Leadership Role Essay

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A s has been pointed out before, strategic planning is not a substitute for effective leadership. There is no substitute for effective leadership (and committed followership) when it comes to planning and implementation.

Instead, strategic planning is simply a set of concepts, procedures, and tools designed to help executives, managers, and others to think, act, and learn strategically on behalf of their organizations and their organizations ’ stakehold- ers. At its best, strategic planning and strategic management help leaders pursue virtuous ends in desirable ways so that signifi cant public value is created and the common good is advanced. At its worst, strategic planning drives out strategic thought, action, and learning; makes it more diffi cult for everyone to do their job; and keeps organizations from meeting their mandates, fulfi lling their missions, and creating public value. Whether strategic planning helps or hurts depends on how formal and informal leaders and followers at all organizational levels use it — or misuse it.

In each of the cases detailed in this book, executives, managers, and others had the ability to think, act, and learn strategically. They used strategic plan- ning to tap this ability, canvass diverse views, build coalitions and commit- ment, and identify and address key organizational issues in order to enhance organizational performance in the eyes of key stakeholders. They used strategic planning to help their organizations proceed with some certainty amid plenty of ambiguity, unpredictability, and complexity. Without inclusive, collaborative

Leaders perform political, spiritual, and intellectual functions as well as managerial and group - maintenance tasks. These range from providing vision and strategies for change, to mobilizing a constituency, to facilitating

group decisions or creating coalitions. — Charlotte Bunch, Passionate Politics

CHAPTER ELEVEN

Leadership Roles in Making Strategic Planning Work Barbara C. Crosby and John M. Bryson

Bryson, John M.. Strategic Planning for Public and Nonprofit Organizations : A Guide to Strengthening and Sustaining Organizational Achievement, John Wiley & Sons, Incorporated, 2011. ProQuest Ebook Central, http://ebookcentral.proquest.com/lib/apus/detail.action?docID=697485. Created from apus on 2017-12-22 22:31:13.

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Exhibit 11.1. The Leadership and Management Strategy of the Belfast Health and Social Care Trust.

The strategy is contained in a visually appealing document that outlines requirements of leaders and managers as well as the Trust ’ s commitment to leadership and management development (Belfast Health and Social Care Trust, 2009 ). Elements of the strategy are very directly linked to the strategic objectives articulated in The Belfast Way (Belfast Health and Social Care Trust, 2008a ):

• Safety and quality

• Modernization

• Partnerships

• People

• Resources

In her introduction to the leadership and management strategy docu- ment, the Trust ’ s human resources director Marie Mallon emphasizes, “ This is not just a strategy for those in the most senior posts within the

leadership focused on both content and process concerns, strategic planning simply would not have happened.

So what is leadership? We defi ne it as “ the inspiration and mobilization of others to undertake collective action in pursuit of the common good ” (Crosby & Bryson, 2005 , p. xix). This defi nition suggests that leadership and leaders are not the same thing. Effective leadership in public and nonprofi t organiza- tions and communities is a collective enterprise involving many people playing different leader and follower roles at different times, as the opening quotation from Charlotte Bunch emphasizes. Often the word leader is applied to individu- als in formal, and top, positions of authority — for example, CEO, board chair, senior manager, president, executive director — within an organization. We apply the term to people who use both formal and informal authority, as well as other assets, to help achieve worthy outcomes and contribute to societal well - being. Indeed, the same people will be leaders and followers at different times over the course of a strategy change cycle. This view harmonizes with the Belfast Health and Social Care Trust ’ s Leadership and Management Strategy intended to help implement the Trust ’ s vision of success that was discussed in Chapter Eight (see Exhibit 11.1 ).

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The following interconnected leadership tasks are important if strategic planning and implementation are to be effective:

• Understanding the context

• Understanding the people involved, including oneself

• Sponsoring the process

• Championing the process

• Facilitating the process

• Fostering collective leadership

Trust, but is a plan which has relevance for all of our community of leaders as well as those who aspire to obtain managerial posts ” (Belfast Health and Social Care Trust, 2009 , p. 3).

The strategy was developed through extensive internal consultation and a literature review. Distinguishing between leadership and manage- ment behaviors and emphasizing the importance of both, it offers the following defi nition: “ Leadership is an interpersonal relationship and process of infl uencing, by employing specifi c behaviors and strategies, the activities of an individual or organized group towards goal setting and goal achievement in specifi c situations. Management, in contrast, refers to the coordination and integration of resources through planning, organizing, directing and controlling to accomplish specifi c work - related goals and objectives ” (p. 8).

The underlying philosophy is that some people in the organization have management responsibilities by virtue of their job titles, but every- one can lead in his or her sphere of infl uence or knowledge domain. Indeed, the document declares that “ every member of staff can and should be a leader and demonstrate leadership qualities ” (p. 10).

The document includes specifi c plans for providing leaders and aspir- ing managers a range of development opportunities and declares: “ Leadership and management development must be a priority activity to which all leaders/managers will be expected to commit suffi cient time and effort concentrating on developing their own talents and those of other leaders/managers. Senior leaders/managers must lead by example to demonstrate their commitment to lifelong learning and development ” (p. 12).

Finally, the document includes a plan for assessing the strategy ’ s effectiveness and promises a full review in 2013.

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• Using dialogue and deliberation to create a meaningful process, clarify mandates, articulate mission, identify strategic issues, develop effective strategies, and possibly develop a vision of success

• Making and implementing policy decisions

• Enforcing rules, settling disputes, and managing residual confl icts

• Putting it all together and preparing for ongoing strategic change

UNDERSTANDING THE CONTEXT

Leaders should help constituents view their organization and organizational change in the context of relevant social, political, economic, technological, and ecological systems and trends. They should take a long view backward over the organization ’ s history and even its prehistory in order to help people in the organization think more wisely about the future. At the same time, they must avoid being captured by that history (Burns, 1978 ). They must see history as the interplay of continuity, or stability, and change, and recognize how best to balance these forces in a given context. They will need insight about how today ’ s major global developments — such as the global marketplace, the infor- mation revolution, climate change, the push for democratization and human rights, and attention to multiculturalism — affect their organizations (Lipman - Blumen, 1996 ; Rifkin, 2000 ; Friedman, 2000, 2007 ; Cleveland, 2002 ; Hawken, 2007 ). They also must have an intimate knowledge of their organizations in order to make sense of the organizations in relation to the broader context (Mintzberg, Ahlstrand, & Lampel, 2009 ).

Leaders ’ understanding of the external and internal context of their organi- zations is important for recognizing emergent strategies, understanding how strategic planning might help their organizations, tailoring the process to the organizations ’ circumstances, negotiating the initial agreement, framing issues effectively, developing viable strategies for addressing them, and getting those strategies adopted and implemented. The leaders in each of our three cases were very attentive to their organization ’ s internal and external contexts, their historical roots, and the possibilities for change presented by the context.

