, Packard, Daly, Tucker-Tatlow, & Prosek, 2003).

2. Develop an action system. Large-scale change cannot be accomplished by only the exec- utive or top management team. Building a broad-based action system with designated responsibility for implementing and overseeing the change initiative serves several functions. If many staff are involved, multiple talents can be brought to bear to address the challenges and tasks ahead. Spreading the workload can help ensure that the additional demands of change do not significantly disrupt ongoing work. And, get- ting staff involved can increase their sense of ownership of the results.

A large-scale change initiative can be guided and overseen by a “change coalition” (Kotter, 1996) such as an organizational change steering committee that has representatives from all key stakeholder groups in the agency, including dif- ferent levels of the hierarchy (from executives to line staff), different program and administrative areas, and labor organization representation, if appropriate. Specific roles should be delineated (Proehl, 2001). The CEO or other executive serves as a sponsor, who demonstrates organiza- tional commitment to the process and ensures that necessary resources (especially including staff time) are allocated. The key staff person responsible for day-to-day operation of the ini- tiative can serve as a champion who not only oversees implementation but provides ongoing energy and focus for staff. There will probably be multiple change agents who are responsible for implementation at the unit or team level. They may be task force or problem-solving group

chairs, facilitators, or external consultants. Many other staff should be involved as task force or committee members or involved in data col- lection and analysis and the design and imple- mentation of new systems or processes.

Finally, organizational systems need to be set up to ensure effective functioning of the process. This includes structural arrangements, such as the reporting relationships of the various com- mittees and task forces, and communication processes to ensure that all staff are aware of what is happening. Newsletters, e-mail bulletins, all- staff meetings, and reports at regular unit meet- ings should all be used, on an ongoing basis.

3. Clarify the change imperative. Early in the process, the visions and desired outcomes should be refined and widely communicated throughout the organization. Staffing and resources available for the initiative should be clearly defined. As soon as possible, plans for activities (formation of task forces, data collection and analysis, com- pletion of action plans) should be formalized and put into timelines with deadline dates.

4. Assess the present. Next, a more detailed look at the current state of the organization can identify specific areas needing attention. Organi- zational readiness for change can be assessed by examining existing management and staff com- petencies, the organization’s culture, and the state of existing processes and systems such as, in this example, the agency information system (IS). For example, it may become clear that the existing IS does not measure key factors that will be needed in an outcomes-based system. The existing organizational culture may focus on bureaucratic rules and processes or on interper- sonal relationships, rather than on actual results for clients.

This assessment should also consider forces in the agency that will tend to support or resist this change. A key concern will be staff resistance. Proehl (2001, p. 161) has described a “resistance pyramid” to locate areas of resistance. Staff who do not know about the change should be informed and involved in the process. Staff who

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are not able to change should receive training in new skills, such as the use of outcomes measure- ment. Finally, change agents can work directly with staff who are not willing to change, by using goal setting, coaching, and feedback while work- ing to show how they can actually benefit from the change. There may be a small group of indi- viduals who may never become committed and who may be ignored or addressed through direc- tive supervision focusing on necessary perfor- mance expectations.

A force field analysis (Proehl, 2001; an example of a force field analysis regarding implementation of a program evaluation system is in Lewis et al., 2007, p. 268) can be used to more fully detail the driving forces that will aid the change or make it more likely to occur and the restraining forces, such as specific people, groups, or things getting in the way of change. Using a force field analysis involves identifying key stakeholders, such as managers and staff who may be affected by this change, and planning tactics that will leverage the driving forces and lower the restraining forces (e.g., resisters, as described above).

5. Develop and implement the plan for change. After the situation is analyzed, people are involved, and change management processes are in place, strategies and processes can be initiated to implement the change. Teams or task forces can be designated to engage in detailed problem solving and design new processes. In the example here, an information systems task force could identify new data needs from funders and ensure that, based on their program model, all relevant data are collected. Proposed changes may require redesign or replacement of current agency soft- ware and changes to recordkeeping systems. When a new system is designed, procedures will need to be written and a staff training program developed. Proposals for change are commonly submitted to the change coalition or steering committee and then forwarded to executive management for final approval.

During implementation of the change plan elements, Proehl (2001, p. 169) recommends “acting quickly and revising frequently,” identifying

opportunities for short-term successes so that staff can see tangible results from their efforts. And, consistent with principles for organiza- tional learning, the new system should be assessed to ensure that it has the desired results, or is modified as needed.

