APA, One-Two Page Paper (Not Including The Title And Reference Pages). The Description Is Below:ONE-

Leadership for Today and the Future, Second Edition

Manuel London Edward Mone

Editor in Chief, AVP: Steve Wainwright

Sponsoring Editor/Executive Editor: Anna Lustig

Senior Development Editor: Rebecca Paynter

Editorial Assistants: Taylor Holmes, Kathleen Rhine

Production Editor: Catherine Morris

Media Editor: Lindsay Serra

Copyeditor: Kaitlin Nadal

Illustrator: Steve Zmina

Photo Researcher: Taylor Holmes

Cover Design: Tara Mayberry

Printing Services: Lightning Source

Production Services: Hespenheide Design

ePub Development: M & R Consultants Corporation

Permissions Editor: Joohee Lee

Cover Image: Ingram Publishing/Thinkstock

ISBN-13: 978-1-62178-272-8

Copyright © 2016 Bridgepoint Education, Inc.

All rights reserved.

GRANT OF PERMISSION TO PRINT: The copyright owner of this material hereby grants the holder of this publication the right to print these materials for personal use. The holder of this material may print the materials herein for personal use only. Any print, reprint, reproduction or distribution of these materials for commercial use without the express written consent of the copyright owner constitutes a violation of the U.S. Copyright Act, 17 U.S.C. §§ 101-810, as amended.

About the Authors

Manuel London

Manuel London received his PhD from The Ohio State University in industrial and organizational psychology. He taught in the business school at the University of Illinois at Urbana-Champaign for 3 years and then joined AT&T, where, during the course of 12 years, he studied and designed assessment, performance management, and leadership development programs. He has been on the Stony Brook faculty for 27 years, where he has served as deputy to the president, associate provost, faculty director of the undergraduate College of Leadership & Service, associate dean of the College of Business, and now dean of the college. He is the author or coauthor of 17 books, the editor of 10, and the author of more than 130 articles in the areas of performance evaluation, feedback, employee development, and group learning. His books and articles have won awards from the Association for Human Resource Development and the Society for Human Resource Management. He is a Fellow of the American Psychological Association and the Society for Industrial and Organizational Psychology.

Edward Mone

Edward Mone has more than 30 years of experience in career, leadership, and organization change and development. He is currently a lecturer in the College of Business and School of Professional Development at the State University of New York at Stony Brook. He was vice president for organization development at CA Technologies, where he was responsible for management and leadership training and development, succession planning, mentoring, the companywide employee opinion survey and employee research, coaching, 360-degree feedback, and performance management. He was previously vice president of organization development at Cablevision Systems, Inc., and director of people processes and systems at Booz-Allen & Hamilton, Inc. He was human resources division manager for strategic planning and development at AT&T, where he also held a variety of human resource and organization development positions. Before that, he was a partner in an outplacement and career management �irm. He holds an MA in counseling psychology and has completed doctoral coursework in organizational psychology, as well as individual, team, and organization learning at Teachers College, Columbia University. He has coauthored and coedited books, book chapters, and articles in the areas of human resources and organization development, including Employee Engagement Through Effective Performance Management (Routledge Press, 2010), with Manuel London.

Acknowledgments

We express our thanks to the many colleagues, managers, and executives with whom we worked and for whom we consulted in a range of corporations. Their energy and enthusiasm for leadership and self-improvement, particularly during tough economic times, demonstrated to us the critical elements of leadership we address in this book. We are grateful to the staff and editors at Bridgepoint Education who guided the development of the manuscript. In particular, we express our appreciation to Anna Lustig, Taylor Holmes, Kathleen Rhine, Lindsay Serra, Catherine Morris, and, especially, to Rebecca Paynter, whose expertise and care for detail improved our writing and ensured that we add value to students' learning. Last but not least, we thank our spouses, Marilyn and Ceil, for their support throughout the writing and revision process. This book is dedicated to them.

We would also like to thank the following peer reviewers for their feedback and helpful guidance along the way:

Chris Neck, Arizona State University David Stoneback, Ashford University Gregory Goussak, Ashford University Jim Jeremiah, Ashford University Joseph Harder, University of Virginia Mary Alexander, Ashford University Renee Just, Ashford University

Preface

Our preface to this second edition largely remains the same. However, we would like to note that this edition has been thoroughly revised and updated, driven by faculty input. For example, chapters have been shortened and better focused on key, main objectives. Fresh �igures and photos have been incorporated into the text, many former tables of information have been converted to useful assessments, and many of the assessments are now more interactive and can be automatically scored. Finally, considering the target audience for this edition, we have used more relevant examples and case studies in support of mastering the material, moving away from a previous emphasis on the CEO and the C-level suite. As a result, we feel this edition will better meet learner needs than ever before.

Textbook Features

Leadership for Today and the Future, Second Edition includes a number of features to help students think critically and explore leadership concepts:

Figures illustrate a variety of leadership concepts and methods.

Key Terms list and de�ine important vocabulary discussed in the chapter, offering an opportunity for a �inal review of chapter concepts. At the end of each chapter, students can click on the term to reveal the de�inition and quiz themselves in the process.

Case study boxes provide �ield examples of leadership scenarios to help students re�lect on leadership processes and outcomes.

Considering boxes focus on areas of interest in business and management.

Spotlight boxes highlight contemporary business leaders, helping students get a sense of what leadership looks like in the real world.

Leadership in Review boxes allow students to re�lect and answer questions on the content at the end of each section.

Interactive assessments in each chapter allow students to measure their attitudes, development, and motivations in the workplace. Interactive assessments include the following:

Assessment 1.1: What Is Your De�inition of Leadership? (PDF form) (Section 1.1) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec1.1#sec1.1) Assessment 1.2: Managing Versus Leading: How Are You Spending Your Time? (online interaction) (Section 1.1) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec1.1#sec1.1) Assessment 1.3: What Do You Think Is Your Preferred Leadership Style or Strategic Approach? (PDF form) (Section 1.2) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec1.2#sec1.2) Assessment 2.1: Do You Have High or Low Self-Esteem? (online interaction) (Section 2.1) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.1#sec2.1) Assessment 2.2: How Strong Is Your Career Motivation? (online interaction) (Section 2.1) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.1#sec2.1) Assessment 2.3: Are You Engaging in Self-Monitoring? (online interaction) (Section 2.2) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.2#sec2.2) Assessment 2.4 Are You Managing Your Attitudes and Behaviors? (online interaction) (Section 2.2) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.2#sec2.2) Assessment 2.5: Are You an Innovative Thinker? (online interaction) (Section 2.2) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.2#sec2.2) Assessment 2.6: Am I Being Offered Opportunities for Learning and Development? (PDF form) (Section 2.3) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.3#sec2.3) Assessment 2.7: Are You a Continuous Learner? (PDF form) (Section 2.4) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.4#sec2.4) Assessment 2.8: Are You Comfortable Requesting and Receiving Feedback? (online interaction) (Section 2.6) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.6#sec2.6) Assessment 2.9: What Is Your Learning Goal Orientation? (online interaction) (Section 2.6) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.6#sec2.6) Considering the Upward Survey (PDF form) (Section 2.6) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec2.6#sec2.6) Table 3.1: Trust and Empowerment (PDF form) (Section 3.3) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec3.3#sec3.3) Table 3.3: Goal Commitment Survey (PDF form) (Section 3.4) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec3.4#sec3.4) Assessment 3.1: What Con�lict Management Skills Do You Possess? (online interaction) (Section 3.11) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec3.11#sec3.11)

Assessment 4.1: What Has Been Your Experience With Teams? (PDF form) (Section 4.2) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec4.2#sec4.2) Assessment 4.2: What Challenges Does Your Team Face? (online interaction) (Section 4.3) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec4.3#sec4.3) Member Roles Survey (PDF form) (Section 4.5) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec4.5#sec4.5) * Key Roles Survey (PDF form) (Section 4.5) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec4.5#sec4.5) Assessment 4.3: What Has Been Your Team’s Experience With Learning? (PDF form) (Section 4.8) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec4.8#sec4.8) Assessment 4.4: How Does Your Team Measure Up? (PDF form) (Section 4.10) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec4.10#sec4.10) Assessment 5.1: Are You an Engaged Employee? (online interaction) (Section 5.5) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec5.5#sec5.5) Assessment 5.2: Do You Have Support for Innovation? (online interaction) (Section 5.5) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec5.5#sec5.5) Assessment 5.3: What Is Your Level of Cognitive Moral Development? (online interaction) (Section 5.5) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec5.5#sec5.5) Assessment 5.4: Is My Organization’s Culture Ethical? (online interaction) (Section 5.5) (http://content.thuzelearning.com/books/London.2728.16.1/sections/sec5.5#sec5.5)

* Find the link to this PDF below the “Key Roles in Team Development and Performance” heading.

Interactive case studies place students in a work setting, and ask them to apply leadership concepts to solve problems. Interactive case studies include the following:

Chapter One Case Study: New Leadership (https://ne.edgecastcdn.net/0004BA/constellation/Articulate/MGT460_2e/Ch01_Scenario_revised/story.html) Chapter Two Case Study: Opportunities Ahead (https://ne.edgecastcdn.net/0004BA/constellation/Articulate/MGT460_2e/Ch02_Scenario_revised/story.html)

Quizzes give students the opportunity to assess their own learning and comprehension.

Videos feature business leaders discussing leadership concepts ranging from leading teams to leading organizations, allowing students to gain an understanding of what leadership looks like in the world today.

Accessible Anywhere. Anytime.

With Constellation, faculty and students have full access to eTextbooks at their �ingertips. The eTextbooks are instantly accessible on web, mobile, and tablet.

iPhone To download the Constellation iPhone or iPad app, go to the App Store on your device, search for "Constellation for Ashford University," and download the free application. You may log in to the application with the same username and password used to access Constellation on the web.

NOTE: You will need iOS version 7.0 or higher.

Android Tablet and Phone To download the Constellation Android app, go to the Google Play Store on your Android Device, search for "Constellation for Ashford University," and download the free application. You may log in to the Android application with the same username and password used to access Constellation on the web.

NOTE: You will need a tablet or phone running Android version 2.3 (Gingerbread) or higher.

A View of Leadership Today

Let's begin with a few questions. What does leadership mean to you? Do you think leadership matters? Who are leaders you admire? Do you know these people personally, or are they leaders who have gained national or international attention today or in the past? What characteristics, decisions, or actions make them admirable? Now, are there any leaders you do not admire? Why?

Leadership is a critical skill, if not the most necessary skill in today's complex world. Leadership creates the current reality through a vision for the future, in all types of enterprises—whether in business and industry; national, state, and local governments; or not-for-pro�it and nongovernmental organizations (NGOs). We need strong leaders who can set direction and garner support to accomplish important, bold, multifaceted objectives. We need leaders who have vision, who can get things done through others; leaders who know how to use their own and others' technical skills and knowledge to create and grow organizations.

This book is about the meaning of leadership—the personal characteristics, behaviors, styles, and approaches that make an enterprise successful. More speci�ically, it is about how to become an effective leader. It is about how to develop your own effectiveness and the effectiveness of others and how to direct teams and organizations in an increasingly complicated, competitive, global environment, with revolutionary technologies forever changing the landscape for all enterprises. It is about decision making, involving others who can contribute expertise and who need to be committed to whatever decisions are made. Moreover, it is about how to be an ethical leader, a person who treats people fairly and acts honestly while attending to a pro�itable bottom line.

Given our changing world, leaders will need to be continuous learners constantly focused on whether they have the skills they need to meet today's and tomorrow's challenges. Leaders, therefore, will need to be thinking about what demands are on the horizon, creating alternative scenarios for the future, and evaluating their readiness to be successful. They also need to develop habits of self-assessment, recognize their learning gaps, and �ind ways to gain the knowledge and experience that will prepare them for the future.

In short, leaders need to meet the needs of multicultural, often global environments; act ethically to manage performance and lead organizations through uncertain, technologically complex, and rapidly changing conditions; and be focused on their own learning.

The Authors' Approach

We draw from contemporary theory, research, and practice. We recognize that there is no one way to lead in all circumstances all of the time. We believe that the leader's best course—being an effective leader—requires using the right combination of approaches, balancing alternative leadership strategies to meet current conditions.

Learning about leadership requires reading about principles, analyzing examples, engaging in self-assessment, setting goals for development, trying new behaviors, and ultimately achieving learning goals. Throughout this book, we use appropriate experiential learning methods that will help you to assess your own competencies for continuous improvement and evaluate the demands of changing and complex environments. Our objective is to enable you to develop effective leadership and continuous learning strategies for one-to- one, team, and organization development.

We know you have encountered or will encounter many books on leadership. However, a large number of those books can be misleading and may even misinform because they are based entirely on the authors' experience and all the biases that entails. On the other hand, some books are so academic in nature that they will often leave you wondering if there is a "right" or "better" answer to the leadership challenges you will face.

We provide a blend of theory, research, and practical applications so that you learn what works, why, and how to do it successfully yourself. In addition, we offer compelling cases, useful and realistic tools and approaches, and methods for practical gap assessment and analysis that you can apply today and in the future.

Style and Structure of the Book

The goal and purpose of this book is to provide you with a practical and authoritative view of leadership, drawing from real-world experiences in the areas of leadership development and relevant areas of research. We believe this approach will best equip you with the knowledge and insight that is valuable to becoming a highly practical and results-oriented leader, whether your career is in business, government, or the not-for-pro�it sector.

Our high-level framework is based on a view of leadership as a set of four primary roles, including leading one's self, leading in one-to-one situations, leading teams, and leading organizations. Following the opening chapter, each subsequent chapter in the book will focus on one of these four roles. Each chapter begins with learning outcomes so you will know what you are expected to learn as you read the chapter. Throughout each chapter, you will �ind case examples to help bring the concepts to life. Self-assessments help you re�lect on the topics and evaluate your own situation. A Web resources section provides informative websites and videos. Each chapter concludes with an exercise that helps you integrate the topics. In the e-book, interactive scenarios give you an opportunity to apply your learning, while videos further enhance your understanding of the material.

We hope that you will �ind this book practically and theoretically sound, as well as comprehensive. We, your authors, are both practitioners and researchers, with experience in teaching leadership to thousands of adult learners in corporations and in university undergraduate and graduate school programs. In addition, we are thoroughly familiar with academic and popular leadership writings, so we can readily draw insights, ideas, and practical applications from a wide variety of literature, as well as from our experience in developing and implementing applications successfully in organizations.

Overview

Throughout the book, we emphasize several major themes:

1. Leaders need to lead themselves, other individuals, teams, the organization, and networks of associates inside and outside the organization.

2. Leaders need to assess their own skills, knowledge, and abilities and those of others and determine the gap between these competencies and the competencies needed to be effective in their organizations.

3. Leaders create the culture in their teams and organizations; as such, they can inculcate a culture of continuous growth and development.

4. Leaders need to use technology to communicate effectively across cultural boundaries. 5. Leadership is a balancing act: balancing vested interests with a commitment to shared goals, balancing giving direction with

empowering team members, and balancing a bias for action with taking time for re�lection. 6. Ethical leadership is critical at all times.

Overall, this book will help you build habits of effective leadership whether you are just entering management and leadership positions or transitioning to higher levels of authority and responsibility.

In Chapter 1, we de�ine leadership and give examples of major leadership theories and thought leaders. We present and discuss cases of strong leaders from business, government, and nonpro�it organizations. We describe leadership styles and emphasize a balanced approach to leadership, recognizing that effective leaders need a mix of styles to meet current and future challenges. Leaders also need to balance several behavioral dimensions: communicating a vision as a shared set of goals while recognizing followers' vested interests, giving direction while empowering followers to make decisions that help the organization meet its goals, and encouraging fast action while taking time out for re�lection to understand what is working and what isn't and �inding ways to improve work processes. We introduce you to the idea of leadership roles and consider what it means to lead one's self, others, teams, and organizations. As you learn about how to determine organizational requirements for leadership, we introduce you to ways of thinking about organizations and a framework for determining gaps at the overall organization level; we then expand on that framework in subsequent chapters.

You will also learn about the challenges leaders face as a result of technology. The appendix to this chapter includes a discussion on leadership research and provides you with guidelines for determining the reliability and validity of leadership studies you will encounter in your learning journey. Finally, we start you on the beginnings of a case study in leadership that you will follow throughout the course of this book.

The second chapter begins the detailed look at the four leadership roles, focusing on self-leadership: learning about the personal characteristics and qualities that are important for effective leadership and ways to develop them for yourself and others. Here we de�ine the traits, qualities, skills, and knowledge important to being an effective self-leader, as well as an approach for assessing leadership gaps and opportunities for developing learning to be more effective in this role. In terms of leadership characteristics, you will learn about metacognitive skills such as self-regulation, self-ef�icacy, and self-monitoring. You will also learn about important interpersonal skills, including trustworthiness and consideration of others, and dimensions of effective leadership such as openness to experience, decision making, and decisiveness. We also cover the elements of career motivation (resilience, insight, and identity) and describe ways to assess leadership traits, skills, and knowledge using observations, behavioral experiences, and surveys. In this chapter, we also give examples of how to develop these traits, skills, and knowledge through formal training and informal on-the-job experiences. You will also encounter cases and exercises that will encourage your own self-assessment and establish your own leadership development plan.

In Chapter 3, we consider and de�ine what it takes to be effective in the second role—leading in one-to-one situations—and describe its primary focus, the relationship between a leader and a direct report at any level of an organization (from the executive suite to �irst-line management). We provide three important frameworks necessary for understanding the practices and approaches of leaders in the one-to- one role—theories of practice, the ladder of inference, and performance management—and discuss the skills that provide the foundation for success in this role, including building trust and empowering others. We then cover in some detail the skills and knowledge necessary for effective performance management in the leader's one-to-one role, including goal setting, feedback, development, recognition, coaching, and performance appraisal. We also provide an approach for managing and resolving con�licts and explain the importance of intelligence and personality when assessing and selecting future job candidates. We explain, too, how to assess effectiveness in one-to-one situations to determine gaps and describe formal and informal opportunities for increasing effectiveness in the role. The exercises in this chapter focus on measurement methods, self-assessments, tools for assessing direct reports' strengths and weaknesses, and methods for tracking leadership growth and the strength of a leader–direct report relationship. The appendix to this chapter provides guidelines for conducting effective selection interviews.

The fourth chapter focuses on leading teams. We de�ine what it takes to be effective in the role of team leader and ways of assessing the need for team development to become a more effective team leader. We discuss how team leaders must determine the demands of leading a particular team. This begins with understanding the purpose and needs of the team based on an assessment of members' capabilities and experience and of the demands of the task and goals the team is trying to achieve. We discuss the nature of teamwork, showing that some tasks are highly structured and require a leader who pays attention to transactions, giving and tracking speci�ic assignments. We also discuss that other teams have unstructured and possibly ambiguous tasks that require leaders to set a vision and empower members to determine what they need to do. These tasks usually focus on solving problems that have no right answers, such as developing a new product or �inding ways to improve ef�iciency. We also address the idea of virtual teamwork—where team members primarily interact online, through email and other electronic means, often across organizational and national borders. We show the need for leaders to recognize and hopefully value differences among members in language and culture as well as gender, age, educational background, and �ield of expertise. We then recommend a balanced leadership model and discuss how leaders need to assess the situation and balance (a) forming a shared vision with members' vested interests, (b) controlling teamwork with empowering members to act on their own, and (c) taking action with time for re�lection. We consider differences in leadership required at different stages of team development, examine the

role of technology in teamwork, and outline the role of leader as a team facilitator who constantly assesses the team's need for structure and learning and who intervenes in ways that foster teamwork. Exercises and assessments in this chapter focus on helping you to diagnose what a team needs to be successful and how leaders can acquire the skills they need to be effective team leaders.

The last chapter covers what it takes to be an effective leader of organizations. We provide an approach for understanding organizations and for determining gaps in leading organizations, as well as formal and informal opportunities for increasing effectiveness in this role. Key skills and knowledge for leading organizations include strategic planning, organization change, culture change, and succession planning and leadership development. We show how leaders can create cultures that re�lect high levels of engagement, innovation, and ethical behavior, as well as a feedback focus. Because leaders need to develop the organization's capability for the future, we provide ways to assess employees' leadership potential, especially how to identify individuals early in their careers and generate opportunities for them to learn and grow with the organization. To do this, leaders must know how to analyze the gap between leadership needs for today and the future and the leadership skills currently in the organization. We give examples of how to develop leadership skills that make sense for the organization, including ways to identify and structure learning opportunities. The concluding exercise focuses on developing a comprehensive plan of action for gap analysis and individual, team, and organization leadership, integrating concepts throughout the book. We end with leadership guidelines as a road map for being an effective, balanced, and ethical leader and continuous learner.