External and internal organizational assessments, stakeholder analyses, and special studies all are designed to attune strategic planning participants to important specifi cs of the context within which the organization exists. Those explorations typically occur after the process has started. Leaders also need some understanding of the context before the process begins — in order to know when the time is right to initiate strategic planning, how to organize it, and how to promote it. When an organization is beset by an immediate crisis or severe internal confl icts, immediate actions — for example, responding to an

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opportunity, curtailing a service, or reassigning people — may be needed. If the organization ’ s internal culture has strong currents of unfair treatment and disrespect, leaders may need to take immediate steps to establish a more pro- cedurally and interpersonally just workplace (Page, Eden, & Ackermann, 2010 ). At the same time, crisis and confl ict may help leaders make the case that strategic planning is urgently needed if the organization is to thrive because of its participatory nature, future orientation, and focus on the common good. Leaders can stay attuned to the organization ’ s external and internal environ- ment through personal contacts and observation, attention to diverse media, continuing education, use of the organization ’ s monitoring systems, and refl ec- tion. Leaders at the top of an organization or organizational unit should ensure that accurate information is fl owing upward from frontline experts who typically know important things about the environment that top managers do not.

Leaders should be especially attentive to the possibilities for rather dramatic strategic change. Pressures and opportunities for signifi cant change can come from the political context (for example, a change of government), social context (for example, a demographic shift), economic context (for example, loss of a funding stream), technological context (for example, opportunities and threats embedded in the Internet), or ecological context (for example, a natural or man - made disaster). Additionally, major shifts within the organization — for example, an anticipated wave of retirements — can signal the need for rethink- ing. Organizational strategies typically remain stable over reasonably long periods, and then can suddenly change all at once in response to cumulative changes in their environments (Gersick, 1991 ; Baumgartner & Jones, 2009 ; Kingdon, 2002 ; Mintzberg, Ahlstrand, & Lampel, 2009 ). Leaders should be in touch with the possibilities for signifi cant change in order to know whether strategic planning should be used to help formulate major intended strategy changes — typically through raising the visibility and priority of particular strat- egies already present in nascent form — or whether it will be primarily a tool to program improvements in stable strategies. Without some intuitive sense of whether big or small changes are in the cards, strategic planning could be used quite inappropriately; hopes for big changes may be raised when they are not possible, or time may be wasted in programming strategies when drastic change is needed.

Understanding the People Involved, Including Oneself Understanding oneself and others is particularly important for developing the strength of character and insight that invigorates leadership and increases the chances that strategic planning and implementation will help the organization. Leaders should seek to understand the strengths and weaknesses of the people who are or should be involved in strategic planning and implementation,

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including themselves. Perhaps the most important strength is a passion for fulfi lling the organization ’ s mission and contributing to the well - being of mul- tiple stakeholders. Yet this strength must be coupled with a degree of humility and open - mindedness if a leader is to avoid the descent into self - righteousness and rigidity (Crosby & Bryson, 2005 ; Delbecq, 2006 ). In the case of the Loft, leaders such as Jocelyn Hale, Stephen Wilbers, Nancy Gaschott, and Linda Myers all cared deeply about the development of writers and creative writing and had a powerful sense of stewardship for their organization. Randall Johnson (MetroGIS coordinator), Richard Johnson (deputy regional adminis- trator), Victoria Reinhardt (Ramsey County commissioner), and Randy Johnson (Hennepin County commissioner) all had a long - standing commitment to public service and believed that geographic information technology could make a vital contribution to more effective governance; Randall Johnson, in particu- lar, had a burning desire to build a better data system to serve his region. At the Park Board, Jennifer Ringold and colleagues were sincerely devoted to sustaining a prized urban park system and citizen engagement in the board ’ s planning process.

In addition to passion tempered by humility and open - mindedness, personal strengths include professional or technical competencies, interpersonal skills and networks, and a feel for complexity — that is, the ability to view the orga- nization from multiple perspectives and choose from a repertoire of appropriate behaviors (Cleveland, 2002 ; Bolman & Deal, 2008 ). In strategic planning, the personal qualities of moral integrity, self - effi cacy, compassion, and courage are especially important in helping participants develop the trust and determina- tion to take risks, explore diffi cult issues and new strategies, and pursue what might be unpopular causes. Additional personal leadership assets include a sense of humor, awareness of one ’ s habitual ways of learning and interacting with people, commitment to continual learning, power and authority, sup- portive personal networks, ability to balance competing demands, and aware- ness of how leadership is affected by one ’ s location in major social hierarchies (based on race/ethnicity, class, gender, age, religion, physical ability, and the like). Of these, a sense of humor, supportive networks, and balance may be especially important for the persistence and resilience needed to cope with the often protracted ups and downs of a strategic planning effort. Leaders should remember that understanding and marshaling personal assets is perhaps the most powerful instrument of all (Lipman - Blumen, 1996 ).

Helpful approaches to understanding oneself and others range from formal assessments in leadership development programs, to deep study and refl ection, to informal storytelling. Feedback from others, especially skilled coaches and mentors, is often highly useful. The process of understanding oneself and others can be used to establish personal development plans, choose team members, and gear messages and processes to different styles of learning and interacting.

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Effective strategic thinking, acting, and learning seem to depend a great deal on intuition, creativity, and pattern recognition, none of which can be pro- grammed, although they may be recognized, facilitated, and encouraged (Gardner, 2009 ; Mintzberg, Ahlstrand, & Lampel, 2009 ). Thus, fi nding people who are effective strategists is not an exact science; gathering information about potential leaders from a variety of sources and betting on the basis of past performance may be the most reliable approach.

SPONSORING THE PROCESS

Process sponsors typically are top positional leaders. They have enough pres- tige, power, and authority to commit the organization to undertaking strategic planning and to hold people accountable for doing so. Sponsors are not neces- sarily involved in the day - to - day details of making strategic planning work — the champions do that — but they do set the stage for success and pay careful attention to the progress of the process. They have a vested interested in a successful outcome and do what they can to make sure it happens. They also typically are important sources of knowledge about key strategic issues and effective strategies for addressing them. The information they have about the organization and its environment is invaluable. They also are likely to be especially knowledgeable about how to fi t the process to key decision points, so that strategic planning dialogue and discussion can inform decisions in the relevant arenas. As Kelman (2005) points out, when organizations are under pressure to change, some people within the organization may already be dis- contented with the status quo and thinking strategically about needed changes, but these latent supporters for strategic planning may only be activated when a powerful sponsor endorses the change process.

In the Loft case, Linda Myers and the executive committee of the board engaged the organization in the strategic planning process in order to help the organization carry out its mission in the digital age. In the MetroGIS case, Richard Johnson in his position as Metropolitan Council deputy administrator provided legitimacy, political protection, and funding to help launch and sustain the development of the GIS network. Victoria Reinhardt and Randy Johnson ensured that county commissioners ’ perspectives were represented in the process and that the process was legitimate in commissioners ’ eyes. At the Minneapolis Park Board, Superintendent Jon Gurban authorized the strategic planning process and promoted Jennifer Ringold to oversee it.