6. Evaluate, institutionalize, and celebrate. Any changes made should be assessed to ensure suc- cess and also need to be institutionalized. A new outcomes-based information system can be insti- tutionalized by changing software and record- keeping procedures and reflecting the changes in the procedures manual. Staff will need to be retrained, and training for new staff should reflect the new system. Culture change is harder to insti- tutionalize, but change leaders can, using princi- ples discussed in an earlier section, continually reinforce the new ways of operating. This should include formal and informal reward systems. Job descriptions and performance appraisal systems may need to be modified to include behaviors such as proper use of the new IS and delivering services that obtain desired client outcomes.

Implementation of new systems should be monitored and evaluated, with further adjust- ments as needed. Finally, changes and successes should be celebrated in ways consistent with the organization’s culture. Special events can be held when major milestones are met, and smaller suc- cesses can be rewarded and celebrated in staff meetings and other arenas.

Diversity and Ethics Issues in Leadership

Two additional issues related to organizational dynamics warrant more focused attention here: diversity and ethics as they apply to leadership.

Diversity Aspects of Leadership Effectiveness

While diversity issues in organizations have received increasing attention over the past three

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decades, specifics regarding leadership aspects of diversity have not yet been as fully addressed. In one study, Romero (2005) found that Hispanic leaders were perceived as equivalent to Euro- American leaders in effectiveness, that a leader- subordinate style match was important, and that participative approaches led to higher satisfac- tion. One expert in the field of workplace diver- sity, Thomas (2006), has suggested that current notions of diversity need to be broadened to go beyond mere representation to a focus on diver- sity management: “making quality decisions in the midst of difference, similarities, and related tensions” (p. 50). He adds that leaders will need to acknowledge the challenges in making deci- sions in diverse organizations and “become more comfortable with tension and complexity” and be more strategic in their thinking, considering diversity issues in the context of mission, vision, and strategy (p. 51).

Mills and Mills (2000) examined the role of gender in organizational culture, highlighting the importance of senior management in shaping culture; they noted that “the commitment of top managers to a program of employment equity, for example, has been shown to have strong influence on outcomes” (p. 64). In a summary of relevant research, Northouse (2004) concluded that “although quite similar to men in behavior and effectiveness, women leaders tend to be more participative and less autocratic, a pattern that is well suited to 21st-century global organizations” (p. 273). Gill (2006) has reported that “several studies have suggested that male and female lead- ers tend to behave differently but are equally effective” (p. 310). Recognizing the controversies in this field, Eagly and Carli (2003) reviewed meta-analyses of the research on leadership and gender, often examining the use of transforma- tional and transactional leadership, and con- cluded that “on the average, contemporary female managers manifest a small advantage in leadership style but can face disadvantage from prejudicial evaluation of their competence as leaders, especially in male-dominated leadership roles” (pp. 851–852).

In social work, Austin (1995) has summarized challenges in advancing women and people from diverse backgrounds into management positions. He concluded that both personal strategies, including peer support and career planning, and institutional strategies, including mentoring, management training programs, and explicit organizational policies and initiatives addressing discrimination, will be necessary (pp. 1654–1656). Based on leadership research to date, Yukl (2006) has offered these guidelines: Set an example in appreciating diversity; encourage respect for individual differences; promote an understand- ing of different values, beliefs, and traditions; explain the benefits of diversity for the organiza- tion; encourage and support those who promote tolerance of diversity; address stereotypes and biased beliefs or role expectations for women and “minorities”; and take disciplinary action as needed to stop discrimination or harassment (p. 436).

Ethics Issues in Leadership

The importance of personal values as a com- ponent of leadership is part of several of the models of leadership discussed here. While val- ues represent concepts or principles that are con- sidered to be valuable or important, ethics include behavioral guidelines for operationaliz- ing values. The leader’s role in developing and encouraging the use of shared values in the orga- nization is worth special emphasis. According to Gill (2006), “creating a sense of shared core val- ues that support the organization’s vision, mis- sion and strategies requires their integration into every policy, procedure and process concerning employees: recruitment and selection, perfor- mance and management appraisal, training and development, promotion and rewards” (p. 152). A homeless shelter used a process to develop shared organizational values (Packard, 2001), which were built into organizational processes, as Gill suggested. Organizational culture, discussed above, is a useful medium through which to share and disseminate organizational values.