Now that you know what this book is about, let's return to the questions we asked at the start of the preface. This book will help you understand the characteristics, decisions, and behaviors that make a leader effective. It will also help you analyze the elements of good leadership for yourself and others. It will help you think critically about a leader's actions and the alternatives you face as a leader. You will understand how others see you as a leader. You will be able to examine your own strengths and weaknesses as a leader, set goals for your development, and start a path toward leadership growth—one that you will continue throughout your career. You will also be able to make decisions about others, identifying leadership potential in the people you may hire or who are your direct reports, peers, and supervisors at work or role models and leaders in your community outside of work. You will �ind that leadership is multidimensional and has nuances that re�lect individual and situational conditions, and you will appreciate that leadership can be learned. As such, you are now on the path to personal growth, development of your own leadership skills, and supporting the leadership development of the people who work for and with you. We wish you well on this continuous journey.

1 Leadership: Key Ideas and Concepts

Learning Objectives

After reading this chapter, you should be able to

De�ine leadership in your own words. Describe the differences between management and leadership. Apply styles of leadership to different situations. Compare the strategic approaches to leadership. Evaluate the need for ethical leadership behavior and corporate social responsibility. Describe four key leadership roles. Analyze the reasons for having a strategic plan and the leader's role in creating and implementing the plan. Formulate questions to determine gaps in leadership.

Hero Images/Hero Images/SuperStock

Facebook CEO Mark Zuckerberg.

Alexander Sandvoss/age fotostock/SuperStock

Introduction

Leadership is a popular topic. The media report on leaders and their actions on a daily basis. Major newspapers, magazines, blogs, and television and radio commentators all offer insights into the latest successes or failures of our most popular leaders in politics, business, and the military. Many prominent �igures, such as Richard Branson (Virgin Airways), Jeff Bezos (Amazon), Larry Page (Google), and Meg Whitman (Hewlett-Packard), have written books or given interviews about their leadership styles, and popular �ilms have been produced about leaders such as Steve Jobs (Apple) and Mark Zuckerberg (Facebook). Frankly, though, what is leadership? Is it a role? Is it a set of characteristics? What do leaders do? What are the factors that make for successful leadership? How do we know when leaders are effective? And how do we measure their effectiveness?

In this chapter, we present key ideas and concepts about leadership, brie�ly reviewing material that is usually covered in greater detail in an introductory leadership course. Because this book is targeted at an advanced audience, we refresh your memory about the range of leadership theories and emphasize how they relate and contribute to one another to provide a stronger understanding of practice. We address the elusive de�inition of leadership, review key leadership theories and leadership styles—or how leadership behavior is characterized—and address the question of whether there is one best and most effective style of leadership. We then de�ine key leadership roles and what it takes to be successful in those roles. We also take an initial look at the organizational requirements for effective leadership and how to diagnose whether those requirements are in place and successful. This sets the stage for what is traditionally known as gap analysis—examining an organization for gaps in leadership, or areas where there is a lack of leadership or where leadership falls short. In fact, gap analysis and how to close key leadership gaps in organizations are central components of this book.

What is your de�inition of leadership?

adekvat/iStock/Thinkstock

1.1 De�initions of Leadership

Let's return to the question of what leadership is. You should have a good understanding of the concept from your prior studies and experience. So before reading further, please take a few minutes to think about and write down your de�inition of leadership in Assessment 1.1. If you want to revise it later, you can. However, this exercise is important. It engages you in applying one of the most signi�icant leadership capabilities we will discuss in this book: the capacity and ability to take the time to be re�lective.

Assessment 1.1: What Is Your De�inition of Leadership?

Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Assessment1.1.pdf) to download this assessment.

Instructions: Write your de�inition of leadership in the space provided.

Most managers and leaders �ind that de�ining leadership is challenging. In fact, we typically ask senior executives in the corporate leadership seminars we facilitate to de�ine leadership. Although these are experienced leaders, they often have not explicitly de�ined leadership for themselves. Many are even reluctant to share their de�initions with their colleagues. They usually say their de�initions are far short of adequate. Some examples of these de�initions include the following:

Leadership is all about getting people to follow you and do what you expect them to do. Leadership's role is to ensure the organization works well together to satisfy customers and meet or exceed shareholders' expectations. Leadership is different from management—leaders provide direction and managers execute the plan.

So for now, all we ask is that you keep your de�inition of leadership in mind as you study the chapter. We encourage you to revise your de�inition as you see �it, just as many of our seminar participants have done at the completion of their training.

Next, we look at de�initions of leadership and what key thinkers have to say on the topic. Note, however, that research says there is no one correct de�inition of leadership that covers all situations a leader will encounter (see, for example, Avolio & Bass, 2001; Higgs & Rowland, 2011; Judge & Piccolo, 2004).

The most generic de�inition of leadership is that it is the capacity to in�luence others. Certainly, being able to in�luence followers is an important component of leadership. However, if a fast-food server convinces you to "super-size" your order, does that make the server a leader? No, not necessarily. Gary Yukl (2006) has offered a practical and useful de�inition, describing leadership as "the process of in�luencing others to understand and agree about what needs to be done and how to do it, and the process of facilitating individual and collective efforts to accomplish shared objectives" (p. 8).

What is the value of this de�inition, and what does it tell us? It highlights the fact that leadership is a process. It also tells us that leadership is intentional in its attempt to in�luence others while still respecting the perspectives of others: Leaders strive to help others understand and agree to the work that needs to be accomplished. Finally, Yukl's de�inition emphasizes that leadership is about achieving shared objectives, usually higher-level organizational goals, and, speci�ically, about how to facilitate and motivate the efforts of all organization members to achieve those goals successfully.

Coming from a similar perspective, Burke (2008) has said that leadership is the exercise of power—and that power is having the capacity to in�luence others. In other words, leaders exercise power to in�luence others. (We will discuss the exercise of power later in this section.) Burke has also highlighted the notion of leadership as a reciprocal process, stating that leadership is present when there are followers who are searching for direction.

Management Versus Leadership

There is debate about whether management and leadership are different constructs, but most theorists would agree that there are signi�icant differences. These theorists use the differences to further de�ine their views of leadership. For example, Burke (2008), Bennis (1989), and Kotter (1996) have all de�ined leadership by differentiating it from management. According to Burke, leadership is more often about change, and management is more concerned with problem solving, being ef�icient, being effective, and ensuring the organization is operating. Bennis (1989) has offered a number of distinctions between leadership and management, including the often cited phrase "Leaders are people who do the right thing; managers are people who do things right" (p. 18). Kotter (1996), whose works primarily focus on the importance of leading change, has suggested that leaders establish direction, align people, and motivate and inspire others, while managers engage in planning, budgeting, organizing, staf�ing, controlling, and problem solving. We compare some of the major differences between leadership and management in Table 1.1.

Table 1.1: Leaders vs. managers

Leaders Managers

Value �lexibility, innovation, and adaptation Value stability, order, and ef�iciency

Focus on change and transformation Focus on organization administration, transactions, and operations

Rely on trust in building relationships Rely on control when building relationships

Take a long-term perspective Take a short-term perspective

Typically have a strategic orientation Typically have a tactical orientation

Challenge status quo Maintain status quo

Draw authority for action from below Draw authority for action from above

Although both management and leadership are important to an organization's success, comparing one with the other helps us to better understand and differentiate between the two constructs. This is especially important when we consider an organization's or institution's hierarchy. Senior-most leaders should focus on providing overall direction, vision, change management, and inspiration. Lower-level leaders, managers, and individual contributors should focus on being ef�icient and effective in what they do. Practically speaking, as you proceed up the organization hierarchy, you would be expected to spend a greater percentage of your time leading versus managing. Hunt (1991) has illustrated this idea in his framework, which is composed of three leadership domains and seven levels of leadership. Figure 1.1 depicts this model.

Figure 1.1: Hunt's leadership framework

The higher one is in the organization's hierarchy, the more time is spent leading rather than managing.

Source: Data from Leadership: A New Synthesis, by J. G. Hunt, 1991, Newbury Park, CA: Sage Publications.

Hunt's domains and levels of leadership are de�ined as follows:

1. The systems leadership domain consists of two levels of leadership, Levels VII and VI, reserved for the CEO and those essentially in an executive role. The focus of this domain is building the organization, interacting with the external environment, and identifying future resources.

2. Levels V and IV constitute the organization leadership domain, which includes those in the highest level and the �irst level of general management, such as a subsidiary president or those typically leading strategic business units, divisions, or subsidiaries. Product and service lines and the structuring of subunits are some of the areas of focus for this domain.

3. Although called the direct leadership domain, this domain includes managers managing managers (Level III), �irst-level managers (Level II), and the employee (individual contributor) level (Level I). The focus of this domain is those who man age or work in a department or function delivering tangible products or services.

More recently, Jim Collins (2001), in his popular book Good to Great, offered a somewhat parallel view. His model consists of �ive levels, with the need to focus on leadership increasing as one progresses up the hierarchy: Level 1, Highly Capable Individual; Level 2, Contributing Team Member; Level 3, Competent Manager; Level 4, Effective Leader; and Level 5, Executive.

Although leadership can exist anywhere within an organization, most individual contributors and managers should devote their time to achieving results ef�iciently and effectively. The senior-most levels are where the ambiguity, challenges, and complexities are at their greatest. Complete Assessment 1.2 to determine whether you are currently spending more time managing or leading—and then re�lect on whether that is the right balance for your role.

A good question to ask at this point is, how do leaders in�luence others? The answer is through power. Next, we look at the sources of power available to leaders and show you what you can expect when leaders use these different sources to in�luence followers.

Sources of Power and In�luence

As de�ined earlier in the chapter, power is a person's capacity to in�luence others and their behavior. Leaders can derive their power in organizations in any number of ways. Greiner and Schein (1988), for example, have provided an excellent overview of the development of such power bases. Their work, similar to the research of others who write about power, was drawn in part from the seminal piece by French and Raven (1959), which serves as the basis for our discussion.

French and Raven described �ive bases of power: reward, coercive, legitimate, referent, and expert power. We list and de�ine these sources in Table 1.2 and describe what you can expect when a leader exercises each source of power.

Select 10

Table 1.2: French and Raven's �ive sources of power

Power type De�inition What you can expect

Reward Based on the ability to reward others, to provide and allocate resources; examples could include pay increases, promotions, and special assignments

The emphasis would be on in�luencing you by providing you with positive feedback, small but frequent recognition awards, and the promise of pay increases, bonuses, promotions, and the like. You would feel very positive, and morale would tend to be good.

Coercive Based on the ability to punish others for not meeting expectations; examples could include transfer to a lesser assignment, suspension from work, and withholding of rewards

The emphasis would be on in�luencing you by providing you with negative feedback— and threatening the withdrawal of rewards, such as no or a reduced pay increase—or even punishment, such as losing your job. You would feel uncomfortable and diminished; morale would tend to be low.

Legitimate Based on formal authority, having the right to in�luence others in a given capacity; it is largely derived from and based on the position one holds in an organization

The emphasis would be on in�luencing you by the authority of the position; the leader emphasizes "doing it because I say so." You would tend to feel disempowered, whether you agree or disagree. Its impact on morale could be mixed but might tend toward the negative.

Referent Based on the needs and desires of followers; it is granted when followers identify with, admire, or seek the approval of the leader, and the more they do so, the stronger this source of power becomes

You would want to do what the leader expects because you feel positive about the leader in general. When an action is requested or when you are provided with direction, you would be inclined to respond favorably. Overall, you would enjoy the relationship, and the effect on morale should be largely positive.

Expert Based on the actual or perceived knowledge of the leader; the strength of expert power depends on how valuable the knowledge is to followers—the more valuable, the stronger this source of power becomes

You would want to do what the leader says because you believe the leader has the right answer. When the leader requests action or provides direction, you would be inclined to respond favorably. Overall, you would value the relationship for what you can learn; the effect on morale should be largely positive.

What are the implications for leaders who want to execute their power successfully? In general, research has shown that effective leaders depend more on referent power than position power and that the use of reward power is more effective than the use of coercive power (Hogan & Kaiser, 2005). In addition, leaders need to engage in continuous learning and development to sustain their reputations for credibility and their source of expert power. Overall, we would agree with Yukl (2006), who discussed the idea that the most effective leaders are inclined to use their power, regardless of the type of power, in ways that minimize status differences and avoid being threatening, while also avoiding favoritism and being manipulative and arrogant.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. Look at the working de�inition of leadership you wrote down at the beginning of the chapter. Is there anything you would now like to add or change?

2. How would you describe the difference between management and leadership? 3. How would you explain the idea of different levels of leadership? 4. How would you de�ine power? 5. What are the key bases of power?

Going forward, consider what leadership styles you identify with most and what situations you might use certain approaches in.

Michaeljung/iStock/Thinkstock

1.2 Leadership Styles

In this section, Section 1.3, and Section 1.4, we survey key leadership styles and strategic approaches, which will serve to sharpen your understanding of leadership in general and begin to set the stage for other discussions. A leadership style refers to a behavioral tendency that a leader is likely to repeat over time, thereby becoming characteristic of that leader. This is not to say that a style is the only way a leader acts, but rather that it is a dominant tendency. A leadership "approach" may encompass the same leadership behavior, but it is not the leader's predominant way of behaving. It merely is one behavior of many. When observing a leader's behavior, it is important to distinguish whether the behavior is simply the approach the leader is using at a given point in time or the leader's style, or dominant tendency. In Section 1.3, we talk about strategic approaches. As the term suggests, a strategic approach involves leadership behavior that is related to the leader's carrying out a strategy to accomplish an important goal.

Consider this section, Section 1.3, and Section 1.4 a primer or review to some extent, although we also present some new concepts and ideas introduced in the literature over the past couple of years. As you proceed through this section, think about how your own style and preferences for different leadership behaviors �it within the styles and approaches discussed, and consider the extent to which your style tends to be consistent, as some theories suggest, or varies, as other theories propose. Assessment 1.3 lists and explains the leadership styles and strategic approaches we will discuss in some detail. Consider which style(s) and approach(es) sound like you, and verify your thoughts once you have read through this section, Section 1.3, and Section 1.4. You may be surprised at what you discover.

Assessment 1.3: What Do You Think Is Your Preferred Leadership Style or Strategic Approach?

Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Assessment1.3.pdf) to download this assessment.

Instructions: Place a checkmark in the last column if the described style or approach re�lects you.

Style or strategic approach Central idea

Is this your preferred style of or approach to leadership?

Contingent The leader concentrates on the speci�ic tasks that need to get done and/or the relationships between the leader and the employees who are doing the work. The leader determines what is needed at the time—a stronger focus on either tasks or relationships, or sometimes working on both tasks and relationships.

One-best The leader has one way of doing things regardless of the situation, and that is to simultaneously show a strong concern for the work or task to be done and the people doing it.

Transactional The leader emphasizes the exchange between the leader and a follower to get tasks done, providing what the employee needs and wants (resources, training, or pay) to get the job done.

Transformational The leader appeals to the higher-level values, motives, and emotions of followers. The leader engages employees' commitment to the work by focusing on its importance to the organization or even society. Employees are motivated to accomplish the organization's goals because they see the "big picture"—the overall value for themselves, the organization, and the users of the organization's products or services.

Charismatic The leader holds a radical vision, offers solutions for impossible problems, and is willing to take personal risks. The leader is able to project an appealing personality that others admire and respect. Often, this comes from the ability to communicate in a way that attracts attention and the desire to follow the leader's vision.

Full range The leader takes a comprehensive approach emphasizing key transformational and transactional behaviors. The leader uses different approaches for different situations; no one single style of leadership dominates. The leader might focus on tasks, relationships, transactions, and even transformation in different combinations at different times depending on what behaviors the leader believes will be best. The leader is able to vary his or her behavior over time.

Balanced The leader creates and maintains balance. The leader learns to balance setting goals unilaterally with involving employees in goal setting, giving direction with empowering employees, and focusing on actions with taking time to re�lect on how well things are going.

Principled The leader focuses on leading from a core set of values, including trust, honesty, integrity, and caring. The leader's values guide his or her actions and decisions. This is especially important when decisions are dif�icult to make, take considerable resources, or involve risk in some way.

Contingent and One-Best Leadership

Leaders have choices when it comes to how they act. Either they can be relatively consistent, always behaving the same way regardless of the situation or the individuals involved, or they can vary their behaviors based on certain factors, such as the skill and motivation of their followers. When leaders vary their behaviors based on these factors, they are demonstrating contingent leadership—leadership that is contingent on the presence or absence of those factors. One example of contingent leadership, or contingency theory, is called situational leadership theory (SLT), proposed by Hersey and Blanchard (1977).

According to SLT, a leader will choose one of four styles of leadership based on the maturity or development level of the employee (follower/employee) in relation to the task or situation. The development level re�lects the employee's competence (ability to perform the task) and commitment (willingness to complete the task). The leader, then, will emphasize task (directive) or relationship (supportive) behaviors, or both, depending on the situation. Descriptions of the four leadership styles and the situations to which they apply are described in Table 1.3.

Table 1.3: Four leadership styles

High support needed

(2) Participating/Supporting: The leader's focus is low on task and high on relationship behaviors; used when an employee is high in competence but lacking in commitment because motivation or con�idence is low; the goal is to communicate and engage in active listening and to encourage using the ability the employee possesses.

(3) Selling/Coaching: The leader's focus is high on task and high on relationship behaviors; used when an employee's competence is low to moderate and commitment is low; the goal is to provide direction as well as support that reinforces willingness to act.

Low support needed

(1) Delegating: The leader's focus is low on task and low on relationship; used when an employee is both competent and committed; the goal is to provide minimal levels of direction and support.

(4)Telling/Directing: The leader's focus is high on task and low on relationship behaviors; used when an employee is low in competence but willing and committed; the goal is to provide clear and direct supervision.

Low direction needed High direction needed

Source: Adapted from Leadership and the One Minute Manager: Increasing Effectiveness Through Situational Leadership, by K. Blanchard, P. Zigarmi, and D. Zigarmi, 1985, New York, NY: William Morrow and Company.

Overall, SLT is one of the more popular contingency theories and is widely used in management and leadership development programs. However, it is dif�icult to implement because leaders have to be good at providing both support and direction, diagnosing employees' needs, varying their leadership styles to meet employees' needs, and treating different employees differently. Generally, though, effective leaders simultaneously guide work efforts to achieve the task and sustain cooperative, positive relationships. This dual focus on tasks and relationships is known as the one-best leadership style.

The most popular example of the one-best style can be found in the managerial grid model, proposed by Blake and Mouton in 1964. Essentially, the managerial grid suggests that the best style of leadership is to show concern for the work and the people doing it. In this model, task-related behaviors and attitudes are referred to as "concern for production. "The relationship-related behaviors and attitudes are referred to as "concern for people." We once again �ind four leadership styles, similar to those described in the SLT model, but Blake and Mouton also suggested a �ifth, or "middle road" style. This �ifth style describes a leader who encourages adequate performance while maintaining relationships at a satisfactory level.

The one-best style, argued Blake and Mouton, is when leaders demonstrate in their actions and behaviors a high and simultaneous focus on both the concern for people and the concern for production. This style, which Blake and Mouton called a "team style," is the only style Blake and Mouton saw as effective. Generally, the best practice for a leader is to show concern for both relationships and tasks and to balance these styles relative to the needs of the employees on the team and the needs of the team as a whole. This is easier said than done, of course. It requires leaders to be able to diagnose what individual employees and the team need, adjust their behavior to meet the situation, have the capacity to be supportive and provide direction, and act differently with different employees and in addressing and directing employees as a team.