Leaders interested in sponsoring a strategic planning process should con- sider the following guidelines:

1. Articulate the purpose and importance of the strategic planning effort. Many participants will need some convincing about why the

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organization should undertake a strategic planning effort. Leaders can start by outlining their views of the organization ’ s past, present, and future. They should invoke powerful organizational symbols as they link the strategic planning effort to the organization ’ s mission and values and to the best aspects of the organization ’ s culture (Schein, 2010 ; Bolman & Deal, 2008 ). They also can highlight core organizational competencies, key changes in the environment, signifi cant strategic issues that the organization faces or will face, the importance of creating public value, possible actions the organization will need to consider, and the likely consequences of failure to engage in strategic planning. Based on this sketch, leaders should outline in general how they want the organization to engage in strategic planning and what they hope the outcomes and benefi ts of doing so will be. These leaders will demonstrate a concern for the content, process, and outcomes of strategic planning. Emphasizing the importance and potential payoffs of the strategic planning effort is vital at the outset, but also at points along the way, when participants ’ enthusiasm is dwindling and their spirits need to be raised and their energies restored.

2. Commit necessary resources — time, money, energy, legitimacy — to the effort. A crucial way of making the process real is through allocating resources to it. Nothing will demonstrate leaders ’ seriousness (or lack of it) about strategic planning more than that.

3. Emphasize at the beginning and at critical points that action and change will result. This is another crucial way of making the process real for participants and getting them to take it seriously. If they see that strategic planning has real consequences, they will invest the necessary effort in the process.

4. Encourage and reward creative thinking, constructive debate, and multiple sources of input and insight. Sponsors should emphasize the importance of creativity, constructive debate, and the value of strategically signifi cant ideas no matter what their origin. They should identify the people who are ready to change, authorize champions, and reward those who supply creative ideas. Otherwise, the leaders will be viewed as hypocrites, and important sources of energy and new ideas and information will be cut off. The reward for creative participation is often simply evidence that a wide range of stake- holders ’ contributions are included in the strategic plan. In the Loft case, for example, the plan approved by the board of directors clearly built on the conclusions of the six task forces that focused on specifi c issue areas; the task forces and their membership were listed on the fi nal page of the plan.

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Encouraging constructive debate and deliberation also means anticipating where confl icts might develop and thinking about how those confl icts might be addressed productively. In particular, leaders must think about which confl icts can be addressed within the existing rules of the game and which can be managed effectively only if the rules of the game are changed. For example, in the case of MetroGIS, sponsors needed to convince county commissioners to change the rules that permitted each county ’ s staff to set prices for sharing local data with other governments.

In an organization in which past strategic planning efforts have failed, coleaders and followers are likely to require signals from sponsors that this time will be different. Especially if people contributed their time and ideas to previous processes only to see no real effect, they will need assurances that the new process will be not only be participatory but will produce outcomes that refl ect their efforts.

5. Be aware of the possible need for outside consultants. Outside consultants may be needed to help design the process, facilitate aspects of it, do various studies, or perform other tasks. It is a sign of strength to ask for help when you need it. Enough money must be budgeted to pay for any consultants you may need.

6. Be willing to exercise power and authority to keep the process on track. Strategic planning is inherently prone to break down (Bryson & Roering, 1988, 1989 ). For one thing, effective strategic planning is a nonroutine kind of activity and, as March and Simon ( 1958 , p. 185) have pointed out, there is a sort of “ Gresham ’ s Law of Planning ” at work in organizations: “ Daily routine drives out planning. ” Sponsors use their authority to provide continuous support for change to the point that enough momentum is built that important tipping points are passed and desired changes take on a life of their own and become a part of the organization ’ s culture (Kelman, 2005 ).

Another danger with strategic planning is that people are likely to fi ght or fl ee whenever they are asked to deal with tough issues or failing strategies, serious confl icts, or signifi cant changes. Sponsors have a key role to play in keeping the process going through the diffi cult patches; they can provide a holding environment (Heifetz, Grashow, & Linsky, 2009 ) that provides a measure of safety for participants as they are encouraged to face unpleasant challenges or dilemmas. How these diffi culties are handled will say a lot about the leaders ’ and participants ’ characters. As Csikszentmihalyi ( 1990 , p. 24) points out, “ The ability to persevere despite obstacles and setbacks is the

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quality people most admire in others, and justly so; it is probably the most important trait not only for succeeding in life, but for enjoying it as well. ” In the case of the Loft, for example, the board was surprised partway through the strategic planning process when Myers announced her plan to retire in a few months. Board members discussed the possibility of altering or halting the planning process, but decided that proceeding with the plan was the best way to ensure a successful transition to a new executive director. Thus, challenges are an opportunity to demonstrate courage, forge strong characters, and end up with a more effective organization to boot (Selznick, 1957 ; Terry, 1993 ). Wise dispute resolution and confl ict management strategies are called for, but they also may need to be backed up by suffi cient power and authority to make them work well.

CHAMPIONING THE PROCESS

The champions are the people who have primary responsibility for managing the strategic planning process day to day. They are the ones who keep track of progress and also pay attention to all the details. They model the kind of behav- ior they hope to get from other participants: reasoned, diligent, committed, enthusiastic, and good - spirited pursuit of the common good. They are the cheerleaders who, along with the sponsors, keep the process on track and push, encourage, and cajole the strategic planning team and other key participants through any diffi cult spots. Champions, especially, need the interpersonal skills and feel for complexity noted earlier. Sometimes, it is they who actually see the need for strategic planning and must convince sponsors to endorse the process. Sometimes the sponsors and champions are the same people, but usually they are not. In the Loft case, Jocelyn Hale and Stephen Wilbers were sponsors (as members of the board ’ s executive committee) who joined staff director Nancy Gaschott as champions of the process. In organizing MetroGIS, Randall Johnson persisted in championing strategic planning and implementa- tion over fi fteen years. At the Minneapolis Park Board, Jennifer Ringold managed a complex two - year process, including staff teams, town meetings, community surveys, focus groups, and community leader workshops.

Champions should keep the following guidelines in mind:

1. Keep strategic planning high on people ’ s agendas. Daily routine easily can drive out attention to strategic planning. Blocking out time in people ’ s calendars is one way to gather participants together and focus their attention. Another is calling on sponsors to periodically emphasize the importance of the process. Yet another is to publish updates on the process in special memoranda or regular newsletters.

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One more way is to circulate think pieces, special reports, relevant CDs, podcasts, and Web sites that encourage strategic thought and action. By whatever means, people will need to be reminded and shown on a regular basis that something good will come from getting together to talk about what is important and then doing something about it.

2. Attend to the process without promoting specifi c solutions. Champions are far more likely to gain people ’ s participation and constructive involvement if they are seen more as advocates for the process rather than for specifi c solutions. If the champions are seen as committed partisans of specifi c solutions, then other participants may boycott or torpedo the process rather than seek to fi nd mutually agreeable strategies to address key issues.