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However, actually changing and institutionaliz- ing organizational values, a deep aspect of cul- ture, requires ongoing, concerted leadership over a period of years.

Manning (2003) has asserted that culture is the “context for ethics” in an organization (p. 197), and that leaders must develop an “ethi- cal framework,” which includes the agency’s mis- sion, values statement, and ethical code, to guide staff (p. 221). She sees leaders as “architects” of organizational structures and processes that “enhance and promote a moral vision and ethical action,” concluding that “the essence of ethical leadership is enacting professional values through every decision and action—values that contribute to the common good” (p. 264). The articulation and promotion of organizational values and ethical standards is thus a core aspect of leadership. Leaders can use models of trans- formational, exemplary, and servant-leadership in their daily behavior and in the ongoing main- tenance of an ethical organizational culture.

Summary and Conclusions

Anyone reviewing the overwhelming amount of theory, research, and practice wisdom in this field may end up being confused about ultimate practice implications. At the risk of oversimplifi- cation, the following summary of principles for leadership to enhance organizational perfor- mance in the human services will be offered.

First, commit yourself to a career-long process of self-awareness, discovery, and learning. Work to “discover your strengths” (Buckingham & Clifton, 2001) and build upon them, discover and fix any fatal flaws in your skills and style, and look for the best fit between yourself and work situations. Use an individual development plan and engage in continuous learning. This should include taking advantage of leadership training and development opportunities (Day, 2001; Hernez-Broome & Hughes, 2004; McCauley & Van Velsor, 2004) and remaining current with relevant research.

Regarding leader traits, higher levels of intel- lectual, emotional, and social intelligence will enhance prospects for success as a leader, as will high energy, tolerance for stress, self-confidence, an internal locus of control, self regulation, sys- tems thinking, and emotional stability and matu- rity. Include these factors in your own leadership development as possible and appropriate. Ground your leader behavior in your values, principles, and ethical standards, and demon- strate and articulate these in your work. Integrity, trust, and honesty are especially important.

While individual leaders may have a natural set of strengths or preferences in terms of skills such as task, relationship, and change behaviors, it will help to broaden your style range and develop assessment skills that will enable you to use the appropriate mix of behaviors for particu- lar followers and situations. Remember that a concern for both people and results is important.

Assess individual followers in terms of their strengths, needs, and visions, and work to enable them to see how their goals can be accomplished by working toward organizational goals. Put them in situations that facilitate this. Set chal- lenging goals and high standards, and demon- strate confidence that these can be attained, providing support and development as needed.

As appropriate, use current theories and mod- els including transformational, transactional, exemplary, visionary, and servant-leadership. These include the “four I’s” of transformational leadership (idealized influence, inspirational motivation, intellectual stimulation, and individ- ualized consideration) and factors identified by Kouzes and Posner (2002), including honesty and competence, summarized as “Do what you say you will do.” Use personal and organizational visions to provide focus and energy in the pursuit of organizational goals. Address the larger con- text through strategic leadership, including not only strategic planning, thinking, and managing, but also the design of effective organizational cultures, structures, and processes.

Leadership opportunities in an organization are nearly constant, ranging from individual

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supervision and staff meetings to the oversight and improvement of management and program processes and organizational culture. Additionally, organizational change and organizational learning will be necessary to regularly improve client ser- vices and organizational effectiveness. Leaders also need to ensure alignment among organizational processes, including strategy, culture, manage- ment systems, programs, and required resources.

Effective leadership is likely to be even more essential in the future to facilitate the growth and adaptation of human services organizations in the constant challenge to improve performance. This will require not only individual leadership development, but also greater attention to teach- ing leadership in schools of social work and to others preparing human services managers. Finally, as was noted above, there is not extensive coverage of leadership in the human services lit- erature. This warrants more study in its own right, and perhaps more important, as a variable in broader research focusing on factors that affect organizational performance.

Note

1. Some of this section has been adapted from

Packard (2004, pp. 152–155).

Internet Sites

The Leader to Leader Institute: http://leader toleader.org/

The Center for Creative Leadership: http://www .ccl.org/leadership/index.aspx

The Greenleaf Center for Servant-Leadership: http://www.greenleaf.org/

Being First, Inc.: http://www.beingfirst.com/

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164——MANAGING FOR PERFORMANCE

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