Transactional Leadership

Simply put, transactional leadership is about the transaction, or the exchange, that occurs between a leader and a follower. In this style of leadership, the leader takes action with the hope of providing something of value to the follower (for example, a promotion, pay increase, or challenging assignment) in return for expected performance. However, the transaction is more than the exchange of reward for performance. It also provides for punishment for lack of performance. Transactional leadership is based on appealing to the follower's self- interest. As a result, followers are likely to comply with stated expectations but not necessarily show strong levels of commitment and engagement. Bass (1985) summarized the transactional leader and subordinate relationship as follows:

Leaders recognize what their subordinates want and try to get it for them if their performance warrants it. Leaders exchange rewards or promises of rewards for the performance. Leaders are responsive to the immediate self-interests of their subordinates given that those interests can be satis�ied through meeting performance expectations. (p. 11)

With its focus on the present and use of rewards to drive and motivate performance, the transactional leadership style has more in common with a managerial approach to motivation and performance than with other leadership styles. In fact, there is a useful, formal theory about the transactional style called leader-member exchange (LMX) theory, which provides additional insight into why and how this style of leadership may work. The term leader-member exchange refers to the relationship between the leader and each follower— what is called a "vertical dyad linkage" (Graen & Cashman, 1975)—and the transactions that arise because of this relationship. The leader may have a close relationship with some subordinates based on mutual understanding, trust, and liking; this close relationship is evidenced by a transaction—what the leader does for the subordinates and subordinates do for the leader.

In an LMX relationship, leaders promise positive outcomes for expected levels of excellent performance from subordinates (Graen & Uhl- Bien, 1995). This is a special relationship, depicted in Figure 1.2, which empowers the subordinate to exert control and do what is needed to obtain the expected levels of performance. The basis for this relationship is the af�inity the leader and subordinate have for each other, perhaps because they possess a mutual understanding, trust, and liking; come from the same socioeconomic background; or have the same education and training. The close relationship is also based on the leader's recognition of the subordinate's ability and the subordinate's respect for the leader. The nature of this relationship will vary for each subordinate. The tighter this relationship, the more committed the subordinate is to the leader and the organization, and the more positive the outcomes that result will be, at least for the leader and the subordinate.

Figure 1.2: Leader-member exchange

In leader-member exchange (LMX), the leader and the subordinate have a special, two-way relationship.

Professor Lars Håkanson discusses the appeal and function of charismatic leaders.

Charismatic Leadership

Critical Thinking Questions

1. Why do you think people are attracted to charismatic leaders?

2. In your opinion, do leaders need charisma to excel in their roles?

Such relationships can form in organizations between mentors and protégés, business partners, or long-time friends. As such, the relationship may be based on factors that are not job related (such as having attended the same college or belonged to the same fraternity), but it must have a positive bene�it for organizational performance without undermining the morale of those who are not part of this exchange. Leaders, as a result, need to be sensitive to how they treat others and how others view them, careful not to engage in favoritism.

Transformational and Charismatic Leadership

James MacGregor Burns in 1978 set out to describe, in contrast to the transactional leader, a leader who appeals to the higher-level values and emotions of followers:

The transforming leader looks for potential motives in followers, seeks to satisfy higher needs, and engages the full person of the follower. The result of transforming leadership is a relationship of mutual stimulation and elevation that converts followers into leaders and may convert leaders into moral agents. (p. 4)

Burns was describing transformational leadership, and his ideas have in�luenced most other transformational theories. For example, Bass (1985) summed up the idea of the transformational leader as someone who inspires and motivates followers to do more than they were originally expected to do. He described how transformational leadership can be accomplished:

1. Leaders raise the level of their followers' awareness and consciousness about the importance and value of expected outcomes and the ways to attain them.

2. Leaders help followers go beyond their own self-interests, putting �irst the interests of the team and larger organization.

3. Leaders change the focus and direction of followers' needs to higher-order needs, or broaden and make followers aware of a wider set of needs or wants. (p. 20)

Transformational leadership, however, is often confused with another style of leadership. Sometimes followers see their leaders as possessing certain exceptional qualities, an idea put forth by Weber (1947), who introduced the concept of charismatic leadership. He described the charismatic leader as one who holds a radical vision, offers a solution out of an impossible situation, and attracts followers based on that vision. Conger and Kanungo (1998) added that charismatic leaders offer unconventional ways to achieve their visions, are willing to make sacri�ices and take personal risks, and are sensitive to both their environments and the needs of their followers. President John F. Kennedy,

Charismatic Leadership From Title: Personal Appearance: The Mind of a Leader 1 (https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid=48931)

© I f b All Ri ht R d L th 02 16

 0:000:00 / 2:16 / 2:16 1x1x

Lee Iacocca, Ross Perot, Donald Trump, Richard Branson, and Steve Jobs are leaders whom the popular press and academics alike consider to be charismatic.

According to Bass (1985), charisma is a necessary component of transformational leadership, but a charismatic leader does not have to be transformational. In fact, there are many differences between the two styles. Where charismatic leaders are perceived to be extraordinary and create follower dependencies, transformational leaders generate commitment to the vision for change and empower followers to achieve it. Charismatic leaders are also more likely to be unconventional and engage in impression management to ensure their followers continue to see them as charismatic. Broadly speaking, transformational leaders are less self-focused than charismatic leaders are. Finally, charismatic leadership is rare and tends to require certain environmental conditions to emerge (Bass, 1985; Weber, 1947), whereas transformational leadership is far more common across most organizations and institutions.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. Revisit Assessment 1.3. Now that you are more familiar with contingent, one-best, transactional, transformational, and charismatic leadership, do you think any of them describes your preferred style?

2. How would you explain the difference between contingent leadership and the one-best style of leadership? 3. What is the focus of transactional leadership? 4. What is the focus of transformational leadership? 5. What is the difference between transformational and charismatic leadership?

Have you ever utilized any of the four transformational behaviors?

Dmitrii Guzhanin/iStock/Thinkstock

1.3 Strategic Approaches to Leadership

There are leadership styles and leadership behaviors, which we have discussed so far in sections 1.1 and 1.2. But a question remains: What perspective or framework should leaders use to identify key organizational issues and challenges and determine how to solve them while continuing to promote short- and long-term organizational success?

We call these perspectives strategic approaches to leadership. In this section and in Section 1.4, we will cover three strategic approaches:

Full range leadership Balanced leadership Principled, or ethical, leadership

In Chapter 5, we will introduce you to two other strategic leadership approaches that are more relevant to leading organizations:

Collaborative leadership Adaptive leadership

Remember, styles and behaviors describe what leaders should do—for example, share a vision or empower and reward followers—while strategic leadership theories provide a higher-level framework for considering how to approach the problems and challenges leaders face in organizations.

Full Range Leadership

We have often used the Managing Versus Leading assessment (Assessment 1.2) in workshops with an organization's senior-most leaders. Consistently, we �ind that even these leaders report spending their time on management activities for a number of reasons, including being new to their roles, leading a signi�icant change effort, or replacing their direct reports to build new teams. In fact, organizations need both management and leadership (Kotter, 1996). One comprehensive model in particular can be considered that identi�ies key transactional (management) and transformational leader behaviors and recommends the extent to which leaders should engage in each. This model is described as full range leadership. The description we provide in this section is drawn from key works (Avolio, 1999; Avolio & Bass, 2001; Bass, 1985; Bass & Avolio, 1990, 1994; Sosik & Jung, 2010) on full range leadership.

The full range leadership model identi�ies four key transformational behaviors that help leaders achieve superior results; each behavior is considered to be effective and active by nature. The transformational behaviors are as follows:

1. Idealized in�luence (II): Occurs when leaders consider the needs of others over their own personal needs and talk about and emphasize the institution's values, mission, and objectives, role-modeling high levels of performance and ethics. As a result, followers identify with and want to emulate their leader.

2. Inspirational motivation (IM): Occurs when leaders demonstrate their commitment to goals and a shared purpose and motivate and inspire their followers by helping them see the meaning and challenge in their work. As a result, followers are energized and exert extra energy to overcome challenges; they collectively work with the leader to envision an attractive future.

3. Intellectual stimulation (IS): Occurs when leaders stimulate followers to be creative by making it safe to question beliefs and assumptions, seek different perspectives, and reframe problems; followers become engaged with leaders in organizational problem solving. As a result, followers become free to think, create, and better utilize their talents and abilities.

4. Individualized consideration (IC): Occurs when leaders coach and mentor others, paying attention to each individual's needs for growth and achievement; in the process, leaders demonstrate empathy and show that they value individuals' needs. As a result, followers increase their willingness to develop and to reach successively higher levels of potential and performance.

You will recognize key aspects of these four behaviors from our earlier discussion of transformational leadership, including leaders placing the needs of others over their own and the focus on leaders communicating organization vision and purpose to arouse follower motivation, align performance efforts, and help followers see value and meaning in their work. However, this model also includes an explicit focus on challenging the status quo, being innovative, and mentoring and coaching others for development as important transformational behaviors.

The full range leadership model also identi�ies four transactional behaviors that are primarily based on exchange, that is, the use of rewards or punishment (the exercise of reward or coercive power) to, respectively, reinforce or alter follower performance. These behaviors, moving from the least effective and least active to the most effective and most active, include the following:

A balanced leader promotes social cognitive skills, which include openness and trust. Leaders can foster these skills by listening to others' ideas.

BananaStock/BananaStock/Thinkstock

1. Laissez-faire (LL): The most inactive and ineffective behavior, as it is the absence or avoidance of leadership; there is no behavior at all, because nothing is transacted. Leader behavior in this case is, for example, to avoid taking a stand on important issues, ignore the development of others, or not follow up on issues.

2. Passive management-by-exception (MBE-P): Only somewhat more effective than the laissez-faire style; a corrective action that occurs when a leader waits for mistakes to happen before trying to �ix problems, when the leader will intervene only when standards are not met. Followers' trust in their leader, as well as their commitment and motivation, will be low.

3. Active management-by-exception (MBE-A): Occurs when the leader actively micromanages processes and takes corrective action, typically before or soon after a deviation, mistake, or problem arises; it involves closely monitoring the work for errors and putting systems in place to immediately inform the leader if and when performance does not meet expectations. Followers are likely to feel intimidated, fearful, and reluctant to innovate for fear of making mistakes; because of the focus on the negative, commitment and motivation tend to be low.

4. Contingent reward (CR): The most effective and active transactional leader behavior when it comes to motivating higher levels of performance and development in followers; it is a constructive transaction, grounded in goal setting. The leader clari�ies goals and expectations for performance to which followers agree, with the assumption that they will be rewarded accordingly. Failure to meet performance expectations may result in either no reward or some form of punishment.

Based on a number of studies across business and industry, the government and the military, educational institutions, and not-for-pro�it organizations, Avolio and Bass (2001) reported that idealized in�luence and inspirational motivation are the more effective and satisfying components of transformational leadership. In addition, contingent reward behavior was found to be effective and satisfying in most situations when the leader had control over the ways a follower could be rewarded, though not as effective as the transformational behaviors. Ultimately, then, leaders have choices about how to behave as they try to ful�ill their overall responsibility for organization success. Essentially, full range leadership can also be described as adaptive leadership: knowing what to do when. We will discuss adaptive leadership in Chapter 5, as it is particularly relevant to leading organizations.

Balanced Leadership

Group leaders can be either autocratic or empowering; they can provide clear direction, or they can encourage participation in decision making and the provision of resources (London & London, 2007). Leaders want group members to be committed to the group's goals, but they also want to be sure that the way groups develop and the goals they achieve are meaningful. Leaders, then, generally need a balanced approach to be effective, an idea that builds on the leadership styles and strategies discussed in this chapter. In this approach, balance is a nuance that leaders need to create and maintain. The strategic approach of balanced leadership emphasizes the need for leaders to balance members' personal interests and the interests of the team and the organization, while ensuring complex problems are addressed and results are achieved through generative, adaptive work—work that allows employees to learn and apply new competencies. Effective balanced leadership incorporates both transactional and transformational behaviors but produces outcomes for the organization that are more transformational in nature.

Leaders can exercise balanced leadership in the following four ways (London & London, 2007; London, Sobel-Lojeski, & Reilly, 2011):

1. Balancing individual members' strong interests with the group's common vision and shared set of goals

2. Balancing controlling the group with encouraging members to participate in the group process

3. Balancing the need for exploration and sense making with the need to analyze and conceptualize what was learned

4. Balancing the need for re�lection with the demands for taking action and meeting deadlines

According to London et al. (2011), exercising balance in these ways creates speci�ic outcomes in groups and the organization:

1. When leaders balance acknowledging members' vested interests with establishing shared goals, they help to drive the members' commitment to the group and group members' interpersonal congruence.

2. When leaders balance control and empowerment, they foster trust and the development of transactive memory. 3. When leaders balance exploration and conceptualization, they create more openness. 4. When leaders balance re�lection and action, they create higher levels of collective ef�icacy.

Balanced leadership should also promote the development of metacognitive skills, or skills related to actively controlling our thinking and regulatory processes, such as self-awareness, self-management, self-development, and relationship management. In addition to developing metacognitive skills, London et al. (2011) proposed that balanced leadership promotes a range of other skills necessary for the success of generative work. These skills, called social cognitive skills, include commitment, interpersonal congruence (the extent to which group members see themselves as others see them), openness, trust, transactive memory (the history of shared and accessible knowledge within a group), and collective ef�icacy. In addition, these skills become more important to the group as it moves from leader dependence to

member empowerment and from structured to unstructured group processing. Consider an example of balanced leadership in Case Study: The Research Lab Director's Dilemma.

Case Study: The Research Lab Director's Dilemma

The director of a pharmaceutical �irm's research lab was faced with a tight deadline to improve a drug's effectiveness. The scientists in the lab were developing and testing various formulations before one or more new versions of the drug were ready for animal and human testing. The �irm had invested millions of dollars in the drug already, and the next formulation was critical to continuing the drug's pro�itability to the �irm. The director wanted to put the entire research effort and budget into the one line of research he felt would be most productive, abandoning the other alternatives. Two of the four chief scientists in the lab agreed with him. The other two did not.

The director realized that he could insist that all scientists focus on the idea he believed would be most effective. If he did, though, the other scientists would feel that their expertise had not been respected. The director could also be more directive and tell the scientists how to proceed with their research—what steps to follow to produce results fastest without wasting time or resources. But here too, the scientists would feel that their different approaches to methodology were being ignored. The department head also considered stopping the research for 3 days to invite several outside physicians to meet with the group and discuss the alternative directions. But this would have cut into the timeline.

This was an opportunity for balanced leadership. The director decided that a few days for study and discussion would bene�it the research. The meeting resulted in suggestions for ways to refocus their experiments, devoting more attention to the path the department head felt would be most productive (which the physicians also recommended pursuing) while giving another option a chance. So the director assigned one of the researchers to continue one of the alternative lines of research that seemed to be most promising. In addition, the department head gave the scientists free rein to apply research methods and a schedule that they felt would be best even if it took more time, thereby empowering them to use their expertise.

The result was that the team's commitment to the goal increased. They felt they could trust the department head to value their input and allow them to express their opinions and gather opinions from outside the team. This improved their relationships, overcoming professional arguments and disgruntlement, and created a sense of collective ef�icacy: Together, they could accomplish the department's scienti�ic and corporate goals.

Re�lection Questions

1. How would you have felt as one of the team members if the director had made the decision for which line of research to follow by himself and did not choose the line you preferred?

2. Given the director's approach, would you have felt more committed to your work?

Time for Re�lection

Let's take a moment to re�lect on leadership styles and strategic approaches. For a long time, there was much debate about whether leaders should vary and tailor their behavior given the situation or whether they should act consistently and not vary their behavior at all. Driving this debate was whether leaders should focus on accomplishing tasks and being directive or on building relationships and being supportive. In fact, this really was an arti�icial distinction, as leaders certainly need to focus on both. So the situational (contingency) theories tend to err on the side of a potentially extreme focus on one set of behaviors or the other. On the other hand, the one-best style could be said to err on the side of too much of both behaviors, more than any follower might necessarily need.

Lately, the challenge has been whether there is a difference between management and leadership, and if so, what it is. As we discussed earlier, there are differences, with managers tending to focus on task accomplishment, engaging in transactions with their followers to motivate them to get the work done. Leaders, on the other hand, tend to focus more on transformation, appealing to higher-order values and emotions as a way to motivate followers. Where does this leave us?

The full range leadership model offers an integrated approach to leadership and emphasizes transformational over transactional leadership behaviors as being more effective for motivating and guiding behavior. Research tends to support this approach. We also favor the idea of a more balanced approach to leadership. Leaders will need to adjust to their situations. Sometimes leaders will need to be transactional, structuring work situations for followers, and other times transformational, collaborating with followers on a vision for change, gaining their commitment, and meeting tough challenges. Executing this approach will require both sensitivity to others and the self-knowledge necessary to effectively lead one's self before leading others. We discuss this thoroughly in Chapter 2.

Finally, the challenges of leading organizations today place demands on leaders that are tough to meet. In fact, they offer temptations and impose pressures for results that may be too much for leaders to bear. Recently, as noted in the press, a number of leaders have succumbed to temptation and acted in ways that favored greed and satisfying stockholders over honesty and integrity. This raises the question of what it takes to be an ethical leader, which we discuss in Section 1.4.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. Revisit Assessment 1.3. Now that you are more familiar with full range and balanced leadership, do you think either describes your preferred approach? What might you do to better incorporate one or both of these approaches into your leadership style?

2. What is the value of the full range leadership model? 3. What is meant by balanced leadership?

In 2015, the Environmental Protection Agency brought claims against Volkswagen Group for programming vehicles to cheat laboratory emissions testing.

imageBROKER/imageBROKER/SuperStock

1.4 Principled Leadership

Principled or ethical leadership (we will use the words principled and ethical interchangeably) refers to leading from a set of core values, including trust, honesty, integrity, and caring (London, 1999). Ethical leaders make decisions that not only are legal and bene�it their organizations but also seek to serve society, making the communities in which they work a better place. Ethical leaders personally promote service, social welfare, and social justice and may incorporate this sense of individual and social responsibility into their organizations. Ethical leaders are self-con�ident, objective about their own strengths and weaknesses, patient, sensitive to others, �lexible, resilient in the face of barriers or disappointments, and optimistic.

Being a principled or ethical leader has always been of central importance to business but, unfortunately, has not always been put into practice. We know all too well the effects of major infractions such as Ponzi schemes, insider trading, and other actions motivated by simple greed. Consider bankers issuing mortgages for properties buyers couldn't afford, resulting in the rise of credit default swaps, the in�lating and bursting of the real estate bubble, and the "Great Recession" that lasted from 2007 to 2009. Consider Volkswagen, which was found in 2015 to have been rigging its vehicle emissions and blatantly lying to customers who thought they were buying more-ef�icient vehicles that would produce less pollution when the opposite was true. In this case, Volkswagen's

actions are a prime example of corporate hubris and lack of integrity, not to mention collusion and illegal behavior among the company's managers and engineers.

Although such examples receive considerable media attention, most leaders are honest and demonstrate integrity in their business decisions. Perhaps one of the most recognizable ethical organization leaders is Warren Buffett, CEO of Berkshire Hathaway and perhaps the most successful investor of the last 100 years, worth more than $66 billion. He is known for emphasizing the importance of guarding a company's reputation and avoiding any action that you or your family and friends will feel bad about if it reaches the media. As he famously wrote in a memo to Berkshire Hathaway managers,

We can afford to lose money—even a lot of money. But we can't afford to lose reputation—even a shred of reputation. We must continue to measure every act against not only what is legal but also what we would be happy to have written about on the front page of a national newspaper . . . by an unfriendly but intelligent reporter. (Buffett, 2010, p. 104)

You may not �ind yourself the subject of such media attention, but it is important to note that even one misguided action or decision can ruin a leader's reputation (not to mention the reputation of the �irm or, at worst, the lives of others). Negative information looms larger in people's minds than positive information does, and one bad action or actor can irreparably damage a person's career. In this section, we consider what it means to be a principled leader, including the three key elements of ethical leadership:

Living by core values Operating the organization in a responsible and ethical manner Displaying corporate social responsibility

Living by Core Values

The Center for Ethical Leadership, located in Seattle, Washington, and offering training and workshops on ethics, has de�ined ethical leadership as "knowing your core values and having the courage to live them in all parts of your life in service of the common good" (Center for Ethical Leadership, 2015, para. 6). Core values are those principles that are most important to a person. Core values, for example, can include integrity, honesty, concern for people, and openness to new ideas. Ethical leaders demonstrate courage when they support principled actions, particularly in demanding situations when standing for their principles is most dif�icult, such as when money and personal welfare are at stake. They seek to show respect and support for others and treat others with dignity. Some ethical leaders will also try to resolve issues by consensus decision making, seeking win–win solutions to con�lict, negotiating, and empathizing with others (London, 1999). London (1999) has described some of the key behaviors principled leaders demonstrate:

1. Asking for others' opinions 2. Demonstrating their understanding of different points of view 3. Allowing others to save face 4. Staying in touch through frequent communications 5. Valuing the differences between people's backgrounds and perspectives 6. Giving credence to complaints 7. Facing charges with grace and forthrightness, not defensiveness

Stephen Covey's Habits

Stephen Covey believes that leaders should build and demonstrate principles beyond their work environment.