3. Think about what has to come together (people, tasks, information, reports) at or before key decision points. When it comes to strategy formulation and strategic planning, time is not linear; instead, it involves important junctures. The best champions think like theatre directors, orchestrators, choreographers, or playwrights. They think about stage setting, themes, acts and scenes, actors and audiences, and how to get the right people with the right information on stage at the right time — and then get them off the stage.

4. Organize time, space, materials, and participation needed for the process to succeed. Without attention to the details of the process, its benefi ts simply will not be achieved. The trivialities of the process matter a great deal — in fact, they are not trivial at all (Huxham, 1990 ). Effective champions and their assistants arrange the retreats, book the rooms, make sure any necessary supplies and equipment are handy, send out the meeting notices, distribute the briefi ng papers and minutes, maintain relevant social networking and collaborative working Web sites, oversee the production details of draft and fi nal plans, and keep track of the work program.

5. Pay attention to the language used to describe strategic planning and implementation. One function of strategic planning is to provide a vocabulary and format that allows people to share views and deliberate about what is fundamental for the organization (Mintzberg, 1994 , p. 352). At various points in the process, therefore, participants are likely to wonder about the meaning of particular planning concepts and how they relate to substantive matters of concern. An introduction to strategic planning, often in a retreat setting, is typically a useful way to begin developing a common vocabulary of concepts with which to organize efforts to plan strategically. As the

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process proceeds further, at various points the discussion will almost invariably focus anew on the meaning of planning concepts (mission, vision, goals, issues, strategies) and how they relate to the subjects of group discussion and specifi c products of group work. Champions should be prepared to discuss similarities and differences among various concepts and how they do or do not relate to substantive concerns, products, and outcomes. The specifi c vocabulary a group uses to label things does not matter as much as development of a shared understanding of what things mean.

6. Keep rallying participants and pushing the process along. Successful strategic planning processes can vary from a few weeks or months to two or more years (Bryson & Roering, 1988, 1989 ). Some processes must fail one or more times before they succeed. Some never succeed. Champions should keep the faith and push until the process does succeed, or until it is clear that it will fail and there is no point in continuing. At the same time, it is important to remember that strategic planning is likely to feel like a failure in the middle, as Kanter (1983, 1989) has said of innovations. Champions keep pushing to help the strategic planning team and organization move through the failure stage toward success. Rallying the troops will be easier if they can show some early wins and continued small (and occasion- ally big) wins along the way (Weick, 1984 ; Kelman, 2005 ). Remember a point made earlier that strategic action does not have to, and usually should not, wait until the strategic planning process is complete.

7. Develop champions throughout the organization. A champion - in - chief may oversee the entire strategic planning process, but he or she should seek out champions throughout the organization (collaboration, community) to oversee parts of the process — for example, by chairing task forces or working groups. Otherwise, the central champion can be in danger of burning out, and in the position of having no one else to take over if he or she has to drop out of the process. Having multiple champions is especially important when the planning is in multior- ganizational or community settings (Bardach, 1998 ; Huxham & Vangen, 2005 ).

8. Be sensitive to power differences. Differences in status, authority, and access to resources are likely to be pronounced in more hierarchical organizations and within inclusive collaborations like MetroGIS. In the cases of MetroGIS and the Minneapolis Park Board, the champions were mindful that elected offi cials would determine the fate of their plans, but they also used inclusive structures — such as the MetroGIS

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Coordinating Committee and Technical Advisory Group and the Park Board staff teams — along with community engagement methods to balance the power of the offi cials. They made special efforts to engage groups of people who might not readily respond to surveys or attend town meetings.

FACILITATING THE PROCESS

Process facilitators are often helpful in moving a strategic planning process along because of their group process skills, the attention they can give to structuring and managing group interactions, and the likelihood that they have no stake in the substantive outcomes of the process, particularly if they are outsiders (Schwarz, 2002 ; Chrislip, 2002 ). The presence of a facilitator means that champions can be free to participate in substantive discussions without having to worry too much about managing group process. A skilled facilitator also can help build trust, interpersonal skills, and confl ict management ability in a group. Building trust is important because the members of a strategic planning team often come from various parts of the organization and have never worked together before, let alone on fundamental strategic questions facing the organization.

Skilled facilitation usually depends on the establishment of a successful partnership among facilitators, sponsors, and champions. To do their work well, facilitators must learn a great deal very quickly about the organization, its politics, issues, culture, and secrets. They must quickly gain the trust of the sponsors and champions, learn the lay of the land, and demonstrate their ability to further the strategic planning effort. Their efforts will be thwarted, however, unless the sponsors and champions commit themselves to working closely with the facilitators. The sponsors, champions, and facilitators usually form the core group that moves the process forward with the help of the stra- tegic planning team that is a part of most planning efforts (Schwarz, 2002 ; Friend & Hickling, 2005 )

Facilitators should come to any process with a well - developed set of group process skills (Schwarz, 2002 ; Johnson & Johnson, 2008 ), along with skills especially applicable to strategic planning for public and nonprofi t organiza- tions (Nutt & Backoff, 1992 ; Friend & Hickling, 2005 ). The initiators of a complex strategic planning process may wish to provide facilitator training for some staff and community participants so that (1) the facilitation tasks can be widely shared and (2) the organization or community will have numerous members with valuable group process skills. The Park Board used its pro- cess as an important opportunity to build its staff ’ s strategic planning process facilitation skills.

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Strategic planning facilitators should consider following these guidelines:

1. Know the strategic planning process and explain how it works at the beginning and at many points along the way. Participants often will be experiencing a new or different process at the same time that they work on issues of real importance to the organization. Thus partici- pants can easily get lost. Facilitators play a key role in explaining to participants where they are, where they can head, and how they might get there.

2. Tailor the process to the organization and the groups involved. Planning processes must be fi t to the unique circumstances in which organizations (collaborations, communities) and groups fi nd them- selves (Christensen, 1999 ; Alexander, 2000 ). Facilitators, along with sponsors and champions, are the ones who are in the best position to design the process so that it fi ts the organization, its circumstances, and the participants. Facilitators must pay careful attention to both the tasks of strategic planning and the socioemo tional maintenance of the groups and teams involved in the process. Both content and process dimensions are crucial to effective group functioning and, indeed, are the basic elements of effective team leadership (Johnson & Johnson, 2008 ).

3. Convey a sense of humor and enthusiasm for the process and help groups get unstuck. Sponsors and champions can express humor and enthusiasm for the process, but not the same way that a facilitator can. Strategic planning can be alternately tension ridden and tedious. Good facilitators can help manage the tensions and relieve the tedium. Facilitators also can help groups confront the diffi culties that arise over the course of a strategic planning process. By helping groups reframe their situations imaginatively, invent new options, channel confl ict constructively, and tap hidden sources of courage, hope, and optimism, facilitators can provide or fi nd important resources to help groups move forward (Terry, 1993 ; Seligman, 1998 ; Schwarz, 2002 ; Bolman & Deal, 2008 ; Innes & Booher, 2010 ).

4. Ensure that participants rather than the facilitators are doing the work. Skilled facilitators give participants many chances to interact in small groups, to produce idea - covered fl ip chart sheets and walls, stakeholder diagrams, strategy maps, reports, and presentations.