Associated Press/Ric Feld

Stephen Covey, who has written some of the best-selling books about leadership, is well known for his description of speci�ic behaviors effective ethical leaders should demonstrate. Covey emphasized four levels of principle-centered leadership (1992):

1. Personal—Showing you are trustworthy 2. Interpersonal—Building trust between you and others (subordinates and fellow team

members) 3. Managerial—Empowering others to make decisions 4. Organizational—Aligning your goals with the broader goals of your organization and

department

Covey has described principled leaders as men and women of character who build principles into their work and nonwork lives, prove themselves to be trustworthy, trust and empower others, and align their actions with their goals and the goals of the organization. In his popular Seven Habits of Highly Effective People, Covey (1989) outlined a set of actions leaders should take to be ethical, show concern for others, and accomplish personal and organizational goals. These seven habits are as follows:

1. Be proactive, take initiative to set goals, and take actions to accomplish them. 2. Recognize the character values that guide your life. 3. Prioritize and plan ahead. 4. Strive for mutually bene�icial solutions (win–win outcomes) that value others' perspectives. 5. Be an empathetic listener who listens carefully to others with an open mind, creating a

climate of caring and respect so that others will do the same. 6. Draw on and combine the strengths of the people on your team to accomplish more than any one person could do alone. 7. Live a balanced life that does not waste time, resources, or energy unnecessarily.

In 2004, Covey presented an eighth habit, which he described as �inding your voice and inspiring others to �ind theirs. According to Covey, this habit is about more than just adding another to the prior seven: "It is about seeing and harnessing the power of a third dimension to the seven habits that meets the central challenge of the new Knowledge Worker Age" (2004, pp. 5–6). This central challenge, Covey said, is to move away from the Industrial Age mentality of seeing people as replaceable things and instead see them as knowledge workers with untapped talents and potential.

Robert Greenleaf's Servant Leadership For Robert Greenleaf, a director of human resources at AT&T, the core values of ethical leadership can be summed up in a single concept: servant leadership. This form of principle-centered leadership turns the traditional organizational chart on its head. Organizations are usually structured like pyramids, with the chairperson of the board and board of directors at the top. A few executives rest at the next level down in the hierarchy (the "C" suite—chief executive of�icer, chief operating of�icer, chief �inancial of�icer, chief information of�icer, chief learning of�icer, etc.). Vice presidents then follow, and below that level we �ind layers of directors, managers, and supervisors. Greenleaf's servant leadership concept inverts the pyramid to put the senior-most executive leaders at the bottom of the hierarchy. This suggests that the leader's key role is to support his or her direct reports to help them perform effectively and successfully.

The phrase servant leadership was coined by Greenleaf in "The Servant as Leader," an essay that he �irst published in 1970:

The servant-leader is servant �irst. . . . It begins with the natural feeling that one wants to serve, to serve �irst. Then conscious choice brings one to aspire to lead. That person is sharply different from one who is leader �irst, perhaps because of the need to assuage an unusual power drive or to acquire material possessions. . . . The leader-�irst and the servant-�irst are two extreme types. Between them there are shadings and blends that are part of the in�inite variety of human nature. (as cited in Greenleaf Center for Student Leadership, 2015, para. 3)

For Greenleaf, then, the overarching principle of effective leadership is based on exercising power in the service of others and not for oneself. The servant leader's �irst priority is to make sure that the needs of her or his direct reports are being met and that they have a chance to grow as both professionals and as people—to become healthier, wiser, and more autonomous. According to Greenleaf, when this happens, these individuals will become more like servants to others.

Operating the Organization in a Responsible Way

Principled leaders strive to make decisions that not only do no harm but also create good. However, this does not mean that they don't bene�it personally. Doing good for others and doing well �inancially are certainly compatible. On the other hand, making a pro�it and harming others in the process, wittingly or unwittingly, may seem to be bene�icial in the short term but can create larger problems and have serious consequences. There is no shortage of contemporary leaders and companies we would deem unethical and unprincipled. We could take examples from different walks of life, such as politics or religion. But let's stick to a few examples from business.

Jeffrey Skilling and Andrew Fastow. These executives of the infamous natural gas and energy company Enron went to great lengths to lie about their company's lackluster �inancial performance. CEO Skilling created corporate entities and other accounting

A deputy displays part of a defective Takata air bag believed to have killed a 17-year-old girl by sending a shard of metal into her neck. Takata failed to issue a recall notice, even though it was aware its air bags were prone to exploding.

Associated Press/Emily Foxhall/Houston Chronicle

loopholes to hide billions of dollars in debt and failed deals. Chief Financial Of�icer Fastow and other executives misled Enron's board, glossing over the company's questionable accounting practices, and pressured their accountants with accounting �irm Arthur Andersen LLP to overlook these practices. This was not only unethical, but illegal. What is commonly known as the Enron scandal, which broke in 2001, led to Enron's bankruptcy, a huge �inancial loss for its employees and stockholders, and the dissolution of Arthur Andersen, one of the �ive largest accounting �irms in the country. Skilling was sentenced to 24 years in prison; Fastow was sentenced to 6 years, and both forfeited millions of dollars of personal assets (McLean & Elkind, 2003). Bernard Madoff. This former NASDAQ chairman ran a so-called Ponzi scheme for more than 30 years, persuading thousands of investors (including banks, charities, and universities) to let him manage their money by boasting of steady returns and virtually no losses. In reality, Madoff was fabricating his hedge fund's performance; he never really invested his clients' money, and he just used the new money coming from new investors to satisfy distribution requests from current investors. When his too-good-to-be- true returns on investments were discovered, he pled guilty and was sentenced to 150 years in prison, while investors lost millions and billions of dollars. Toyota. The automaker's leaders concealed problems to protect its corporate image of product safety and reliability. In 2009, a family of four was killed in California due to their Toyota vehicle suddenly accelerating. Toyota suggested the problem was driver error or even a problem with the car's �loor mats—even though it was aware that the �lawed design of the gas pedal caused the same problem. Toyota recalled the �loor mats but continued to ignore increasing evidence of the gas pedal problem. Instead, Toyota executives had the gas pedals quietly changed out—never informing government of�icials of their actions. In the end, the U.S. Department of Justice (DOJ) �ined Toyota $1.2 billion, about one third of the company's 2013 pro�it, for not fully disclosing what it knew. Toyota also faces a deferred prosecution agreement for criminal action if it does not live up to its agreement with the DOJ. Takata. Much like Toyota, automotive parts company Takata poorly handled known safety issues with one of its products. Takata's airbags had been known to explode when they in�lated, causing severe injuries and even deaths to drivers. Several automakers began recalling vehicles with Takata airbags in 2013, although some reports suggested that problems started occurring earlier. However, Takata executives waited until 2014 to acknowledge the situation, and it was not until June 2015 that the CEO apologized for the harm the airbags caused and for failing to explain the situation to the public earlier. As a result, almost 40 million airbags have been recalled in the United States alone, and the company's reputation as a supplier of airbag in�lators—its key pro�it source—has been ruined. This was actually not the �irst scandal to rock the company: In 2013, several Takata executives were imprisoned for conspiring to �ix seatbelt prices in the United States. As of spring 2016, Takata's stock had fallen almost 80% over the past year, it had been �ined $70 million by U.S. regulators, and the Department of Justice was conducting a criminal investigation—all leaving Takata and its executives facing a future under a cloud of uncertainty.

All of these activities were both unethical and illegal. However, acting unethically does not always mean acting illegally. Other, far less visible unethical actions happen daily in organizations, such as the following:

Lying or misleading. This might include promising someone a promotion without any intention of following through, telling a falsehood about someone with whom you are competing for a promotion, or lying to a customer about a delivery date that you know you cannot make in order to complete a sale. Causing harm to another's reputation. This might include not revealing your own mistake and blaming others or not taking responsibility for an action that had negative outcomes, even unintentionally. Coercing others to act. This might include forcing or encouraging colleagues to act in a way that bene�its you even if they prefer not to do it.

Displaying Corporate Social Responsibility

Many organizations today not only act ethically but also devote energy and pro�its to give back to their communities. In a nutshell, this is the third element of ethical leadership. In fact, some companies were founded for that purpose. Other �irms have come to realize that social consciousness is good business. They see themselves as not out just to make a pro�it but also to sustain economic growth in the communities in which they operate and to promote social welfare more generally. This attitude is what is meant by the phrase corporate social responsibility, and it stems from the top leadership of the organization. Retailer Target, for example, gives 5% of its pro�its to charity. Other companies are particularly well known for operating with a social conscience. Ben & Jerry's Ice Cream, since its founding in 1977 by Ben Cohen and Jerry Green�ield, has remained committed to treating employees fairly and engaging community members in environmental and social initiatives. Also, since 2005, Ben & Jerry's has made its ice cream with fair-trade-certi�ied ingredients, ensuring that farmers and workers are justly compensated.

Sustainability means not only decreasing negative environmental impact, but also promoting positive environmental impact.

©Mint Images/Mint Images/SuperStock

Yvon Chouinard, founder of outdoor apparel company Patagonia, discusses the company's "1% for the Planet" initiative, which has united approximately 1,200 companies in the effort to give 1% of their annual sales to charity.

Corporate Responsibility: Patagonia's Yvon Chouinard

Critical Thinking Questions

1. Should corporations be expected to be involved in charitable or sustainable practices?

2. As a leader, what might be the pros and cons of incorporating corporate responsibility into your organization's mission?

Some leaders actually set out to establish an enterprise for the social good. We call these leaders social entrepreneurs. Their enterprises may be for pro�it, such as actor Paul Newman and author A. E. Hotchner's food company Newman's Own, which gives 100% of its aftertax pro�its to various charities and causes. Some may be not for pro�it, instead raising money to provide needed services and research, such as the American Cancer Society. Social entrepreneurship may also result in corporate foundations, such as the Google Foundation, or private foundations, such as Synergos, which focuses on creating synergies among local groups, government, and private gifts to build community-based economic development projects in developing countries. The Skoll Foundation is another example of a private foundation founded by a social entrepreneur, Jeffrey Skoll, the �irst president of eBay. Started in 1999, the Skoll Foundation identi�ies extraordinary leaders of social entrepreneurship ventures whose ideas can spark large-scale change for dif�icult social problems. The Skoll Foundation website communicates these stories in compelling videos. Skoll also founded Participant Media to produce �ilms and documentaries that promote social values while still being commercially viable. One production from Participant Media is Al Gore's �ilm about global warming, An Inconvenient Truth. For more about Skoll, see http://www.skollfoundation.org (http://www.skollfoundation.org) .

Some social entrepreneurs founded non governmental organizations (NGOs), such as Greenpeace, and support organizations, such as Ashoka. Ashoka founder Bill Drayton's goal in 1980 was to support social entrepreneurs who were starting local efforts that could be expanded to address the world's most urgent social problems. Ashoka Fellows receive stipends, professional support, and access to a global network of fellow social entrepreneurs. The Fellows collaborate and inspire each other. Today, the network of Fellows, business entrepreneurs, government policymakers, investors, academics, and journalists includes more than 2,000 people in 60 countries. View Bill Drayton in action describing his mission and vision at http://www.youtube.com/watch?v=RGbYzRrLR6Y&feature=related (http://www.youtube.com/watch?v=RGbYzRrLR6Y&feature=related) .

The founders and leaders of these organizations are seen as visionaries and sometimes as idealists. They are principle-centered leaders with a strong social responsibility focus. Their leadership styles involve being visionaries with unique ideas, who actively enlist the support of others who share their vision. They create operations that work and expand over time, spreading the wealth locally and across the globe. They are grounded in principles of fair treatment.

Another form of corporate social responsibility addresses an organization's environmental impact. "Sustainability" has become a buzzword today. Many companies are now trying to be environmentally sensitive and to make the commitment not only to avoid having a negative impact on the environment but also to proactively protect and enhance it. Sustainability can be achieved through a variety of ways, including the sourcing of products, the materials and energy used in their manufacture and distribution, and the avoidance of waste, especially hazardous waste. For example, one of Ben & Jerry's community projects, named the Vermont Dairy Farm Sustainability Project, set out to identify practical methods of dairy operations to safeguard water quality from nitrogen and phosphorous runoff without sacri�icing the viability of the farm. Dedicating a company to sustainability has several bene�its. Of course, it protects the environment, and as such, it is bene�icial for society. It also helps the organization attract environmentally committed employees and customers and maintain a corporate reputation as a responsible company. Overall, sustainability contributes to revenue and pro�its and, ultimately, the value of the company's stock. The role for leaders will be to af�irm and maintain their commitment to sustainability, expend resources on energy audits and energy-ef�icient technology, and assess and report the gains to stockholders, customers, and employees. The leadership challenge is to make sustainability not just a cost of doing business but a valued part of the enterprise.

Read Spotlight: Henry Schein Inc. and Corporate Social Responsibility to further consider how social consciousness might manifest itself in a company.

1% for the Planet (Custom) From Title: Patagonia: Growing the Sustainable Company—Yvo... (https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid=56732)

© I f b All Ri ht R d L th 02 55

 0:000:00 / 2:55 / 2:55 1x1x

Spotlight: Henry Schein Inc. and Corporate Social Responsibility

Henry Schein Inc. is an international �irm that installs and services medical equipment. Founded by pharmacist Henry Schein and his wife in the 1940s, the �irm was a means of generating funds to support community initiatives. Today, "Team Schein" is involved in numerous social welfare programs. Indeed, social welfare is ingrained in the company's culture. Two of its corporate social responsibility programs emphasize the culture of the company.

The Henry Schein "Back to School" program engages employees in furnishing clothing and school supplies to underserved children in local areas to lift their spirits and increase their con�idence in the classroom. The company works with local not- for-pro�it social service organizations to identify recipients. Employees "adopt" individual children to give them an entire out�it (including sneakers, socks, pants or skirt, undergarments, and top) for the �irst day of school. The company's suppliers also participate, donating medical and dental products for back-to-school kits. More than 5,000 children bene�it from the program each year around the United States and abroad (Henry Schein Inc., n.d.a). The company's "Holiday Cheer" is run by employees who donate time and money to purchase and deliver clothes, toys, games, and food baskets to underserved children in areas where the company has a presence. More than 1,000 children bene�it each year (Henry Schein Inc., n.d.b).

The spin-off bene�it is a corporate culture that attracts and retains motivated employees who feel pride in working for Henry Schein —the company describes its team members as its "greatest asset" (Henry Schein Inc., n.d.c, para. 2).

Leadership in Review

Re�lect on your learning by answering the following questions:

1. Revisit Assessment 1.3. Now that you are more familiar with principled leadership, do you think it describes your preferred approach? What might you do to better incorporate ethical behavior into your leadership style?

2. What is the essential difference between principled or ethical leadership and other kinds of leadership? 3. Why is the current emphasis on corporate social responsibility important? Would you like to work at a company like Henry

Schein? 4. Now, think about a leader you admire, and re�lect on the following questions. We suggest writing down your answers to

bene�it your own learning. What characteristics showed that he or she was ethical or principled? What ethical principles guide the way you behave at work? Have your principles ever been tested? How did you react?

1.5 Leadership Roles and Effectiveness

A role describes a set of behaviors and actions prescribed by a task, and roles are generally associated with a given position (Katz & Kahn, 1978). Ideally, all the people in a given role would demonstrate the patterns of behaviors associated with that role. Leadership can be considered a role—or, more speci�ically, four roles with four key sets of behaviors or competencies, as shown in Table 1.4.

Table 1.4: Four leadership roles (competency areas)

Leadership role Requires developing competencies in . . .

Leading one's self Personal effectiveness

Leading one to one Interpersonal effectiveness

Leading teams The ability to lead groups and teams

Leading organizations The capacity to lead complex organizations

Too often, leaders, particularly the most senior leaders in the organization, primarily focus on one role over the others, all to their detriment. As practitioners, we have consistently attempted to get leaders to see beyond their preconceived and often limited views of what is expected of them as leaders. You can learn more about our conception of leadership roles in Section 1.6, where we discuss the Mone-London model of organizations. Each of the subsequent chapters in this book will expand on one of these roles in greater detail and will focus on de�ining, assessing yourself for, and helping you develop the associated set of competencies.

For now, we introduce you brie�ly to each leadership role. But �irst, ask yourself the following questions:

Is there a role with which I am most comfortable? Is there a role I enjoy the most? Is there a role I feel I am most skilled executing?

Check on your answers to these questions after you complete this section. Maybe you will feel differently about your interests and skills.

Leading One's Self

Before leaders can lead others as effectively and successfully as possible, they must be able to lead themselves. This means that leaders must continually assess their own abilities and seek improvement and growth. We will address this more speci�ically in Chapter 2. Leading one's self successfully begins with the ability of leaders to see themselves and how they behave as clearly as others see them. It is truly dif�icult and an ongoing challenge to develop this capability fully. Why? According to Freud's psychodynamic explanation, for example, we tend to defend our egos against potential threats and challenges through the use of one or more defense mechanisms, including denial and projection. According to the transformative theory of adult learning, we develop habits, or "meaning schemes" and "meaning perspectives," over time that guide our behavior, and these habits or schemes are largely based on untested assumptions and very hard to change (Mezirow, 1991). In fact, to change meaning perspectives requires a complete reframing and transformation of how one sees the world. Considering these two explanations, we can say that leaders will either deny or be blind to the extent to which they demonstrate less effective behaviors, simply because they have been behaving that way all along. And being able to see those less effective behaviors clearly and acting to improve on them is at the heart of leading one's self.

Practically speaking, people tend to think they are right, and the more experienced and successful leaders are, the more this tends to be true. Success fuels leaders' feelings of competence and their belief that they have the right answers for or know the right way to solve problems. They draw on the same approaches that made them successful in the past. This blinds them to their faults and can ultimately derail their success. In fact, Marshall Goldsmith, a noted executive coach, wrote about this phenomenon in his recent book, What Got You Here Won't Get You There (2007). Another very readable, book, written by The Arbinger Institute, describes this phenomenon as "being in the box" and is aptly titled Leadership and Self-Deception (2010).

Self-leadership enables leaders to meet the demands and challenges of today's high-pressured, turbulent world. Manz and Sims (1989, 2001) argued that leaders need to be pillars of strength. This requires self-leadership �irst and foremost. Leaders need to know themselves —their own strengths and weaknesses, goals, and ambitions—because these guide how they lead others. Moreover, leaders need to know how to support their followers' self-leadership as well as their own. As such, they bring out the leader in all of their employees, tapping into their innate leadership potential and thereby developing an enthusiastic, innovative, and energized workforce. Bennis (2009) argued that an important part of the process of becoming a leader is knowing yourself well, gaining wisdom by re�lecting on the challenges you faced and on what happened. Often, challenges are chaotic and unexpected, forcing a leader to use innate abilities to act and then recognize how these actions produced outcomes.

Self-knowledge is the key to being a transformational leader, achieving greater heights of integrity, openness, and achievement (see Spotlight: Jack Welch and Self-Leadership for some examples). Robert Quinn and his son, both leadership researchers, have referred to this as "lift"—living an aerodynamic life (Quinn & Quinn, 2009; see also Quinn, 2004). They argued that anyone can become a leader through self-knowledge. Can you think of a time when you faced a leadership challenge? What was the result, and what did you learn about yourself?

Jack Welch, the former CEO of General Electric, is an example of how sel�leadership is key to being a leader.

Associated Press

Spotlight: Jack Welch and Self-Leadership

When Jack Welch was the CEO of General Electric, he wanted leaders who dream and sweat. He described GE as a meritocracy in which managers have an opportunity to succeed and prosper as they contribute to the organization's success. He developed his own views of himself as a leader and the types of leaders who create jobs. He demonstrated how sel�leadership is the foundation for a strong view of leading and mentoring others. He has said the following:

"I've learned that mistakes can often be as good a teacher as success" (Welch & Byrne, 2003, p. xvi). "Control your own destiny or someone else will" (quoted in Sherman & Hutton, 1989, para. 2). "My main job was developing talent. . . . I was a gardener providing water and other nourishment to our top 750 people. Of course, I had to pull out some weeds, too" (quoted in Garten, 2001, para. 4).

These quotations from Jack Welch show that self-knowledge and insight about others are the �irst steps in knowing how much you depend on and value others and recognizing the importance of developing others one to one and in teams.

Leading One to One

Leaders meet with followers one to one to review work, discuss tasks, examine situations, strategize, give performance feedback, and, of course, get to know one another as people. We will say more about one-to-one leadership in Chapter 3. For now, consider the example of Sheila Greiner, a retail store manager with 15 years' experience. Five department managers report to Greiner. Each morning, she makes it her business to spend 10 or 15 minutes with each of them to say hello, ask about their families, and talk about what is going on in the store that day. This is a chance for her to review the department's sales �igures, promotions, and personnel. Something different is going on each day: new challenges, opportunities, and problems. Sometimes sales clerks and other staff are out, or new people have to be hired, especially during the busy holiday season. Sometimes an executive from the regional headquarters is coming to review the department. Whatever the issue is, Greiner wants to express her expectations and be sure the department manager understands them. Essentially, she wants to be in sync with each department manager, and she wants each department manager to be in sync with her. Moreover, she wants the department managers to know that she cares about them as individuals, that she wants to see them grow and develop in their careers, and that she recognizes that their success and the store's success are one and the same.

Leaders have a signi�icant opportunity to in�luence the success of their organizations by the way they interact with their followers one to one. First, leaders can use one-to-one situations to demonstrate and build trust and credibility. Second, they can model leadership behavior in ways that help others develop their own leadership capacity. Third, they can use these interactions to demonstrate their skills as a transactional leader, creating a positive exchange relationship. Finally, they can use one-to-one interactions to enroll others in their vision for the organization, demonstrating their effectiveness as transformational and sometimes charismatic leaders.

Effectiveness in one-to-one interactions depends, of course, on being an effective self-leader. Consider a few examples:

1. Leaders would have a dif�icult time soliciting feedback about their performance and behavior if others felt the leaders could not be trusted or were not open to feedback and learning.

2. Leaders' feedback to others could be clouded by their need to enhance and protect their egos, which could be harmful to those receiving the feedback.

3. Overall, important one-to-one interactions, such as communicating with and coaching and mentoring others, and engaging in the full range of performance management activities (for example, goal setting, providing feedback and recognition, and delivering performance appraisals) would not have the full positive impact expected if leaders were not effective self-leaders.

Some leaders reach a level in their organizations that isolates them from others. Indeed, many CEOs and senior leaders themselves are not the recipients of effective, one-to-one leadership (Mone, 2009). The chairman of the board, or sometimes the full board of directors, will shy away from coaching, mentoring, and managing the performance of the CEO. This lack of supervision negatively affects the CEO: For example, no one is pointing out blind spots that, if corrected, would improve the CEO's effectiveness. The lack of oversight also undermines the importance of performance management within the organization, and it may create, in fact, a culture of compliance in which managers and employees complete the performance appraisal process just because they are required to do so and not because they see value in it

A basketball team is an example of how team members need to work together to accomplish a goal.

Comstock/Thinkstock

(London & Mone, 2009). When boards don't act as supervisors, CEOs often as a result will spend little to no time supervising their direct reports, who are typically the most senior leaders in the organization. In the end, when leaders show by their behavior that they don't have the skills or time or that they don't consider it important to have effective one-to-one interactions, they send a negative, albeit strong, message throughout the organization. Yes, one-to-one interactions take time and may often be more transactional in nature; however, this is a necessary leadership role that is often overlooked.

Leading Teams

A leader's success is integrally tied to followers working together to accomplish goals. In some work groups, members of the work group operate individually and have little need to interact. In such cases, the success of the group is an additive combination of group members' efforts. An example might be a regional sales of�ice. Each salesperson has his or her own territory. Even in such a situation, the group will not be successful overall if one person comes up short in doing what he or she needed to do. In other work groups, members interact frequently, and the work of one person depends on that of others on the team. A basketball team is a prime example. In business or other types of organizations, members work together to educate each other, provide ideas and knowledge, brainstorm ideas, and implement plans.

As you will see in Chapter 4, teams come in a variety of forms. Teams provide leaders with the opportunity to demonstrate transactional and transformational behaviors, as well as varied strategic leadership approaches (for example, when the team's work is adaptive or when the team requires balanced leadership as it engages in generative learning). Team leaders, ranging from frontline leaders who interact with customers to CEOs, will need to pay attention to a set of additional factors to ensure their teams are effective and successful. These include how they go about balancing their focus on tasks and relationships, their ability to manage team development, and their ability to foster team learning. We discuss these factors in detail in Chapter 4, recognizing the ever-growing importance of the need for teamwork and collaboration in our global economy.

Teams, particularly more senior-level teams, often exhibit complex dynamics, such as having to deal with longstanding turf battles and differences in perspectives about which strategic options are best to pursue. As such, teams can test the leader's ability to communicate effectively, resolve con�lict, and engage members around a common vision. Leaders will be more effective in these team situations the more they are in tune with themselves and how others see them—in other words, the more effective they are at leading themselves and leading one to one.

At the senior-most levels, effective team leadership is crucial to overall organization success. Why? For the simple reason that typically either executive team members are in consensus about the purpose of the team and which goals to pursue and how, or they are not. Unless there is 100% agreement and buy-in, the outcome is generally a lack of alignment that can reverberate throughout the organization (Labovitz & Rosansky, 1997; Lencioni, 2002). Spencer, Rivero, and Nadler (2002) reinforced this idea when they said the executive team's collective efforts must be aligned with the team's choice for how they organize and manage the work.

As an example of team leadership, consider the case of Jacob Krostophersen, the marketing division manager of a telecommunications �irm (we will call it Telco) handling the account of a large, nationwide pharmaceutical �irm. Telco provides all phone, Internet, and mobile access through a complex wireless and cable-based network for voice, data, and video transmission. Krostophersen's team includes seven account representatives in key cities around the United States, two network engineers who work with Telco's operations department, and four programmers who interface with Telco's software engineering department. Account managers are located on the client's premises, and technical team members are at Telco's headquarters along with Krostophersen. Telco management is pressuring Krostophersen to sell more advanced and pro�itable system con�igurations while responding to the pharmaceutical company's needs. The competition in this industry is �ierce, and Krostophersen knows that his team needs to keep costs down and maximize ef�iciency for this important client. Essentially, Krostophersen and his team are being pulled in two directions—representing Telco's interests and being keenly aware of the customer's goals, operations, and, indeed, bottom line.

Consider actions Krostophersen might take. He could bring his team together to discuss corporate objectives, asking account managers to discuss the range of client system telecommunications problems and asking the network engineers and programmers to begin working on potential solutions that could be pro�itable and improve client ef�iciency and cost effectiveness. Implementing these solutions will not be easy, nor will they likely work for all clients, at least not immediately. The team members will need to stay in close touch with clients and each other. The network engineers and programmers might visit clients to see �irsthand how clients are using their systems and to discuss possible solutions to their problems and ef�iciency goals. Krostophersen's division then remains client centered, at least maintaining, and possibly expanding, business, thereby contributing to Telco's and clients' pro�itability.

Leading Organizations

When we talk about leading organizations, the subject of Chapter 5, we have in mind leading the entire organization or enterprise, which is usually the role of the CEO or president. However, much of what we will discuss in Chapter 5 will be applicable to others in the organization, from executive leaders of strategic business units or major divisions of an enterprise or institution to those leading small, front-line teams who interact with customers. For example, we expect a CEO to establish and communicate a vision for the entire organization, but a front-line leader could also do the same. We expect a CEO to establish goals for the organization and would expect the

same of every front-line leader. The difference, however, is one of impact and scope, as well as complexity. The CEO will need to consider numerous stakeholder groups and may affect hundreds of thousands of employees while trying to ensure the long-term viability of the enterprise. On the other hand, the front-line leader will have a much smaller stakeholder group, perhaps as few as �ive to six employees, and will be primarily concerned with achieving short-term goals.

In no way are we trying to diminish the importance of managers and leaders at lower and middle levels in the organization. In fact, their day-to-day efforts create the success and expected results set out by the senior-most leader. As we see it, the challenge when it comes to leading the organization is to ensure that all leaders, at every level, can inspire and motivate those they directly lead. They should lead them in a way that is consistent with the organization's expectations for behavior and overall results, and in the end, they should at least achieve, if not exceed, those expectations.

Consider the example of Goring Construction Company, which is building a 20-story condominium building. It is 1 year into the project and 3 months behind schedule when Kate Malone is assigned as lead manager. An engineer by training, Malone has worked for Goring for the last 5 years after receiving her MBA and has considerable project management experience. She served as an assistant and subproject manager on many projects in several different cities. This new role is the �irst time in the company's history that a woman has been assigned to lead a project. She replaced a seasoned veteran with the company who was close to retirement. His attitude was always that he knew best, but he was having trouble adjusting to new project management technology and managing the younger construction workers. The 32 men working on the project are all of different ages and have been divided into three subdivisions working on different aspects of the project. Precise coordination is needed within each subgroup as well as between the site and the company's procurement and distribution of�ices, which handle ordering all materials for delivery when they are needed. Because the project is behind schedule, materials have been backing up in the warehouse, costing the �irm money. Compounding the problem, the subdivision heads have been continuously arguing that the other subdivisions are not doing their jobs.

This is a complex set of leadership problems. Malone faces issues of gender and age differences between herself and her team. However, she can garner their respect by inviting their viewpoints and showing how scheduling technology might work to improve operations, including creating several trial demonstrations to show how the men can learn and apply the technology. Malone also has to maintain close contact with the company's procurement and distribution of�ices to understand the extent of the problem and communicate frequently with the subdivision heads to address their concerns. This is all easier said than done, but Malone has the experience, education, and—let's hope—interpersonal sensitivity to get the project back on track and keep it on track.

Malone's success will depend on the good intentions of her team and the subdivision heads in addition to her ability. Her promotion suggests that Goring is a company that treats all people with respect, values their contributions, and does not tolerate insubordination or, worse, harassment of any kind. Still, she is paving the way for women in the �irm and the construction industry, and this will likely pose challenges.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is a role? What are the four main leadership roles? 2. What major challenge is involved in leading one's self? 3. Why should a CEO be supervised? Why is it important for executive teams to function effectively? 4. What is the key challenge in leading the organization? 5. Revisit the questions from the beginning of the section: Is there a role with which you are most comfortable? Is there a role

you enjoy the most? Is there a role you feel you are most skilled executing? How did your answers change after reading this section? Revisit all these questions as you continue to read the chapter.

It is the responsibility of leaders to ensure that they think strategically to align the organization with its environment.

Hero Images/Hero Images/SuperStock

1.6 What Should an Organization and Leader Do to Be Effective?

We now turn our attention to understanding how to determine or analyze an organization's speci�ic requirements for effective leadership. To do so, we present a model that states that leadership success and results will depend on how well the organization interacts with its environment, and we stress the importance of having a strategic plan in place to guide overall organization efforts. We then provide a framework and series of questions for use in determining gaps in leadership for the organization as a whole and for each of the four leadership roles. Finally, we examine how leaders can use technology in their organization to be more effective and contribute to the organization's effectiveness. In other words, to be effective, an organization and leader should think strategically, address gaps in leadership, and leverage technology.

Think Strategically

Organizations are complex, open systems that interact with their environments. This relationship has been modeled by many organization development theorists, including Burke and Litwin (1992) and Nadler and Tushman (1977). Effective leaders ensure overall organization alignment (the importance of which has been discussed by Kotter [1978] and Labovitz and Rosansky [1997]): They analyze each internal organization component—such as its systems, processes, core competencies, culture, and strategy—and ensure that each is appropriate and in line with one another, as well as with the organization's mission and overarching objectives. Effective leaders do all of this in the context of their environments to achieve optimal outcomes and results. Our simple model representing this relationship among the leader, the organization, and the environment adapts Lewin's widely known representation of human behavior as a function of the person and the environment (Cartwright, 1951):

Leadership Effectiveness = f (Organization, Environment)

In other words, leadership effectiveness is a function of how well the organization interacts with the environment. In this model, leadership effectiveness is measured by the extent to which stated, desired results are achieved. Of course, we assume that leaders will demonstrate the appropriate behaviors in the process of guiding the organization to achieve results. However, the need to measure and evaluate organization success by how well it achieves stated results and expected outcomes is important to all organization stakeholders and helps to ensure long-term growth and viability. A strategic plan helps leaders achieve these organizational goals. Simply speaking, a strategic plan de�ines in speci�ic terms the overall direction of the business, including where the business stands now, its goals and where it wants to be in the future, and its plans for how it will achieve future goals. A strategic plan is an outcome of the strategic planning process. A number of good, readable, and popular resources exist on strategic planning, including Tregoe and Zimmerman (1980); Below, Morrisey, and Acomb (1987); Bossidy and Charan (2002); and Kim and Mauborgne (2005). The following is a list of the key questions Bossidy and Charan said the strategic plan must address and answer:

What is the assessment of the external environment? Who are the existing customers, and what are the existing markets? What is the best way to grow the business pro�itably, and what are the obstacles to that growth? Who are the competitors? Does the business have the capability to execute the strategy? What are the short-term and long-term actions that should be taken, and are they balanced? Are important milestones in place for executing the strategic plan? What are the critical issues facing the business? How will the business make money on a sustainable basis?

In addition to these questions, leaders should have in place speci�ic outcomes of the strategic planning process, including the following:

A statement of core values, the deeply held beliefs that serve to guide the behavior and decision making of an organization's constituents as they interact with stakeholders The organization's mission, which describes the fundamental purpose of the organization, or its reason for being—the business it is in The organization's vision, or picture of the future, which clari�ies the direction for the organization in a high-level, general way Strategies that de�ine how the organization will achieve its mission and vision and compete in the marketplace Overarching goals, which de�ine the high-level results the organization expects to achieve Long-term objectives for successful achievement of the organization's mission, strategy, and overarching goals, typically in the areas of pro�itability, growth, new markets, new products, new services, and the like Integrated programs, the major cross-functional actions required to achieve the strategy and objectives that ensure the organization will work together to achieve its overarching goals (Below et al., 1987; Kotter, 1996; Schein, 1987)

Typically, the highest-level guideposts for action are the organization's mission, vision, strategy, overarching goals, and core values. For an example of the outcomes of the strategic planning process, read the feature box Spotlight: The West Virginia Bureau for Public Health and Strategic Planning.

There are many connections between strategic planning and its outcomes and the leadership styles and approaches we discussed. For example, having a mission and vision helps transformational leaders engage the hearts and minds of followers. Ethical leaders will �irst and foremost model the organization's core values. And as you will �ind in Chapter 5, integrated programs are examples of what �lexible leaders would recommend as they analyze the environment and make decisions.

Spotlight: The West Virginia Bureau for Public Health and Strategic Planning*

As part of its strategic planning process, the public health system in West Virginia, the Bureau for Public Health, articulated a vision, mission, core values, and overarching goals. The bureau executives then met with its stakeholders—representatives of the public served, the medical community, and the governor's of�ice and legislature—and facilitated discussion within the different departments of the bureau. The result, published in 2006, became the foundation for the bureau's decisions and actions for the next 5 years. You can read it in detail at the following link: http://www.wvdhhr.org/bph/strag_plan/vision.htm (http://www.wvdhhr.org/bph/strag_plan/vision.htm) .

The plan is a good example of how a complex organization is able to frame its purpose and goals in a clear way so that stakeholders and employees understand and use this to guide the department, which is critical given the use of tax dollars and ultimately the health of the citizens of the state.

*Note: In this strategic plan, the organization decided to use strategies to describe ways it would implement its overarching goals, which is a variation on the approach discussed in the body of the text.

Address Leadership Gaps

Now that you have a good overview of leadership, you can be more re�lective in understanding leadership in context—that is, what leaders do in organizations to shape goals, respond to conditions, and gain others' commitment. Over the years, we were often asked to provide leaders a simpli�ied framework to guide their thinking and monitor organization efforts and results, so we developed the direction- enabling organization model (Mone & London, 2005) to meet that need. We will use this model to frame our chapter discussions on leading one's self, leading one to one, leading teams, and leading organizations. For the purposes of this chapter, it is important to note that the Mone-London model can help leaders conduct a gap analysis: examining an organization for gaps in leadership, or areas where there is a lack of leadership or where leadership falls short, and moving to address those gaps.

Overview of the Mone-London Organization Model The Mone-London organization model is illustrated in Figure 1.3. The model begins with a premise, that effective leadership—leadership that produces results—is a function of the leader, as well as of characteristics of the organization and the environment. Put simply:

Expected results through effective leadership = f (leader, organization, environment)

In the model, results refers to the stated results the organization intends to achieve. These expected results are typically de�ined through the strategic planning process and are communicated or "cascaded" (relayed successively down through each level of management to the front-line employee) throughout the organization to ensure all employees' efforts and goals are aligned with and focused on achieving those results. Goal setting is an important vehicle for communicating expectations, and we suggest Mone and London (2010) for a robust discussion of how to set aligned goals in organizations.

We de�ine effective leadership as the ability of the senior-most leadership team to drive the organization to achieve results that balance both short-term and long-term stakeholder goals and match the conditions in the environment. Thus, effective leadership is a function of the leader's capabilities and insight, the organization's needs and expectations, and environmental conditions.

The organization's environment, as part of this model, must be addressed through the strategic planning process. The environment presents both constraints and opportunities. The analysis of the environment—major trends, competitors, current and possible regulations and laws, and the like—serves to in�luence the design of both the organization's direction-providing components and its role- performance components.

Figure 1.3: The Mone-London organization model

The Mone-London organization model illustrates the cyclical process of leadership: The senior leadership, at the top of the �igure, determines the direction-providing components (mission, vision,

strategy, core values, and goals) through the strategic planning process. These direction-providing components then drive decisions for the performance components (individual, collaborative dyads, teams, and the organization), using key performance enablers. The performance components—in other words, the organization and its members—produce results, which, in turn, in�luence the senior leadership in setting future goals and strategies. All of this takes place in the context of the environment.

With that premise established, we next concluded that the most high-level, direction-providing components of the organization can be grouped collectively. These are the elements that the leader together with other stakeholders in the organization formulate to indicate what the organization is trying to achieve.

Direction-providing components: Core values, mission, vision, strategy, and overarching goals

Finally, we considered that the direction-providing components should drive decisions for each of the four remaining role-performance components: the effectiveness of (1) individuals; (2) individuals collaborating with each other, one-to-one; (3) teams; and (4) the organization as a whole.

Role-performance components: Individual (effectiveness and key enablers), collaborative dyads (effectiveness and key enablers), team (effectiveness and key enablers), and organization (effectiveness and key enablers)

In using the Mone-London model to determine gaps in leadership, we recommend �irst asking two questions:

What style of leadership is demonstrated by the organization's most senior leaders? Is the organization achieving stated, expected results?

As we have discussed so far, the expectations of leaders are many, and there are a number of behaviors, styles, and strategic approaches that leaders can use to create the conditions for organization success. In essence, however, leaders in�luence organization results by their direct leadership (Yukl, 2006)—how their own behavior affects others, such as their ability to inspire followers (transformational leadership)—and by their indirect leadership—how the programs and processes they put in place drive behavior and performance across the organization, such as the implementation of a new performance-management program.

Determining Gaps in Direction-Providing Components One of the primary responsibilities of key leaders, however, is to establish the overall purpose and direction for the organization so that followers understand the constructed organizational realities and what is expected of them. The organization's purpose and direction are

typically an outcome of the strategic planning process and detailed in the strategic plan. As a result, we recommend the next set of questions to follow in sequence for determining gaps in leadership.

Is there an organization-wide strategic planning process that includes as participants the senior-most organization leaders? Has the strategic planning process resulted in a viable strategic plan? Does the strategic plan fully take into consideration the overall environment? Does the strategic plan detail and include the organization's – Core values (carefully selected behaviors important to achieving overall organization success)? – Mission (fundamental purpose, reason for being)? – Vision (outline of desired future state, an aspirational statement)? – Strategies (de�ined ways the organization will act to achieve its mission and goals)? – Overarching goals (speci�ic, high-level end results)? Are the mission, vision, strategies, overarching goals, and core values well de�ined and aligned with each other? Have the senior leaders of the organization clearly communicated all aspects of the strategic plan to employees? Do the senior leaders have a process in place for ensuring execution of the strategic plan?

Note that these questions focus on the extent to which there is a process for establishing strategic direction. The questions also focus on determining whether the outcomes of the strategic planning process—the strategic plan—are clearly cascaded and communicated throughout the organization. Without clear direction and a plan, it would be impossible to maximize employee, team, and overall organization performance. For example, goals set by managers and employees may be inappropriate and may con�lict with goals set by others in the same or different departments; gaining cooperation in cross-functional teams would be dif�icult as team members would remain loyal to their own groups and not the overall organization; and compensation and recognition could reinforce behavior and performance that is not aligned with the expectations of senior leaders for overall organization success and vitality.