5. Press groups toward action and the assignment of responsibility for specifi c actions. Part of keeping the process moving is to make sure that participants engage in timely action. If the whole process is

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devoted entirely to thinking and strategizing, without taking action, people will quickly quit participating. Facilitators should emphasize that not all of the thinking has to take place before any of the acting can occur. Further, much effective learning only occurs in the aftermath of action. Whenever useful and wise actions become apparent — as a result of attention to mission and mandates, stakeholder analyses, SWOC/T analyses, strategic issue identifi cation, and various strategizing efforts — they should be taken, as long as they do not jeopardize possible choices that decision makers might want to make in the future. There are limits to thinking things out in advance. Often people can only know what they think by acting fi rst, and often important strategies can only emerge by taking small steps and using adaptive learning to fi gure things out as one goes along (Weick, 1995 ; Mintzberg, Ahlstrand, & Lampel, 2009 ). Huxham and Vangen (2005) point out that especially in multiorganization collaborations, participants may need to jointly undertake some small steps in order to build the trust and sense of shared purpose that are necessary for the collaboration to function effectively.

Pushing people toward action does raise the danger of inducing premature closure. People may act on what is immediately at hand without thinking creatively about other options, or simply waiting until the time is right. A good facilitator will have a well - developed intuitive sense about when to push for action and when to hold back. He or she will also be good at probing people and groups about the merits of options and the advisability of taking specifi c actions.

6. Congratulate people whenever possible. In our experience, most people in most organizations suffer from chronic — and sometimes acute — positive reinforcement deprivation. Yet people respond very favorably to kind words and praise from people who are important to them. Indeed, many excellently managed organizations are known for the praise and emotional support they provide their employees (Collins & Porras, 1997 ; Kouzes & Posner, 2008 ). Facilitators are in an excellent position to congratulate people and say good things about them in a genuine and natural way.

FOSTERING COLLECTIVE LEADERSHIP (AND FOLLOWERSHIP)

When strategic planning is successful for public organizations it is a collective achievement. Many people contribute to its success, sometimes by leading, other times by following. Collective leadership may be fostered through the following approaches:

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1. Rely on teams. The team is the basic vehicle for furthering strategic planning. Champions, in particular, will fi nd that much of their time will be focused on making sure strategic planning teams or task forces perform well and make effective contributions. There are two reasons why teams are so important. The fi rst is that no one person can have all the relevant qualitative or quantitative information, and thus forming a team is one way to increase the information available for strategic planning. The second reason is political. To be viable, strategic planning and strategies will need support at many points throughout the organization and from external stakeholders. A strategic plan and intended strategies will need the support of a critical coalition when they are adopted and during implementation. A wisely constructed strategic planning team or teams can provide the initial basis for such a coalition and team members can do much of the work leading to formation of the necessary coalition. In the case of the Loft, each strategic planning task force was co - led by a staff member and a board member, thus strengthening ties among board and staff and facilitating the formation of a strong board - staff coalition for change.

Team leaders naturally must focus on the accomplishment of team goals or tasks, but they also must attend to individual team members ’ needs and consciously promote group cohesion (Johnson & Johnson, 2008 ). Team leadership balances direction, mentoring, and facilitation so that everyone can make useful contributions. Leaders should help team members:

• Communicate effectively face - to - face and at a distance (including promotion of active listening, dialogue, and other confl ict management methods)

• Balance unity around a shared purpose with diversity of views and skills

• Defi ne team mission, goals, norms, and roles • Establish an atmosphere of trust • Foster group creativity and sound decision making • Obtain necessary resources • Develop leadership and followership competencies • Celebrate achievement and overcome adversity

Although the role of team leaders typically receives attention in books like this one, we also want to highlight follower roles. Active, committed followers play vital roles in keeping leaders in check and on track, contributing knowledge and ideas, promoting change, and carrying out and shaping agreed - upon tasks (Riggio, Chaleff, & Lipman - Blumen, 2008 ).

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2. Focus on network and coalition development. Coalitions basically organize around ideas and interests that allow people to see that they can achieve together what they could not separately. The way issues, goals, or visions — and strategies for achieving them — are framed will structure how stakeholders interpret their interests, how they assess the costs and benefi ts of joining a coalition, and the form and content of winning and losing arguments. Therefore, leaders should use the insights gained from various stakeholder analysis exercises to gain a sense of where stakeholders ’ interests overlap and how issues, goals, visions, and strategies could be framed to draw signifi cant support from key stakeholders. The worldview that public, nonprofi t, and community leaders should seek is one likely to evoke widely shared notions of what constitutes the public interest and the common good (Bryson, Cunningham, & Lokkesmoe, 2002 ; Chrislip, 2002 ; Crosby & Bryson, 2005 ).

A strategic plan ’ s or strategy ’ s political acceptability to key stakeholders is enhanced as the benefi ts of adopting and implemen- ting it increase and the costs of doing so diminish. As Light ( 1991 ) notes in relation to presidential agenda setting, it is primarily the issues with the greatest potential benefi t for key stakeholders that get on the agenda, whereas those that are the least costly for key stakeholders are the ones that receive prime consideration. Moreover, any proposal likely to be adopted and implemented will be a carefully tailored response to specifi c circumstances, rather than an off - the - shelf solution imported from somewhere else (Nadler & Hibino, 1998 ; Kingdon, 2002 ; Nutt, 2002 ). Typically, not every member of a winning coalition will agree on every specifi c aspect of an entire plan or set of strategies, and that is okay.

Leaders should recognize that coalition development depends on following many of the same guidelines that help develop effective teams. In particular, coalitions are probably more likely to be formed if organizers employ strategies for valuing the diversity of coalition members and their various ideas and special gifts. Acquiring the necessary resources is also vital to coalition development, and the coalition itself can become a major source of resources for implemen- ting a strategic planning process. Rewarding and celebrating collective achievements and sharing credit for them broadly are also likely to help (Bardach, 1998 ). The Loft demonstrates the sharing of credit for a successful strategic planning effort; for example, the booklet presenting the plan lists every member of the strategic planning task force team and includes a photograph of all Loft board members and staff.

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In a broader sense, public leaders should work to build a sense of community — that is, a sense of relationship, mutual empowerment, and common purpose — within and beyond their organizations. This is desirable because so many of the problems that public and nonprofi t organizations are called on to address require multi - organizational, or community, responses (Chrislip, 2002 ; Linden, 2002 ). Community may be tied to a place or be what Heifetz and Sinder (1988) and others have called a community of interest , an interorganizational network that often transcends geographic and political boundaries and is designed to address transorganizational problems, Leaders contribute to community building by facilitating communal defi nition and resolution of issues, fostering democratic leader - follower relations (Boyte & Kari, 1996 ; Boyte, 2004, 2008 ), providing resources, and using their knowledge of group process to help people work together. Most important, as Palmer ( 2000 , p. 138) suggests, leaders build community by “ making space for other people to act. ”

3. Make leadership and followership development an explicit strategy. Many organizations invest in leadership development, but may not directly tie leadership development to the organization ’ s strategic change processes. One that does is the Belfast Health and Social Care Trust through its Leadership and Management Strategy (see Exhibit 11.1 ). Community leadership programs such as those conducted by university extension services are often intended to help communities pursue new visions and regenerate themselves (Scheffert, Horntvedt, & Hoelting, 2011 ). We don ’ t know of followership development programs, though suggestions abound (Riggio, Chaleff, & Lipman - Blumen, 2008 ). Some elements of good followership may be included in organizations ’ orientation programs or in citizen engagement processes (Gastil & Levine, 2005 ).