Determining Gaps in Role-Performance Components Once the fundamental organization direction-providing component is in place, it becomes the driver for role performance and the design of all other organization systems, processes, programs, resources, and technologies that support and enable that performance, known as key enablers. We de�ine role-performance components as follows and present examples of key enablers for each:

Individual performance: The outcome expected from an individual performer, including the ability to demonstrate expected behaviors (e.g., core values behaviors or typical organization citizenship behaviors) and job-related competencies and to achieve or exceed performance goals. An example of a key enabler is goal setting and performance feedback. Collaborative dyad performance: The outcome expected from a pair of individuals formally or informally organized to achieve performance expectations, including the ability of the individuals to work effectively and cooperatively together to achieve end results. An example of a key enabler is training (e.g., in interpersonal skills) and coaching. Team performance: The outcome expected from a group of individuals who are formally organized, including the ability to cooperate effectively, generate and share learning, and achieve stated results. An example of a key enabler is goal setting and performance feedback. Organization performance: The outcome expected from the overall organization, including high levels of employee satisfaction and engagement and the achievement of results detailed in the strategic plan. An example of a key enabler is the organization's culture and its reporting and monitoring systems.

Based on these four performance components of the model, we recommend the following questions for determining leadership gaps and the need for leadership intervention:

Do employees have the necessary skills and knowledge to perform successfully, and are they meeting performance expectations as de�ined through the organization's performance-management process? What organizational barriers inhibit individual performance, if any? Are employees collaborating effectively to achieve their goals? Are there the necessary levels of cooperation within and across departments when employees work together to effectively achieve results? What organizational barriers inhibit collaboration between employees, if any? Are formal teams successful in ful�illing their charters and missions? Is there generative learning and results that exceed expectations? What organizational barriers exist to team performance, if any? Are the organizational outcomes being achieved? Are there internal barriers to success? What are the environmental factors, if any, inhibiting overall organizational performance?

In summary, as we think about organizations and begin to diagnose their effectiveness, given the environmental constraints and opportunities, it is important to determine if leaders are being effective, if expected results are being achieved, if the necessary direction- providing components are in place, and if the role-performance components and their enablers are all aligned and working effectively.

Leverage Technology

More than ever, the evolution, if not revolution, that new technology has brought to the work place is creating a number of opportunities and challenges for leaders that must be addressed to ensure their overall effectiveness. Increasingly, work gets done through a host of

Today's technology allows employees to work at different locations instead of the same location. This presents a range of challenges and opportunities for leaders to communicate with their employees.

Photodisc/Thinkstock

technologies; technology is often a key enabler of performance. Instead of coming together in a single location, employees telecommute, working from remote locations all over the world that include their homes, client-customer sites, suppliers' sites, and on the road. They communicate, search for information, share ideas, hold discussions, make decisions, monitor systems, and design and implement work processes.

Increasingly "smart" technologies (often referred to as Web 2.0, and soon Web 3.0) give employees considerable control in doing their jobs. Of course, employees often have to wait to use technology until managers assign tasks. But the new "smart" technology provides desktop access (and mobile access for that matter) to the latest information, public data, networks of professionals, examples from other organizations, and a host of other material and contacts. Employees will naturally think about what needs to be done and begin to explore on their own, rather than wait for leaders to formulate and communicate strategies or for managers to delegate tasks. This is likely to lead to ideas, the start of communities of interest with coworkers and other professionals inside and outside the organization, and suggestions for new initiatives to solve problems, take advantage of opportunities, and create new products and services or improved work processes.

For example, the manager of credit card services in a branch of�ice of a national bank thought that a contest among sales staff would be a way to motivate increased sales. She used the Web to investigate whether there was a creative way to do this that had been successful elsewhere. She contacted a wide range of professionals using the member list from the marketing organization of which she was a member, asking fellow members if they had been involved in such a sales promotion. She identi�ied several examples and used them as a template to develop a proposal that she gave to her supervisor. The supervisor approved the idea as a pilot for the company.

The technological environment poses a host of challenges and opportunities for leaders. Web 2.0 provides a variety of ways of communicating with employees at all levels and other stakeholders (industry analysts, investors, bankers, customers, business partners), as well as setting and describing the organization's mission, goals, strategies, and measures so that employees can align their goals and actions with their leader's expectations and track their accomplishments in relation to the leader's criteria for success. Leaders can use blogs, social media (e.g., Facebook or Twitter), and the organization's website to convey a personal brand and persona that employees can understand and want to follow. Broadcast emails, webinars, and conference calls can keep everyone up to date in a personal way.

The leader's challenge is to maintain a compelling vision that sustains followers' commitment. Leaders also need to be attuned to their stakeholders' imaginations and concerns and draw new ideas from them. This is the test of leading a dynamic organization, one that uses technology to both re�lect and create an environment that sustains organization success. It is important to recognize, too, that this technologically rich work environment extends across nations and cultures. This imposes further challenges, including the possibility of misunderstandings.

These challenges can be referred to as virtual distance. This is the perceived or psychological distance that comes from operating and communicating through technology and across cultures and different perspectives. Virtual distance can occur because the organization operates in part or totally online, without face-to-face contact (Sobel-Lojeski, 2009; Sobel-Lojeski & Reilly, 2008). New technology allows people from a wide variety of locations, including different countries, to work together, and distance can also arise when these people meet in person. People interpret the world from their individual perspectives, cultures, backgrounds, education, and work functions, and many differences and combinations of these differences can break down communication and work processes. Leaders need to be sensitive to these differences and how they can in�luence work effectiveness. They also need to create conditions that overcome these barriers. Such interventions could include communicating frequently, sharing experiences and background, asking for feedback, and discussing (online or in person) viewpoints and their implications for the organization.

Now, consider how you would handle some of these challenges: Suppose you are a senior manager in a multinational organization, with colleagues on just about every continent. How can you use technology to build a common language and culture? What elements of virtual distance are likely to be challenges? How can you convert these potential barriers to your advantage?

Leadership in Review

Re�lect on your learning by answering the following questions:

1. How would you describe the importance of a strategic plan? What are the key elements of a strategic plan? 2. What are the direction-providing components in the Mone-London organization model? 3. What are the performance components in the Mone-London organization model? 4. What are the organization-level questions for determining possible gaps in leadership? 5. What are some of the leadership challenges of technology? What does virtual distance mean?

Summary and Resources

Chapter Summary

This introductory chapter examined de�initions of leadership, the difference between leadership and management, and different ways leaders wield power. We covered the rich and growing literature on styles of leadership, recognizing contingency (situational) leadership theories and emphasizing transformational leadership as distinct from a focus on transactions. Effective leadership can be learned, and there is no one best way to lead.

We also covered different strategic approaches to leadership that emphasize the need to be adaptive and effect a balance. Full range leadership entails a combination of approaches to meet changing situational conditions. As such, leaders need to diagnose situational conditions, be sensitive to these changing conditions, and recognize that different leadership approaches may be needed at different times. So, effective leaders need to be talented enough to (a) recognize these differences and (b) change their behavior to match. This requires sensitivity, ability, and practice. Leaders also need to balance others' views with creating a shared vision. They balance giving direction with empowering others to act in accordance with their own inclinations and a sense of the larger organizational mission and objectives. They balance taking action with taking time for re�lection—giving themselves and those with whom they work and on whom they depend time to assess their work processes and outcomes and determine how they can improve. Principled, ethical leadership is key in these days of increased scrutiny and distrust of powerful organizations. Negative examples from Enron to Volkswagen demonstrate how leaders derail and cause havoc for themselves, their organizations, and stakeholders. On the other hand, positive examples of leaders and their corporations show the value of social responsibility, social entrepreneurship, and ethical decisions for attracting and retaining talented employees as well as pro�itability.

Finally, we described the multiple roles of a leader and what organizations and leaders must do to be effective. First and foremost, leaders must lead (know) themselves. Self-insight is a central ingredient. Other roles are leading individuals, teams, and, of course, the organization as a whole. As we conclude the chapter, we refer you to Appendix A: Research on Leadership. Given the wide range of opinions about leadership and the numerous self-help and how-to books that are available on the topic, the appendix can help you to evaluate these approaches critically and separate truth from opinion.

Leadership Exercise

Instructions: Select a leader whom you would like to study. This should be someone who is currently the leader of an organization and someone whom you admire or who has faced a variety of leadership challenges. Also, it should be someone about whom you can �ind information, as well as information about his or her organization. The leader could be in business, government, the military, or a not-for- pro�it organization or perhaps someone who has been a leader in several of these sectors. Next, describe the leader's background, challenges, and accomplishments. You will return to this leader in the Chapter 2 exercise, so think of this as just the start of writing a case history. These exercises are intended to help you understand leadership better—the qualities that are needed to be an effective leader, the importance of making the "right" decisions, and how leaders analyze and respond to the situations they face.

Web Resources

Read this Fortune article about core values statements that inspire employees: http://fortune.com/2015/03/13/company- slogans (http://fortune.com/2015/03/13/company-slogans) For examples of leaders who initiated action for social good, see https://www.ashoka.org/en/our-team (https://www.ashoka.org/en/our-team ) For more examples of corporate social responsibility, see http://www.businessnewsdaily.com/4679-corporate-social- responsibility.html (http://www.businessnewsdaily.com/4679-corporate-social-responsibility.html) Read this Inc. article to learn more about the bene�its of self-awareness in leadership and how to cultivate self-awareness: http://www.inc.com/resources/leadership/articles/20071001/musselwhite.html (http://www.inc.com/resources/leadership/articles/20071001/musselwhite.html) Watch Steve Jobs describe how seemingly disconnected events in his life in�luenced his career at https://www.youtube.com/watch?v=UF8uR6Z6KLc (https://www.youtube.com/watch?v=UF8uR6Z6KLc) Watch an interview with Mark Zuckerberg in which he talks about his role as a CEO during tough times at Facebook at https://www.youtube.com/watch?v=oO3wCqjytmg (https://www.youtube.com/watch?v=oO3wCqjytmg)

Key Terms to Remember

Click on each key term to see the de�inition.

balanced leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An approach that emphasizes the need for leaders to balance members' personal interests and the interests of the team and the organization, while ensuring complex problems are addressed and results are achieved through generative work.

charismatic leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A leadership style in which leaders hold a radical vision, offer a solution out of an impossible situation, and attract followers based on that vision.

contingent leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A leadership style in which leaders vary their behaviors based on certain factors, such as the skill and motivation of their followers.

corporate social responsibility (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

When organizations act in ways that go beyond just making a pro�it to sustain economic growth in the communities in which they operate and to promote social welfare more generally.

ethical leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

See principled leadership.

full range leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A comprehensive model that identi�ies key transactional and transformational leader behaviors and recommends the extent to which leaders should engage in each.

leader-member exchange (LMX) (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A theory about the transactional leadership style that suggests that the relationship between leaders and subordinates in�luences subordinates' behavior and organizational outcomes: Leaders provide positive outcomes when their subordinates meet their expected levels of performance.

leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The process and ability of being able to in�luence others so that they collectively understand, accomplish, and agree to what needs to be done and how to do it.

managerial grid (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A leadership-style model developed by Blake and Mouton that charts a leader's amount of concern for people and production; it suggests that the one-best style is being a leader who is concerned about tasks and interpersonal relationships.

one-best leadership style (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A leadership style in which leaders �ind the best behavior that maximizes both a concern for people (relationships) and a concern for production (tasks).

power (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The capacity and ways in which leaders in�luence followers.

principled leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An approach that involves leading from a set of core values, including trust, honesty, integrity, and caring. Also known as ethical leadership.

servant leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A concept that inverts the organization pyramid to put the senior-most executive leaders at the bottom of the hierarchy, connoting the idea that the key role of the leader is to support direct reports.

situational leadership theory (SLT) (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The leader determines the best approach to match the situation.

social entrepreneurs (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Leaders who actually set out to establish an enterprise for the social good.

strategic approach to leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A perspective or framework leaders use to identify key organizational issues and challenges and determine how to solve them while continuing to promote short- and long-term organizational success.

strategic plan (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

De�ines in speci�ic terms the overall direction of the business, including where the business stands now, its goals and where it wants to be in the future, and its plans for how it will achieve its future and its goals.

style (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A behavioral tendency that a leader is likely to repeat over time, thereby becoming characteristic of that leader.

transactional leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A leadership style that emphasizes the exchange that occurs between a leader and a follower, in which the leader takes action with the hope of providing something of value to the follower, in essence appealing to the follower's self-interest.

transformational leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A leadership style that emphasizes inspiring and motivating followers to do more than they were originally expected to do by appealing to their values and focusing on achieving higher-order needs.

virtual distance (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The perceived or psychological distance that comes from operating and communicating through technology and across cultures and different perspectives.

An approach that emphasizes the need for leaders to balance members' personal interests and the interests of the team and the organization, while ensuring complex problems are addressed and results are achieved through generative work

Click card to see term 👆

Choose a Study ModeView this study set

2 Self-Leadership

Learning Objectives

After reading this chapter, you should be able to

De�ine the three components of career motivation. Identify and analyze how to overcome career barriers. Explain the importance of self-assessment for continuous learning. Describe common leadership traits and behaviors, including self-monitoring and self- regulation. Interpret clues about what is important for successful leadership in your organization. Illustrate how an organization uses a competency model to specify leadership abilities. Identify learning styles and drivers of self-development. Describe how one learns from new experiences and others' challenges. Describe the value of feedback from your supervisor, subordinates, peers, customers, and others. Describe the value of assessment centers. Describe different types of training and development programs. Describe the value of role models, mentors, and coaches. Create a career development plan. Measure gaps in self-leadership.

OJO Images/SuperStock

Leaders must engage in sel�leadership to promote their own growth and development.

Blend Images/Blend Images/SuperStock

Introduction

In Chapter 1, we provided an overview of the key roles of leadership: leading one's self, leading one to one, leading teams, and leading organizations. This chapter is about leading one's self, or self- leadership. Self-leadership means engaging in continued growth and development that promotes self- understanding. A leader needs to participate in such activities to be successful in the long run. Leaders must assess their own knowledge, skills, and abilities (KSAs) and determine which competencies they need to acquire to effectively lead in their organizations. Leaders need not only self-insight, but also insight about their environments. The world is constantly changing, and leading the way through the uncertainty of change requires that leaders understand how they affect and are affected by their environments.

Although leaders should continuously strive for improvement, they may not always be focused on developing and advancing their own careers. Leaders may also focus on developing others' careers, as discussed in the next chapter. In this chapter, we concentrate on the goals leaders have for themselves. Career advancement is one goal, and it can take different forms and directions over time. At lower levels in the organization—for example, Level III, where managers are managing managers (Hunt, 1991)—leaders typically want to attain higher levels of accountability and leadership responsibility. Once attained, leaders in and progressing through the higher levels of an organization are more likely to interpret career advancement in terms of self-satisfaction, contributing to the growth of their organizations and the people in them, and building a better world (described as corporate social responsibility in Chapter 1).

The Mone-London organization model described in Chapter 1—also known as the directionenabling organization model—can be applied to self-leadership, as seen in Figure 2.1. (Recall that we will be using this cyclical model to frame each chapter's discussion and illustrate the relationship between the main themes of the chapter.) As noted in the �igure, leaders must continually seek performance improvement, which is likely to contribute to career development and advancement. Motivation and effort toward performance improvement and career advancement requires ongoing assessment of oneself and the environment. In accordance with the model, we will discuss the personality and dispositional characteristics that are important for leadership, including career motivation, metacognitive skills, and the leader traits and behaviors that provide the foundation for the leadership styles addressed in Chapter 1. We will explore methods leaders can use for fostering self-development and insight, including assessments that focus on self- monitoring, learning styles, and innovative thinking.

We will also explore practices—performance enablers—in the work environment, which enhance role performance and results but, at the same time, foster self-assessment. These enablers include learning from experience, feedback processes, training and development, competency models, and role models, mentors, and coaches. When leaders practice self-leadership, they develop a better understanding of their own performance, absorb feedback about their behaviors, and explore new and better ways of acting. As they do so, they assess the results, �ine-tune their behaviors further, and develop goals and plans for their own learning, while moving toward performance improvement and career advancement. This is an ongoing cycle of continuous learning, continuous development of self-insight, and continuous performance improvement (London & Mone, 1999; Mone & London, 2010).

Figure 2.1: The Mone-London organization model applied to self-leadership

The Mone-London organization model can be applied to self-leadership: The leader, at the top of the �igure, continually works toward improving performance and advancing her or his career. Leaders remain aware of their personality and dispositional characteristics through ongoing assessment and use this information to in�luence their performance through key performance enablers. The resulting performance drives self-assessment, self-development, continuous learning and performance monitoring, which, in turn, in�luences the leader's actions for performance improvement and career advancement. All of this takes place in the context of the environment.

This chapter contains many self-assessment questionnaires. Why the emphasis on questionnaires? They are important to this leadership role because leaders can use them for selfassessment or for measuring gaps in the role of self-leadership. The self-assessments in this chapter focus on personality characteristics and dispositions and directions for changing and improving leadership behavior. As you complete these questionnaires, think about what you can do with the results. That is, use them to help you think more sharply about your own leadership characteristics—the type of leader you are or want to become—and what this means for development opportunities you should seek or the type of job and career you would like. Also, use this chapter as an ongoing resource for self-assessment. Self- understanding is a continuous process, especially because we all change over time as we gain maturity, become more experienced, and therefore gain more wisdom. You might want to return to this chapter later as a resource to help you think through your leadership characteristics, and to help you understand how you react to different situations and how you might change your behavior and acquire new leadership skills.

Elon Musk, CEO of Tesla Motors.

Transtock/SuperStock

Building a career requires motivation and dedication. What roles do insight, identity, and resilience play in career motivation for you?

Luciano Lozano/Ikon Images/SuperStock

2.1 Understanding Career Motivation

Self-leadership involves personal growth, personal development, and self-understanding. To grow and develop as a leader requires motivation. In this section, we discuss the topic of career motivation as a way to think about how you can better understand yourself as a leader and overcome barriers to career success. Career motivation literally refers to your desire and rationale for pursuing and engaging in a certain career. One of the authors of this textbook, Manny London (1983, 2003), developed a theory of career motivation that outlined three domains of career motivation that drive every manager: insight, identity, and resilience. These three domains can be developed over time and are central to self-leadership.

Career Insight

Career insight is the spark that jump-starts motivation. The spark might include the opportunities leaders �ind in their environments; extrinsic outcomes, such as money and prestige; or intrinsic outcomes, such as satisfaction and engagement. Career insight consists of two elements. The �irst element is self-knowledge—what leaders know about their strengths and weaknesses, including the extent to which their self-knowledge is comprehensive and accurate. The second element of career insight is knowledge of the environment—the opportunities and constraints leaders face or are likely to face and the demands of the environment, such as what it takes to get promoted to higher levels of responsibility. The story about Elon Musk (Spotlight: Elon Musk and Career Motivation) shows the value of career insight as a motivator.

Spotlight: Elon Musk and Career Motivation

Elon Musk is the founder of PayPal, which has become one of the main alternatives for online money transfers and payments. After the company was sold, he went on to other challenges, including founding Space Exploration Technologies (SpaceX) and investing in Tesla Motors. SpaceX is developing technologies to reduce the cost of space exploration, while Tesla Motors is known for its electric cars and car components.

Although Musk has said that he never wanted to run companies, Musk is the CEO and CTO of SpaceX and the CEO and product architect of Tesla Motors, as well as the chairman of other technology companies. He learned the hard way that startups need creativity and adaptability— something that "professional managers" do not necessarily have. In a 2011 Bloomberg Businessweek article, Musk compared business to "multidimensional probabilistic" chess—with himself as the agile chess master: "The same moves don't always make you win," he said. "My biggest differentiating skill is I can invent new pieces" (quoted in Brady, 2011, p. 76).

Because of the self-knowledge and self-insight that Musk gathered from his experience, he realized he was the right CEO to lead Tesla Motors and SpaceX to ensure their future success. In many ways, he �its the model of the social entrepreneur discussed in Chapter 1.

Re�lection Questions

1. Do you have a clear sense of your strengths and weaknesses and the areas in which you want to improve?

2. Do you have a clear sense of the competencies you need to be successful in your current position or in your career, at least for the next 5 years?