4. Establish specifi c mechanisms for sharing power, responsibility, and accountability. Authority is not usually shared by policymaking bodies or chief executives — and often cannot be by law — but that does not mean power, responsibility, and accountability cannot be shared. Doing so can foster participation, trigger information and resource fl ows, and help build commitment to plans and strategies and their implementation (Linden, 2002 ). The use of strategic planning teams, strategic issue task forces, and implementation teams are typical vehicles for sharing power. Action plans should spread out responsibilities while also establishing clear accountability.

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USING DIALOGUE AND DELIBERATION TO CREATE A MEANINGFUL PROCESS

Creating and communicating meaning is the work of visionary leadership. Sometimes visionary leadership results in a vision of success for the organiza- tion (collaboration or community), but in the present discussion visioning covers a broader range of outcomes; it is meant more as a verb than as a noun. Leaders become visionary when they play a vital role in interpreting current reality (often in light of the past), fostering a collective group mission, articu- lating desirable strategies, and shaping a collective sense of the future (Denhardt, 1993 ; Hunt, Boal, & Dodge, 1999 ; Crosby & Bryson, 2005 ; Senge, 2006 ). Furthermore, visionary leaders must understand important aspects of their own and others ’ internal worlds, and they must also grasp the meaning of related external worlds. As truth tellers and direction givers, they help people make sense of experience, and they offer guidance for coping with the present and the future by helping answer the questions: What ’ s going on here? Where are we heading? What traditions should we preserve? And how will things look when we get there? They frame and shape the perceived context for action, and they manage important stakeholders ’ perceptions of the organiza- tion, its strategies, and their effects (Neustadt, 1990 ; Boal & Schultz, 2007 ; Hill & Lynn, 2009 ). In order to foster change, particularly major change, they become skilled in the following methods of creating and communicating new meanings.

1. Understand the design and use of forums. Forums are the basic settings we humans use to create shared meaning through dialogue and deliberation (Crosby & Bryson, 2005 ). Much of the work of strategic planning takes place in forums, where fairly free - fl owing consideration of ideas and views can take place before proposals are developed for adoption and action in decision - making arenas. The tasks of sponsoring, championing, and facilitating strategic planning are primarily performed in forums. Strategic planning retreats, team meetings, task force meetings, focus groups, strategic planning newsletters and Internet notices, conference calls, e - mail and social networking exchanges, and strategic plans themselves — when used as educational devices — are all examples of the use of forums. These forums can be used to help develop a shared understanding about what the organization is, what is does or should do, and why. All of the three cases featured in this book included diverse, participatory forums for developing and implementing the strategic plan. In the

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MetroGIS case, for example, Randall Johnson and his staff organized numerous discussion forums and intensive strategic planning workshops. Meetings of the technical advisory group, the coordinating committee, policy board, and various working groups were used to hash out the best ways to implement the plan. Reports and a Web site helped solidify the network ’ s developing identity and made progress on the strategic plan highly visible.

2. Seize opportunities to be interpreters and direction givers in areas of uncertainty and diffi culty. Leadership opportunities expand in times of diffi culty, confusion, and crisis, when old approaches clearly are not working, and people are searching for meaningful accounts of what has happened and what can be done about it (Heifetz, 1994 ; Hunt, Boal, & Dodge, 1999 ; Schein, 2010 ; Kouzes & Posner, 2008 ). Focusing on strategic issues or failing strategies therefore provides opportunities for exercising leadership, for inspiring and mobilizing others to fi gure out what might be done to improve the organization ’ s performance in the eyes of key stakeholders. Turning dangers, threats, and crises into manageable challenges is an important task for visionary leaders (Chattopadhyay, Glick, & Huber, 2001 ; Rainey, 2009 ). Doing so not only promotes optimism and resilience, but also is more likely to free up the necessary thinking, resources, and energy to confront the challenges successfully. At the Loft, the explosion in publishing opportunities on the Internet and corresponding effects on traditional print outlets presented considerable ambiguity and concern for Linda Myers and the Loft board. They launched their strategic planning process in part to respond to the effects of the digital revolution. In the case of MetroGIS, Randy Johnson focused on the opportunities that geographic information systems presented for dealing with the mounting frustrations of local planners trying to obtain accurate predictions of population growth, employment, and public service needs. The Park Board undertook strategic planning to take on the uncertainties and diffi culties created by population changes, constricted public budgets, and the need to rebuild its image.

3. Reveal and name real needs and real conditions. New meaning unfolds as leaders encourage people to see the “ real ” situation and its portents. To illuminate “ real ” conditions, leaders may use observation and intuition as well as integrative and systems thinking (Cleveland, 2002 ; Mintzberg, Ahlstrand, & Lampel, 2009 ; Heifetz, Linsky, & Grashow, 2009 ). They formally or informally scan their environment, consider multiple perspectives, and discern the patterns emerging

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from local conditions, or they accept patterns and issues identifi ed by other people, such as pollsters or planners. Simply articulating these patterns publicly and convincingly can be an act of revelation. As the poet Wallace Stevens (1990 [1954], p. 344) notes, “ Description is revelation. It is not/ The thing described, nor false facsimile. ” However, leaders cannot just delineate emerging patterns and issues; they must also explain them (Neustadt, 1990 ). They must relate what they see to their knowledge of societal systems and to people ’ s experience. Going further, leaders alert followers to the need for action by their “ uncovering and exploiting of contradictions in values and between values and practice ” (Burns, 1978 , p. 43).

4. Help co - leaders and followers frame and reframe issues and strate- gies. In revealing and explaining real conditions, leaders are laying the groundwork for framing and reframing issues facing the organiza- tion and strategies for addressing them (Stone, 2002 ; Bolman & Deal, 2008 ). The framing process consists of naming, characterizing, and explaining the issue, opening the door to alternative ways of address- ing it, and suggesting outcomes. The reframing process involves breaking with old ways of viewing an issue or strategy and develop- ing a new appreciation of it (Mangham & Overington, 1987 ; Scharmer, 2009 ). As noted earlier, framing and reframing should be connected to stakeholder views and interests.

5. Offer compelling visions of the future. Leaders convey shared visions through stories rooted in shared history yet focused on the future. These stories link people ’ s experience of the present (cognitions), what they may do about the situation (behaviors), and what they may expect to happen as a result (consequences); in other words, the stories help people grasp desirable and potentially real futures (Boal & Bryson, 1987 ; Boal & Schultz, 2007 ). Effective stories are rich with metaphors that make sense of people ’ s experience, are comprehensive yet open - ended, and impel people toward union or common ground (Gabriel, 2000 ; Terry, 2001 ). Leaders transmit their own belief in their visionary stories through vivid, energetic, optimistic language (Shamir, Arthur, & House, 1994 ; Kouzes & Posner, 2008 ). To be effective, the visions and the symbols they incorporate should be enacted through organizational rituals that honor what is to be preserved from the past, celebrate new activities, and leave behind (and even mourn) what is to be discarded (Bridges, 2004 ; Bolman & Deal, 2008 ).

6. Champion new and improved ideas for dealing with strategic issues. Championing ideas for addressing issues is different from

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championing the process of strategic planning, but is nonetheless important. Astute leaders gather ideas from many sources (Burns, 1978 ; Mintzberg, Ahlstrand, & Lampel, 2009 ). Within organizations and political communities, they foster an atmosphere in which innovative approaches fl ourish (Crossan, Lane, & White, 1999 ; Kouzes & Posner, 2008 ; Mumford, Eubanks, & Murphy, 2007 ). Acting in the mode of Sch ö n ’ s refl ective practitioner (1983), these leaders champion improved ideas, those that have emerged from practice and have been refi ned by critical refl ection, including ethical analysis. In analyzing ideas, leaders keep strategic planning participants focused on the important outcomes they seek (Nutt, 2002 ).

7. Articulate desired actions and expected consequences. Pragmatic visionary leaders ensure that actions and consequences are an integral part of organizational, collaboration, or community visions, missions, and strategies. These naturally will become more detailed as implementations proceed (Mintzberg & Westley, 1992 ) and should include things the organization, collaboration, or community will stop doing. Crises, however, can necessitate reversing this sequence. When old behaviors are not working and disaster is imminent, followers may wish leaders to prescribe new behaviors and may be willing to try those behaviors even before they can develop a clear vision of the outcome for the organization, collaboration, or community as a whole or its specifi c strategies. At some point, though, leaders must link the recommended actions to organizational or communal purposes (Boal & Bryson, 1987 ; Hunt, Boal, & Dodge, 1999 ).

MAKING AND IMPLEMENTING DECISIONS IN ARENAS

Public and nonprofi t leaders are also required to be political leaders — partly because all organizations have their political aspects (Bolman & Deal, 2008 ), and partly because public and nonprofi t organizations are inherently involved in politicized decision making much of the time. The key to success, and the heart of political leadership, is understanding how intergroup power relation- ships shape decision making and implementation outcomes. Particularly important is understanding how to affect outcomes by having some things never come up for a decision. Specifi cally, political leaders must undertake the following responsibilities:

1. Understand the design and use of arenas. Politically astute leaders must be skilled in designing and using formal and informal arenas, the basic settings for making decisions about which policies,

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programs, and projects will be adopted and implemented (Crosby & Bryson, 2005 ). For government organizations, these arenas may be legislative, executive, or administrative. The Park Board ’ s governing board, for example, functions as an arena in setting policies for the park system, yet it also is affected by decisions made in the Minneapolis mayor ’ s offi ce (an executive arena) and in the City Council and the Metropolitan Council (other legislative arenas). It also may have to comply with decisions made by administrative arenas, such as the Minnesota department that promulgates rules about accommodations for citizens with disabilities. For nonprofi t organizations, internal arenas will include the board and management meetings; they too will be affected by a variety of government arenas. Collaborations and communities will be dependent on many relevant arenas. A collaboration may include its own policymaking body — for example, the policy board in the MetroGIS case — but may also depend on decisions by boards of member organizations and be affected by various other government arenas. It is in arenas that the products of forums — such as strategic plans and important aspects of strategies — are adopted as is, altered, or rejected.

A major issue in any strategic planning process is how to sequence the move from planning forums, particularly planning team meetings that include key decision makers, to decision - making arenas. A large fraction of the necessary strategic thinking will occur as part of the dialogue and deliberation in forums. Once viable proposals have been worked out, they can move to arenas for any necessary revisions, adoption, and implementation — or else rejection. At a minimum, managing the transition from forums to arenas depends on fi guring out when key decision points will occur and then designing the planning process to fi t those points in such a way that decisions in arenas can be infl uenced constructively by the work done in forums.

A further issue is how to handle any residual confl icts or disputes that may arise during implementation. Some advance thinking, therefore, is almost always in order about how these residual or subsidiary confl icts might be handled constructively, either in arenas or through the use of formal or informal courts. In the case of MetroGIS, Randy Johnson insisted on having a direct link to the deputy administrator of the Metropolitan Council in order to ensure that recommendations emanating from the strategic planning process had a good chance of endorsement by the Metropolitan Council and its top administrators. By establishing a policy board that would consist of county commissioners, the early collaborators in MetroGIS

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also ensured that recommendations secured county boards ’ endorsement when needed.

2. Mediate and shape confl ict within and among stakeholders. Confl ict, or at least recognizable differences, are necessary if people are to be offered real choices in arenas (Burns, 1978 ; Bryant, 2003 ), and if decision makers are to understand the choices and their conse- quences (Janis, 1989 ). Further, political leaders must possess transactional skills for dealing with followers, other leaders, and various key stakeholders who have confl icting agendas. To forge winning coalitions, they must bargain and negotiate, inventing options for mutual gain so that they can trade things of value that they control for others ’ support (Thompson, 2008 ).

3. Understand the dynamics of political infl uence and how to target resources appropriately. The fi rst requirement for infl uencing political decision making may be knowing whom to infl uence. Who controls the agenda of the relevant decision - making body, which may be a city council, a board of directors, or some other group? Who chairs the group and any relevant committees? The next requirement is knowing how to infl uence. What forms of providing information, lobbying, vote trading, arm twisting, and so on are acceptable? Should change advocates try to alter the composition of the decision - making bodies? Given the available time, energy, and other resources, how might they best be spent (Benveniste, 1989 ; Bryson, 2004b )? Essentially, political leaders manipulate the costs and benefi ts of actions, so supporters are more motivated to act in desired directions and opponents are less motivated to resist.

Leaders can affect outcomes in arenas dramatically by agenda control — infl uencing what items come up for decision in the fi rst place, and which do not, thereby becoming a nondecision in the latter case (Bachrach & Baratz, 1962 ; Crosby & Bryson, 2005 ). Decision outcomes also can be affected by strategic voting in which partici- pants use their knowledge of voting rules and manipulation of their vote resource to steer outcomes in directions they favor. Issue framing — reshaping the way issues are viewed — also can have dramatic effects on how people vote (Riker, 1986 ). For example, in the case of MetroGIS, the advocates of creating cross - region public databases were able to help county commissioners see information about local land parcels in a new way. County offi cials and admini- strators had tended to view the information as a proprietary asset; now they were being persuaded to see it as a resource that could be vastly improved if it were pooled with other counties ’ information and organized with geospatial technology.