3. Do you have a sense of the opportunities that are likely available to you and what you need to do to prepare for them?

Self-knowledge is a function of several characteristics and cognitive processes, which we discuss from the perspective of being a leader:

1. Self-awareness refers to being cognizant of oneself as a leader. The extent to which leaders are aware of themselves may depend on the situation. For instance, in uncomfortable or new situations, leaders may be more aware of themselves than they are in routine,

HR consultant Peter Wallbridge discusses his notion of career resilience.

What Is Career Resilience?

Critical Thinking Questions

common experiences. Because self-awareness is situational, it may be more dependent on how leaders are feeling at the time (state of mind) than their permanent characteristics (traits).

2. Self-consciousness is dispositional; it is more like a �ixed trait. One meaning of selfconsciousness is feeling uncomfortable, for instance, the feeling one has when being observed. It also means being conscious of oneself as an individual. Self-conscious leaders, for example, don't blame others for how they feel or behave. They are aware that their behaviors and feelings are part of themselves, originate with them, and can be controlled or changed.

3. Self-assessment is the process of leaders thinking about their characteristics and identifying their strengths and weaknesses in relation to what is required on the job and for their career.

4. Self-monitoring is the process of comparing one's behavior to a standard and adjusting one's behavior to meet that standard. The standard may be imposed externally (as when the board of directors establishes a high level of expectations for the CEO) or internally (as when leaders set goals and expectations for themselves). Selfmonitoring is both a behavior and a personality characteristic, or natural tendency. Leaders who are high in self-monitoring are sensitive to their environment and, in particular, to people and the impact they make on them. Self-monitors are better able to regulate their behavior to meet the needs of the job. (We explain this more fully later.)

5. Self-evaluation refers to the judgment leaders make of their capabilities and abilities. 6. Self-esteem refers to how leaders feel about themselves, based on their self-assessment and self-evaluation.

Self-assessment is the foundation for continuing to re�ine self-knowledge and knowledge of the environment. Leaders need to be in the habit of seeking information about themselves and thinking about their skills and knowledge and how their behavior affects others. Selfassessment recognizes that leaders can be their own source of feedback. Moreover, selfassessment enables leaders to set goals and regulate their behavior. This is especially important in varying organizational environments that impose different leadership expectations and change the relative importance of given leadership skills and knowledge. For example, as Elon Musk suggested, startup situations require more innovation and creativity than mature organizations do. Finally, leaders need to learn to determine what their supervisors and organizations expect from them. Overall, self-assessment helps leaders reduce ambiguity in the environment, for instance, about performance expectations and leaders' capability to meet those expectations (Ashford, 1989; London, 1997).

Career Identity

Career identity is the direction of your motivation, the goals you want to achieve, the activities you want to participate in, and the ideas you want to develop. For the most achievementoriented leaders, this might be becoming a senior executive—or even the CEO—and achieving the highest levels of responsibility and prestige in the organization or in a function, such as marketing or sales. For leaders lower in the organization, it could mean having a responsible position, making a secure livelihood, and having a well-balanced life with supportive family and friends. For others in the organization, career identity might mean their career takes a back seat to pursuing a hobby or interest, whether it is a sport, such as mountain climbing; a performing art, such as acting in community theater; or spirituality, such as prayer and religious involvement. Working becomes a means to achieving these goals. Career identity may be recognizing how much or how little one wants to achieve and being aware of that, accepting that as one's career identity at least for the moment, and knowing that it can change if desired.

Career Resilience

Career resilience comprises the set of personal characteristics that allow a leader to persist and overcome barriers. Possible career barriers might include personal characteristics, conditions, and events in the organization, such as the following, adapted from London (1998):

Lack of readiness, education, or expertise Job dissatisfaction, stress, or burnout Lack of certainty or direction (for example, when trying to �ind the right position after returning from a several-year assignment abroad) Discrimination in the company based on characteristics other than job performance and ability Role con�lict (for example, being responsible for increasing quantity of production while also leading a team that is trying to increase quality and reduce errors, which may mean slowing down production) Others' disapproval, rejection, unfavorable performance feedback, or public criticism Lack of opportunity for career advancement Demotion or being passed over for a promotion Overall company or business unit failure Change in ownership or reorganization of the business

Career Resilence (Custom) From Title: Career Resilience (https://fod.infobase.com/PortalPlaylists.aspx? wID=100753&xtid=93346)

© I f b All Ri ht R d L th 01 54

 0:000:00 / 1:54 / 1:54 1x1x

1. What might be a step toward developing one's career resilience?

2. What are some ways that you can become more familiar with your strengths and weaknesses?

Most of us, including leaders, face career barriers at one time or another, and having strong career resilience enables us to overcome these career barriers. Career resilience consists of personality characteristics such as the following:

Self-esteem: Leaders' con�idence in themselves and their accomplishments; the beliefs and emotions that characterize their self-worth Self-ef�icacy: Leaders' belief that they can bring about positive outcomes for themselves and others Self-control: Leaders' ability to in�luence their environments, the opportunities available to them, and what happens to them

These three characteristics are similar in nature. Leaders who feel con�ident about themselves believe they can control what happens to them and bring about positive outcomes. And when the outcomes are not as positive as they hoped, they have to develop a thick skin. They are able to determine what happened, recognize the mistakes they may have made or the conditions in the environment that brought about the outcome, and do better next time. Leaders who are low on these characteristics, however, are likely to blame themselves, merely con�irming their low self-image, and not try any harder next time. They are likely to withdraw in the face of a career barrier.

Consider your own self-esteem, and take Assessment 2.1. How would you rate yourself on the following items, which were developed to measure self-esteem?

Leaders who are low in self-esteem tend to behave in ways that protect them against negative feedback. What does this mean behaviorally? Table 2.1 lists examples of self-protection mechanisms—ways leaders maintain their self-image in the face of negative feedback—that leaders with low self-esteem are inclined to use.

Table 2.1: Self-protection mechanisms

Denial Giving up Self-promotion Fear of failure

Reacts negatively to feedback Blames others for failure Never admits mistakes Inhibits others' performance Does not accurately perceive one's own performance; infrequently asks for feedback Does not give credit where it is due Does not accurately perceive the performance of others Does not accurately describe events

Abandons dif�icult tasks Avoids being compared with better leaders Tunes out others who perform better Reacts negatively to constructive feedback that can improve performance Dislikes better- performing executives and leaders Does not try hard or dif�icult tasks Does not stick to the task until success is achieved

Makes sure others know about successes Seeks praise Overly concerned about status symbols Talks about own good performance Makes others feel compelled to say good things about his or her performance

Points out own strengths when criticized Gets upset by own poor performance Tries to prevent others from doing well Tries to convince others they are wrong Tries to raise others' opinions of self Downplays own weaknesses Is concerned about making the "right" career moves

Source: Adapted from Wohlers & London, 1989; London, 1997, p. 124; London, 2003, p. 43

Do you recognize these behaviors in leaders you know, or in yourself? Most people, including leaders, show some elements of self- protection, sometimes referred to as defense mechanisms (Freud, 1966; Ket de Vries, 1993). Generally, we all try to enhance our egos and sel�image. We want others to like us, and we want to think well of ourselves. Yet we all have self-doubts. And so do leaders! When leaders recognize these self-protection mechanisms in themselves, it helps them guard against behavior that has dysfunctional outcomes—that is, that hinders their own performance and the performance of their organizations—and behavior that may become a barrier to their own career opportunities.

In the leadership workshops we conduct and when coaching leaders one to one, we suggest they consider the following re�lective questions for analyzing a signi�icant career barrier. You may also want to consider these questions for yourself in response to a real barrier you have encountered or one that you can imagine arising in your future.

How would you describe the career barrier? How did you react to it? Did you react in ways that were defensive and protected your self-esteem? Did you react in ways that allowed you to overcome the barrier? What personal characteristics do you think helped you at the time? What personal characteristics made the situation more dif�icult for you? What would you do differently next time if you faced a similar situation?

In addition to outlining the three domains of career motivation, Manny London also developed ways to assess that motivation. Take the following survey to assess your overall career motivation. At the senior leadership levels, we recommend that the leader take this selfassessment and that the leader's direct reports also complete the assessment about their leader to help the leader recognize potential blind spots. In essence, this assessment can be used as a multi-rater feedback tool. We discuss the use of multi-rater and 360-degree assessments later in this chapter. Please complete the assessment before reading further.

Strengthening Career Motivation

A leader's career insight and identity change over time as he or she is in�luenced by events and opportunities in the environment. For example, a leader's insight may evolve when direct reports give the leader information about the leader's performance or when the leader recognizes the need to develop new skills based on changes in the company's strategic direction. A leader's supervisor may also provide meaningful, constructive feedback about the leader's performance—strengths and areas that need to improve—and ongoing discussions about performance make this feedback helpful. These are just some of the examples of ways that career insight can change and develop.

Identity also evolves based on the information gained from the leader's environment. For example, if a leader's supervisor is encouraging about advancement possibilities, gives positive feedback, and provides important and visible developmental assignments (work assignments that allow the leader to gain competencies that are not easy to obtain in the current position), the leader is likely to get the idea that he or she has considerable leadership potential. Or if the leader learns that the organization is growing and will be promoting others with similar skills and experience, the leader is likely to believe there is a clear path to move upward and to take on more responsibility and accountability. So the organization—the leader's supervisor and colleagues, as well as the organizational policies, procedures, and information about changing demands—can in�luence the leader's career insight and identity over time.

Career resilience, however, is more dif�icult to change. It is likely to be fairly well developed by the time one starts a career, and it changes very gradually as positive (or negative) outcomes are attained. Chances are one's self-esteem, self-ef�icacy, and self-control stem from events and outcomes in childhood. As such, they are traits that are ingrained and not readily changeable. However, some elements of self- esteem, ef�icacy, and control may be state based and more subject to change over time based on exposure to new experiences—for instance, learning a new skill and applying it in a particular situation. However, underlying traits are likely to in�luence the extent to which a leader can be successful and effective in any new learning situation. Ultimately, self-esteem, self-ef�icacy, and self-control will change only as the result of consistent feedback and evidence that one can control the situation and when there is positive reinforcement for doing well. Consider the following strategies for increasing your career resilience, adapted from Newman (2005):

1. Make connections. Close relationships with friends, relatives, civic groups, community groups, and other organizations can contribute to a sense of well-being.

Steve Jobs (1955–2011) giving a presentation.

Associated Press/Paul Sakuma

2. Avoid seeing crises as insurmountable problems. Try to look beyond the problem, focus on the future, and gain strength from new opportunities that may present themselves.

3. Accept that change is part of living. Certain goals may no longer be attainable. It is better to accept those circumstances and move on.

4. Move toward your goal. Make a plan and take steps to work toward it every day. 5. Take decisive action. Taking action will move you toward your goals and lift your spirits. 6. Look for opportunities for self-discovery. Many people who experience work setbacks report that they grow during these

challenging times and become stronger and more resourceful. 7. Nurture a positive view of yourself. The process of developing resilience also builds self-con�idence. 8. Keep things in perspective. Keep a long-term perspective and try to keep from blowing the event out of proportion. 9. Maintain a hopeful outlook. Focus your thoughts on the vision you want for your life and try to avoid nurturing your fears.

10. Take care of yourself. Eat well, exercise, and spend time with friends and family.

Although career resilience characteristics do not change easily, they can change, albeit slowly, as leaders develop self-monitoring and self- regulatory skills, which are called "metacognitive" skills. These skills are discussed in the upcoming section. The components of resilience in�luence these skills, but leaders can learn these skills and possibly build resilience. Steve Jobs was one leader who was able to develop over time and bring his company to extraordinary levels of success, as we discuss brie�ly in Spotlight: Steve Jobs and Strengthening Career Motivation.

Spotlight: Steve Jobs and Strengthening Career Motivation

Steve Jobs, who died in 2011, was a charismatic, strong-willed design genius and entrepreneur and was well known as the cofounder of Apple and Pixar. His career path illustrates how career motivation can change over time.

Jobs founded Apple in 1976. Although clearly a visionary, Jobs was known for having an intense, combative, mercurial, domineering personality, and his lack of career insight during Apple's early years eventually resulted in a power struggle over the direction of the company. Then-CEO John Sculley and the board—concerned about �lagging sales and loss of market share to IBM— ousted Jobs in 1985.

Upon leaving Apple, Jobs then demonstrated his career resilience by starting NeXT, Inc., an innovative computer and software company. His career identity remained intact: He still wanted to do what he loved. However, the struggle at Apple prompted him to reexamine himself as a businessman and as a leader. After Apple took a nosedive and bought NeXT in 1997 to refresh its product line, the company brought back Jobs in a consultant role, and, of course, he later became CEO. By this time, Jobs had further developed his career insight: Although he was still a challenging personality to deal with, he was described as being more mellow and open to ideas during his "second term" at Apple (Marcum & Smith, 2007). As we now know, he can claim to have resurrected Apple, which now has a larger capitalization than Microsoft and a loyal following for its groundbreaking, aesthetically pleasing, user-friendly products.

Jobs has been called many things, for instance, individualistic, manic, larger than life, forward thinking, aggressive, demanding, a task master, and self-centered (Deutschman, 2001; Simon &

Young, 2005). In the end, his unique combination of personality characteristics—not to mention business savvy and design sense— gave him the resilience, insight, and identity he needed to overcome career barriers and maintain his signi�icant presence as a major corporate leader.

Re�lection Questions

1. Given what you know about Steve Jobs, which leadership characteristics would you emulate and why? 2. Which characteristics of career motivation would you say were likely to be most important to Jobs's success?

Leadership in Review

Re�lect on your learning by answering the following questions:

1. How do you describe the role of leading one's self? 2. What are the three domains of career motivation? 3. Why is self-assessment important?

4. What factors support career insight and identity? 5. How is resilience reinforced by rewards and outcomes? 6. What are self-protection mechanisms? 7. What are some ways a leader can increase resilience?

Self-monitoring leaders welcome feedback on their professional performance.

Digital Vision/Thinkstock

2.2 Recognizing Leadership Characteristics

Leadership characteristics are part of a person's character, traits that are to some extent inborn, ingrained during our early years, and developed throughout our lives. Some examples of leadership characteristics include gender, intelligence, and personality. Some of these characteristics affect leaders' career motivation, and leaders can learn to monitor and regulate how these characteristics affect their behavior.

In this section, we address characteristics that are especially important for the leader you are, the leader you want to be, and the leader you need to be to face the challenges of today and the future. Leaders can bene�it from understanding how their characteristics, as well as their strengths and weaknesses (competencies), in�luence their overall behavior, affect how they relate to others, and ultimately determine their effectiveness. Two characteristics in particular—the ability to self-monitor and to self-regulate—will be highlighted for their impact on overall leadership effectiveness. Innovative thinking will be discussed in depth, given its importance to leadership and organizational success in turbulent times.

Traits, Behaviors, and Effectiveness

Leadership effectiveness is a function of leader characteristics and leader behaviors (for example, transformational, transactional, and full range leadership, as described in Chapter 1). Leader characteristics determine the behaviors leaders are likely to use, and these in turn in�luence the leader's effectiveness. DeRue, Nahrgang, Wellman, and Humphrey (2011) conducted an important study to determine the characteristics and behaviors that were most important for leadership effectiveness. They reviewed a wide range of published studies in what is called a meta-analysis, in which researchers combine or average studies' results to arrive at results that are likely to be more conclusive than those from any one study alone.

DeRue et al. (2011) found that while 69% or less of the variation in leader effectiveness is due to factors beyond the leader's control (environmental conditions, employees' capabilities, and so on), traits and behaviors explain 31% of the reasons for a leader's effectiveness. DeRue et al. also found that, in contrast with leader behaviors, leader traits are more likely to be related to affective and relational criteria (how people work together, collaborate effectively, and treat each other with respect) than performance- related criteria. In the studies they surveyed, leader traits usually fell into three categories: demographics, task competence, and interpersonal attributes.

Demographics refers to traits including gender, age, ethnicity, height and weight, education, and social status. Task competence refers to traits including intelligence, conscientiousness, openness to experience, emotional stability, technical knowledge, and leadership self- ef�icacy. In fact, conscientiousness—being painstaking, careful, and self-disciplined—was the trait that was most consistently related to leadership performance, indicating the importance of leaders paying attention to details and persisting in the face of barriers. DeRue et al. (2011) found that task competence traits were likely to predict task-oriented leader behaviors (e.g., initiating structure and boundary spanning, or looking beyond one's formal organization structure for insights about the market, competitors, etc.).

Interpersonal attributes refers to traits including extraversion, agreeableness, communication skills, emotional intelligence (see Considering Emotional Intelligence), and political skills. The presence of these traits was more likely to predict relational-oriented behaviors, which have an effect on employees' satisfaction with the leader. Notably, leaders who are high in extraversion and conscientiousness are likely to be viewed more positively, and leaders who are high in agreeableness (being personable and friendly) and conscientiousness are likely to improve the performance of their teams, compared with leaders who are low on these characteristics. Both competence and interpersonal attributes affected leaders' change-oriented behaviors, such as communicating a vision and generating employees' commitment to transformation.

What do these �indings mean for leadership and organization development? Organizations and leaders can bene�it from knowing the traits and behaviors that affect different outcomes. Some leaders are likely to behave in ways that are task focused, and others in ways that are relationship focused. Leaders who recognize they are de�icient in certain leader behaviors may then see how this in�luences how they spend their time. Leaders pay attention to behaviors they need to learn and practice in order to have a balanced leadership style. DeRue et al.'s (2011) �indings have implications for methods of assessing leaders' strengths and weaknesses and designing leadership development programs. In particular:

Leaders should be encouraged to assert their leadership role actively because leadership affects performance. Leaders need to be proactive, not passively waiting until problems occur. Passive leaders need to work actively on overcoming laissez-faire tendencies. Recall that full range leadership theory states that laissezfaire and passive management are the two least effective forms of transactional leadership. Leadership assessment and development needs to focus on task competence, interpersonal attributes, and behaviors related to task structure, interpersonal relationships, and change. To be successful, leaders need to be task oriented (planning and scheduling work, for instance), relational oriented (supporting and helping employees), and change oriented (encouraging and facilitating change).

Various internal and external factors contribute to a leader's effectiveness. As you read this section, think about what leader characteristics and behaviors you possess.

ConstantinosZ/iStock/Thinkstock

Considering Emotional Intelligence

Emotional intelligence, commonly abbreviated EQ, refers to having the capacity to understand and manage one's own emotions, as well as the emotions of others. Psychologist Daniel Goleman authored and coauthored a number of books on the topic of emotional intelligence; the �irst, Emotional Intelligence, was published in 1995 by Bantam Books. The book relied heavily on an article published in 1990 by Peter Salovey and John Mayer titled "Emotional Intelligence."

Most researchers would say that many claims made about the role and importance of EQ �ind little empirical support. However, research in the area of emotional intelligence continues.

Here are the four key components of emotional intelligence (Goleman, Boyatzis, & McKee, 2002). You will see that emotional intelligence relies on a leader's self-insight and selfregulation and demands high levels of pro�iciency in relational-oriented behaviors.

1. Being self-aware: Reading and recognizing one's own emotions, knowing one's strengths and weaknesses, and having self- con�idence

2. Managing one's emotions: Keeping disruptive impulses and emotions under control, acting with integrity, demonstrating adaptability, expressing openness and conscientiousness, taking initiative, and being optimistic

3. Being aware of others: Sensing others' emotions and understanding their perspectives, reading and understanding organizational culture and politics, and being service oriented

4. Managing relationships: Inspiring followers through a compelling vision, being in�luential, developing others through feedback, driving change, resolving con�licts, and acting collaboratively

Finally, note that, in addition to encompassing the traits and characteristics discussed in this chapter, many of the aspects of these four components are also key components of strategic leadership approaches discussed in Chapter 1: for example, inspiring followers (full range leadership) and being service oriented (servant leadership).

Self-Monitoring and Self-Regulation

In the discussion about leaders' career motivation, you learned about the components of resilience, insight, and identity. Here, we look more closely at two personality characteristics that are closely associated with having insight and controlling your environment: self-monitoring and self-regulation. These can also be thought of as metacognitive skills that are important to having an accurate perception of one's strengths and weaknesses as a leader. Monitoring your responses and regulating your behavior will increase awareness of the opportunities available, as well as job and environmental pressures.