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4. Build winning, sustainable coalitions. For strategic planning to be effective, a coalition of support must be built for the process and its outcomes (Bolman & Deal, 2008 ). The coalition in place must be strong enough to adopt intended strategies and to defend them during implementation. Building winning coalitions can be pretty gritty work. As Riker ( 1986 , p. 52) notes, “ Politics is winning and losing, which depend, mostly, on how large and strong one side is relative to the other. The actions of politics consist in making agreements to join people in alliances and coalitions — hardly the stuff to release readers ’ adrenaline as do seductions, quarrels, or chases. ” Finding ideas (visions, goals, strategies) that people can support that further their interests is a large part of the process, but so is making deals in which something is traded in exchange for that support.

5. Avoid bureaucratic imprisonment. Political leaders in government, particularly, may fi nd their ability to make and implement needed decisions severely constrained by the bureaucracies in which they serve. Those bureaucracies usually have intricate institutionalized rules and procedures and entrenched personnel that hamper any kind of change. Leaders committed to change must continually challenge the rules, or else fi nd their way around them. Whenever possible, they should try to win over members of the bureaucracy — for example, by appealing to shared goals (Behn, 1991 ) — or by enlisting insiders distressed by the inhibiting aspects of rules (Kelman, 2005 ). When necessary, they should appeal over the heads of resistant bureaucrats to high - level decision makers or to key external stake- holders (Burns, 1978 ; Kouzes & Posner, 2008 ; Hill & Lynn, 2009 ).

ENFORCING NORMS, SETTLING DISPUTES, AND MANAGING RESIDUAL CONFLICTS

Leaders are always called upon to be ethical, not least when they are han- dling confl ict. Disputes and residual confl icts are likely to arise during the implementation of strategies. The decisions made in arenas are unlikely to cover all of the details and diffi culties that may come up during implementa- tion. These residual or subsidiary confl icts must be handled constructively, either in other arenas or through the use of formal or informal courts, both to address the diffi culty at hand and to reinforce or change important norms governing the organization. The following tasks are vital to exercising ethical leadership.

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1. Understand the design and use of formal and informal courts. Courts operate whenever two actors having a confl ict rely on a third party (leader, manager, facilitator, mediator, arbitrator, judge) to help them address it. Managing confl ict and settling disputes not only take care of the issue at hand, but also reinforce the important societal or organizational norms used to handle it. Leaders must be skilled in the design and use of formal and informal courts, the settings for enforcing ethical principles, constitutions, and laws, and for managing residual confl icts and settling disputes (Crosby & Bryson, 2005 ). Formal courts theoretically provide the ultimate social sanctions for conduct mandated or promoted through formal policymaking arenas, but in practice the informal court of public opinion can be even more powerful. In the MetroGIS case, for example, Randall Johnson and his staff must be sure to honor licensing arrangements that are backed up by formal courts. They also rely on the court of public opinion to sanction the conduct of data suppliers and users. As the Loft promotes increased use of Web - based technologies to foster creative writing, its leaders must worry about breaches of privacy that can lead to formal court action and think about how to use the court of public opinion to sanction misuse of electronic forums.

2. Foster organizational (collaboration, community) integrity and educate others about ethics, constitutions, laws, and norms. In nurturing public organizations, collaborations, and communities that advance the common good, leaders must adopt practices and systems that align collective actions with espoused principles (Frederickson, 1997 ). Such leaders make a public commitment to ethical principles and then manifest them in their own behavior. They involve stakeholders in ethical analysis and decision making, inculcate a sense of personal responsibility in followers, and reward ethical behavior.

3. Apply constitutions, laws, and norms to specifi c cases. Constitutions are usually broad frameworks establishing basic organizational purposes, structures, and procedures. Laws, though much more narrowly drawn, still typically apply to broad classes of people or actions; moreover, they may emerge from the legislative process containing purposeful omissions and generalities that were necessary to obtain enough votes for passage (Posner, 1985 ). Therefore, both constitutions and laws require authoritative interpretation as they are applied to specifi c cases. In the U.S. judicial system, judges, jurors, and attorneys, and even interest groups fi ling amicus curiae briefs, all contribute to that authoritative interpretation. Outside the formal courts, leaders typically must apply norms, rather than laws.

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4. Adapt constitutions, laws, and norms to changing times. Judicial principles endure even as the conditions that prompted them and the people who created them change dramatically. Sometimes public leaders are able to reshape the law to current needs in legislative, executive, or administrative arenas; often, however, as Neely (1981) suggests, leaders must ask formal courts to mandate a change because vested interests that tend to oppose change hold sway over the executive and legislative branches. In other words, sometimes strategic issues involve the need to change the rules for making rules (Hill & Hupe, 2009 ) (see Exhibit 6.1).

5. Resolve confl icts among constitutions, laws, and norms. Ethical leaders working through the courts must fi nd legitimate bases for deciding among confl icting principles. This may mean relying on judicial enforcement, or on reconciliation of constitutions, laws, and norms. Confl ict management and dispute resolution methods typically emphasize the desirability of fi nding principles or norms that all can support as legitimate bases for settling disputes (Fisher & Ury, 1991 ; Thompson, 2008 ). Obviously, these principles and norms should be applied in such a way that the public interest is served and the common good is advanced.

One of the best tests for discerning the public interest or common good is asking whether respect for future generations is implied in an outcome, which, as Lewis and Gilman ( 2005 , p. 47) point out, typi- cally requires an understanding of the context and “ accommodating rather than spurning the important values, principles, and interests at stake. ” Another test is to look for empathy: are public and nonprofi t leaders to act as stewards of the vulnerable, dependent, and politically inarticulate — meaning those mostly likely to be left out of delibera- tions (Lewis & Gilman, 2005 ; see also Block, 2009 )?

SUMMARY: PUTTING IT ALL TOGETHER AND PREPARING FOR ONGOING STRATEGIC CHANGE

The tasks of leadership for strategic planning are complex and many. Unless the organization is very small, no single person or group can perform them all. Effective strategic planning is a collective phenomenon, typically involving sponsors, champions, facilitators, teams, task forces, and others in various ways at various times. Over the course of a strategy change cycle, leaders of many different kinds must put together the elements we have described in

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such a way that enhances organizational collaboration, or community effectiveness — thereby making some important part of the world noticeably better. Personal and collective refl ection and deliberation are warranted at many points along the way to consider whether the right people are in the right roles at the right time; whether the content and pace of change, and the approach to it, should be modifi ed; what has been accomplished so far; and what remains to be done. By maintaining awareness of progress, celebrating resilience in the face of setbacks, publicizing the tangible and intangible ben- efi ts of the planning process, and continually developing collective leadership and followership, leaders can help their organizations, collaborations, and communities become places in which strategic thinking, acting, and learning simply become the way things are done. In short, for strategic planning and management to be effective, caring and committed leadership and followership are essential. As Dr. Seuss (1971, p. 52) points out in The Lorax:

UNLESS someone like you cares a whole awful lot, nothing is going to get better. It ’ s not.

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