As we discussed earlier in the chapter, self-monitoring is the process of comparing one's behavior to an internal or external standard and adjusting one's behavior to meet that standard. It involves being sensitive to the world around you (London, 2003). Leaders who are high in self-monitoring seek and absorb feedback about themselves. They have learned to monitor their environment in ways that give them objective information about themselves and about how they can change their behavior for the better. They want information about their strengths and weaknesses. They are able to accept negative feedback and make it constructive, helping them identify ways they can improve. Acting on this information increases their self-monitoring in the future and has the additional bene�it of bolstering their self-esteem, making them feel better about themselves as well as more con�ident and competent in their leadership ability.

Leaders who are high in self-monitoring are likely to engage in self-assessment often, if not continuously. It is part of the makeup of who they are. Through self-assessment, such as the questionnaires and re�lection questions we present throughout this chapter, you can improve your self-monitoring skills and make this part of your behavioral repertoire. How can we determine if we are monitoring our behavior? We suggest taking Assessment 2.3, which measures the extent to which leaders engage in self-monitoring.

Self-regulation is another personality characteristic—one that is ingrained as one grows up but one that can be developed and changed with practice and reinforcement. It is the tendency to take action in response to events in one's environment and to be proactive in self- learning (Carver & Scheier, 1998; Bandura, 1986, 1991). Leaders who are self-regulators take control. They take action to evaluate progress toward their important goals and how close they are to achieving them. If they recognize that a goal is truly too dif�icult to achieve, they are able to disengage and set alternative goals (see a failure of this in Case Study: The Division Leader's Stretch Goal). They organize their environments. They identify needed resources. They create plans and schedules for themselves. They monitor their behavior and its consequences and take action based on the information.

How can you evaluate your self-monitoring and self-regulation skills and tendencies that help you be a better leader? Take the following assessment to see what behaviors you already exhibit and those you can work to develop.

Case Study: The Division Leader's Stretch Goal

Beth was hired to turn around the sales division of a high-tech company, and so she engaged the direct report team in creating a strategic plan. The goal of the plan was to increase sales revenue by 50% in 5 years to meet the demands of a variety of stakeholders, as well as to energize the division's employees.

Unfortunately, not all of Beth's team members were truly committed to the plan. They maintained their own sales-driven agendas, did not collaborate successfully, and did not drive the necessary changes in the division to meet this stretch goal. As a result, changes were not made to improve the division's capability, infrastructure, or systems. The team did not create new sales channels, establish common IT platforms worldwide, or implement rewards systems aligned with achieving the goal and driving expected behaviors.

Within 2 years, Beth's team stopped talking about the stretch goal and quietly put in place more reasonable growth targets. Over time, this led to hiring a new division leader and replacement of most of the team to put the division on an ambitious but realistic path to growth.

Many factors contributed to this situation, not the least of which was Beth's inability to set and effectively monitor the division's goals and to build a team of individuals who were truly committed to the division's interests above their own.

Re�lection Questions

1. Do you think Beth was aware of what her team members thought about the stretch goals? What signs could she have looked for to indicate their support?

2. Could Beth have done more to understand her team members' reactions and incorporate their opinions in setting these goals, or adjusting them to be more realistic?

3. Should Beth have taken action sooner, for example, by replacing team members? 4. How would more careful self-monitoring and self-regulation have helped Beth be more successful from the start?

Innovative thinking requires the ability to empathize, collaborate, and iterate. Why are these elements so important to design thinking?

Monkeybusinessimages/iStock/Thinkstock

Innovative Thinking

Today's rapid changes in technology, intense competition from inside and outside of one's industry, and globalization make innovative thinking a key leadership capability. Leaders also need to know how to support and create a culture of innovation, a topic we fully address in Chapter 5. Innovation is so important to future leaders that Stanford University's Graduate School of Business trains its students to lead innovation (Saloner, 2011). So, what does innovative thinking mean?

Innovative thinking is turning "aha" moments into innovative solutions. An "aha" moment is suddenly seeing an idea, path, or solution that, in retrospect, seems obvious but was not recognized before. Innovative thinking is also called design thinking. Leading a process of design thinking requires that leaders garner the ideas, insights, and tools of professionals from different disciplines, including engineering, design, business, the arts, and social sciences. As such, leaders need to be open to different perspectives and modes of operating. There are three elements to innovative thinking (Saloner, 2011):

Being empathetic. Leaders need to immerse themselves in the viewpoints of the end users— the people who will use the product or service being developed, or those who will bene�it from solving a problem. To do this, the leader needs to be open to new ideas and different ways of thinking. Being collaborative. Leaders should be harnessing diverse perspectives, creating multidisciplinary teams, communicating clearly, and leveraging their strengths and those of team members to work toward a common goal. To do this, leaders need to rely on their relational skills. Being willing to iterate. Leaders should engage in brainstorming to identify and distill ideas, develop prototypes and quickly evaluate them, solicit feedback, and then create new prototypes.

In addition to developing the skill of innovative thinking, Lyons (2011) has said that innovative leaders should possess these four characteristics:

1. Tendency to question the status quo. Innovative leaders envision different possible realities, are willing to take reasonable risks, learn from failure, and have the guts to express a point of view.

2. Con�idence without an off-putting attitude. Innovative leaders make decisions based on data and analyses and have the con�idence to act without being arrogant; they lead by showing trust in team members and a willingness to collaborate.

3. Curiosity and desire to be a lifelong learner. Innovative leaders continuously seek personal growth and show others that they are learning from them.

4. Ability to recognize how they affect others. Innovative leaders consider the long-term effects of decisions and behaviors and put larger interests above their own.

To be innovative, the leader needs to have insight into opportunities, make decisions, and build organizational capability (Lyons, 2011). Recognizing opportunities requires framing problems, exploring the environment, and experimenting—elements of generative learning. Decision making requires evaluating ideas and understanding their risks, which involves collecting and analyzing data. Finally, building organizational capability requires the ability to in�luence others without the use of formal power, to manage uncertainty and con�lict, and to change leadership styles in response to changing conditions.

In Chapter 5, we will review a broad, organizational-level measure for diagnosing the extent to which an organization has a culture of innovation. For now, we provide a short self-assessment for leaders. Use this assessment to gauge your ability to be an innovative thinker.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What traits and other personal characteristics affect leadership behaviors? 2. How do leadership behaviors affect leadership effectiveness? Draw on your knowledge of leadership theories from Chapter

1 and the discussion in this chapter. 3. How would you describe the interpersonal attribute of emotional intelligence? 4. What is self-monitoring? 5. What is self-regulation? 6. How do self-monitoring and self-regulation affect how you review progress toward your goals and revise your goals? 7. In what ways can a leader show and support innovativeness and creativity?

Identifying your present and future leadership competencies will help prepare you for career advancement.

iStockphoto/Thinkstock

2.3 Following Clues About Leadership Skills

As we discussed in Section 2.2, your traits in�luence your behaviors, which in turn determine your effectiveness. So you need a good understanding of your strengths and weaknesses and the characteristics and behaviors that are important to being an effective leader. A challenge of leading yourself, however, is knowing what to learn. Career insight is not only knowing yourself, but also knowing the performance expectations and career opportunities in your organization. This section examines key sources for learning about those expectations, including organizational leadership competency models and business school curricula.

Leadership Competency Models

Most organizations identify the leadership competencies necessary for success. Senior leaders discuss them with other leaders and managers in the organization so that they will have a good understanding of, and assess themselves against, these competencies. Sometimes these competencies are grounded in the organization's current needs, sometimes they are more future focused, and sometimes these competency models re�lect both current and future needs. Acquiring, enhancing, and developing competencies will take time and effort, so if you discover that the leadership competencies needed for the future vary considerably from the competencies needed today, you will have to focus on future needs. Once you identify the competencies you need for today and are likely to need in the future, you can assess the gap in your skills and determine what you need to learn.

Usually, human resource (HR) managers and training professionals develop a leadership competency model by interviewing company executives and experts inside and outside the company who are familiar with the industry as well as the company's strategic direction. They may also interview and examine the performance results of highly successful leaders and managers and compare them to the results of those who are not. Again, the focus is often on the skills and knowledge needed to be successful today and those that are likely to be needed 5 or 10 years from now.

Once the competency model is developed and is agreed upon by the company's executive leadership team, several important steps must be taken:

The model should be communicated in the organization so that all leaders and managers are aware of the competencies important for success and the behaviors that will be expected and rewarded. This will help individual leaders and managers assess their own strengths and weaknesses relative to the model and formulate a development plan for themselves in line with the model. The model should be incorporated into the organization's hiring and promotion process. That is, the competencies should be factors on which current leaders and managers are assessed for positions and advancement and which potential hires are evaluated against. The model should be used to evaluate the organization's capability. The results provide a gap analysis that can guide training and development efforts. When all managers and leaders self-assess and are assessed by their supervisors against the competencies in the model, gaps at each organization level can be identi�ied and addressed appropriately. The model should drive the design and development of separate courses, workshops, or online webinars and seminars focused on the different competencies. For instance, an online course may focus on the interpersonal competence of how to resolve con�licts. Additionally, an entire curriculum can be structured to focus on the full range of competencies. The model should drive revisions to the company's performance appraisal. Part of the form should include evaluation of performance outcomes. Another part should be used to evaluate a leader's or manager's competencies and areas for development. Collectively, top executives can use this information for succession planning.

Colgate-Palmolive and "High-Tech": Comparing Two Models Although we are emphasizing leadership competencies, the models may also include technical business knowledge and social or interpersonal competencies. Here, we compare two examples of leadership competency models from two companies, Colgate-Palmolive (Conner & Smith, 1998) and a Fortune 500 company we worked with, which we will call High-Tech.

Colgate-Palmolive's leadership competency model reads as follows:

Leaders have business savvy. They show exhaustive knowledge of all aspects of the business. Leaders know how to use their personal in�luence. They have excellent communication skills and leverage large networks. Leaders bring a global perspective. Their knowledge and view of the world is broad. Leaders have strong character. They are clear about their vision and values and act with integrity. Leaders know how to manage people effectively. They provide the glue that holds a team together. Leaders act like entrepreneurs. They take risks, overcome obstacles, and act with a sense of urgency.

According to High-Tech's competency model for executive and leader behaviors, a High-Tech leader

Google's "Project Oxygen" was aimed at recognizing the practices of the company's most effective managers.

Richard Levine/age fotostock/SuperStock

Operates from a global, macro view of the company and the industry. Understands how the company operates and can get things done through formal and informal channels. Demonstrates high levels of business and functional expertise. Transforms vision into sound and clear organization structure, strategy, goals, and objectives. Translates and communicates important corporate and division messages, making them relevant and meaningful for employees in the organization. Builds an organization that attracts, excites, sustains, and rewards the best talent, and considers that talent a corporate resource. Supports the performance, learning, and development of others by providing encouragement, coaching, feedback, and recognition. Supports and encourages others to communicate upward, make decisions, and take accountability and appropriate risks. Ensures employees have the resources necessary to achieve business success. Thoughtfully analyzes the most complex organization and business problems and develops creative solutions. Integrates and uses economic, �inancial, and industry data to make sound, timely decisions that lead to results. Demonstrates a positive attitude in the face of dif�icult situations and provides an optimistic, yet realistic, view of the future. Has the courage to make dif�icult, even unpopular, decisions and takes responsibility for their outcomes. Upholds and encourages others to follow the company's values, policies, practices, and procedures. Acts as a catalyst, initiating and leading organization change.

These two leadership models, developed years apart, have some important similarities. For example, they both focus on having a broad view of the business, often referred to as "business savvy," as well as knowing and clearly communicating vision and direction, which are important transformational leader behaviors.

Each of the competency models re�lects the organization's business strategy for today and the near-term future, at least as the company's experts and executives can predict in relation to the corporate results they wish to attain. Colgate-Palmolive's goal was to develop leaders to assume the highest levels in the business over time. For High-Tech, the goal was to clearly communicate performance and behavioral expectations for all leaders in the organization. Interestingly, at Colgate-Palmolive, the most senior corporate executives were more committed to the model because they had had a strong hand in developing it and because they easily saw a clear link to the company's mission and objectives. At High-Tech, organizational experts developed the model without such close consultation.

Google: Building a Competency Model

For many companies, their competency model serves as a guide or path for managers who want to assume greater degrees of accountability and responsibility within the organization. Google provides a good example. Google wanted to determine the behaviors important to leadership success and use those as a basis for leadership development. In 2009, Google initiated a plan code-named Project Oxygen to identify the habits of highly effective managers in the company (Bryant, 2011b). Google conducted interviews, gathered survey data, and observed effective and less effective managers. The results, which can be viewed at the following link, are not surprising: http://www.google.com/intl/en/about/company/tenthings. (http://www.google.com/intl/en/about/company/tenthings.html) html (http://www.google.com/intl/en/about/company/tenthings.html) . The competencies Google identi�ied represent basic principles of good management and leadership. They apply to Google—a cutting-edge technology company—and to most any organization. Laszlo Bock, Google's senior vice president for people operations (Google's term for human resources), described leadership development this way:

You don't actually need to change who the person is. . . . If I'm a manager and I want to get better, and I want more out of my people and I want them to be happier, two of the most important things I can do is just make sure that I have some time for them and to be consistent. (Bryant, 2011b, p. 7)

Essentially, these are the basics of initiating structure and consideration for others, as covered in Chapter 1.

Because leadership skills are harder to build than technical skills are, it is important to focus on and consider leadership skills and leadership development when promoting lower- to mid-level managers. Bock, at Google, provided a relevant example. At Google, a highly expert, technical professional was promoted to a management position and was frustrated because he was denied a further promotion. The manager's employees despised him. He drove them hard; they found him bossy, arrogant, political, and secretive, and many of them wanted to quit his team. "He's brilliant, but he did everything wrong when it came to leading a team," Bock recalled (Bryant, 2011b, p. 7).

There are several reasons why a company may have leaders or managers who are weak in a given competency. Perhaps the leadership competencies were not used as a basis to hire or promote them. Particularly in high-tech organizations, leaders may be promoted earlier in their careers for their technical skills with the idea that they can develop their leadership skills along the way. However, continuing to ignore this learning gap could lead to a generation of company leaders who are poor managers, unable to foster collaboration and high- performing teams.

So what did Google do to help? Google gave this professional one-to-one coaching from one of the company's professional coaching staff. After 6 months, the manager's team members reported in surveys that the manager had improved. "He's still not great," Bock said. "He's nowhere near one of our best managers, but he's not our worst anymore. And he got promoted" (Bryant, 2011b, p. 7). What were some of the helpful factors in this turnaround of performance? The manager was ready to work on improving. He was motivated. The carrot of a promotion opened him to the dif�icult-to-take feedback, and the coach helped him through the process of realizing and accepting his weaknesses, conceptualizing what he had to do to improve, and giving him a chance to try new behaviors. This was just the start of his learning. The manager will probably need ongoing coaching and learning to continue to improve. Applying the Japanese term kaizen— continuous improvement—to leadership development, there is no best leader, but rather, there is always room for improvement.

If a company has a robust selection and promotion strategy that identi�ies managers with strong leadership potential, the company is likely to have strong leadership throughout the organization. How does this work? Operationally, the company's practice could be to select and promote individuals who already have strong leadership skills, give them experiences that help them become even better leaders, and provide them with training and job assignments that help them know the technical aspects of different parts of the business, for instance, rotating them through assignments in different technical areas. The assumption here is that a strong leader can always learn the technology, but leadership strengths are harder to come by.

Another important assumption is that some competencies are easier to develop than others. Although training, on-the-job experiences, and challenging assignments can help you develop leadership skills, technical skills are often easier to learn, particularly when you do not need in-depth technical knowledge. If you are weak in communication skills, you can learn to become a better writer or speaker. However, creativity and decision making are hard to master.

We introduced competency models in this chapter as a way for leaders to identify and self-assess against the skills and knowledge they need to better lead themselves and their organizations. You can also use the set of competencies an organization upholds to determine the �it between you and the organization. Do you have the competencies your current organization, or an organization of interest to you, says are important to be a successful leader?

Business School Curricula: Skills for Today and the Future

Changing curricula in business schools help inform executives about future-oriented leadership skills. Business schools often run noncredit, short-term workshops on leadership and changing organizational demands. When Yash Gupta was the dean of the Carey Business School at Johns Hopkins University, he responded to the United States' "Great Recession" of 2008 by conceptualizing the changing role of leaders and new leadership demands and incorporating those concepts into his business school's curriculum. Gupta (2010) argued that the traditional science of business—accounting, marketing, �inance, and operations—used to de�ine skills for leadership. These "hard" skills and knowledge are still important. But the "soft" skills that de�ine the art of leadership are needed for the 21st century. These include the following:

Intellectual �lexibility, the scholarly ability to juggle a variety of ideas and place them in a broad context Cultural literacy, a solid knowledge of the customs and history of societies all over the world, in the places and among the populations that are becoming part of the global marketplace A strong grounding in ethics, and understanding the ways that the most subtle ethical con�licts, if not guarded against, can lead to an organization's undoing The ability to communicate ideas well Optimism, creativity, a collaborative outlook, the willingness to lead (Gupta, 2010, p. A29)

Basic skills are still critical, as Gupta noted. Consider the following seven foundational skills that are important to leadership today for all business students:

Oral and written communications. Prepare and deliver a coherent and persuasive presentation. Critical thinking, problem solving, and decision making. Analyze complex business issues and identify realistic solutions. Ethics and corporate social responsibility. Analyze an issue from legal, ethical, and socially responsible perspectives and recommend appropriate actions for a practical business situation. Leadership and team interaction. Create a vision and communicate that vision in a way that would generate commitment and structure teams for goal achievement. Innovative business practices. Know innovative business practices, processes, technologies, and methods. Cross-cultural understanding. Work with people from different cultural backgrounds domestically and internationally and integrate knowledge of an international business environment. Business development and value creation. Produce business plans that show the creation of value through the production and marketing of goods and services.

More generally, today's leaders need to

Demonstrate the global awareness, multicultural understanding, ethical and corporate social responsibility, and technological innovation needed to respond to the challenges of today. Have the potential for continuous learning for future business and career success, demonstrate that they are open to new ideas, search for information and knowledge they need, and explore innovative ways to apply and implement new knowledge and ideas to solve unexpected problems.

Which of these areas is most important for leaders to develop �irst, given what they know about their current environment, what they anticipate for the future, and what they know about their strengths and weaknesses? In many organizations, the need for global leaders— those who have the capacity to lead and work effectively in cultures other than their own—is quite strong. Beechler and Baltzley (2009) provided a look at what is important for global leadership versus domestic leadership. They created three clusters of characteristics or skills, which you can see in Table 2.2. Many of the skills will be familiar, but an effective global leader needs these skills in greater depth to deal with the complexity of global leadership. In essence, global leaders must have a greater psychological and intellectual capacity and must deal with more complexity, and they require deeper and different knowledge and skills than domestic leaders do.

Table 2.2: Characteristics of global leaders

Knowledge and skills Intellectual Psychological (personality/style)

Capacity (a breadth of new ideas and concepts on systems, markets, and political and socioeconomic issues) Complexity (a broad set of behaviors to call upon)

Capacity (intelligence) Cognitive complexity (ability to differentiate a number of constructs and integrate concepts in different ways) Expert intuition (common sense, or the integration of experience over time in a unique way, applied to a particular challenge)

Open minded Nonjudgmental Inquisitive/learning orientation Self-aware Tolerance for ambiguity Ability to establish trusting relationships with those different from self

Beechler, S., & Baltzley, D. (2009). Identifying and developing global leaders. In J. Storey, P. M. Wright, & D. Ulrich (Eds.), The Routledge companion to strategic human resource management (pp. 410–432). New York, NY: Routledge. Adapted by permission of Taylor & Francis Books, UK.

As we discussed previously, leading one's self requires self-assessment, self-monitoring, and self-regulation. Self-leadership means becoming a continuous learner. This means being aware of the need for, valuing, and being committed to acquiring, changing, and applying skills, knowledge, abilities, or perspectives (Mone, 2011). The next chapter examines learning and development practice in detail. Within the context of leading one's self, leaders must analyze and determine the extent to which their environments offer the right kinds of opportunities for learning and development. Assessment 2.6 is a self-assessment that leaders can use for that purpose. This assessment contains questions that are more complex than those found in the other assessments in this chapter, so although it is possible to answer with a simple yes or no, consider re�lecting on each answer.

Assessment 2.6: Am I Being Offered Opportunities for Learning and Development?

Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Assessment2.6.pdf) to download this assessment.

Instructions: Answer the following questions to analyze and determine the extent to which your environment offers the right kinds of opportunities for learning and development. Re�lect on your answers. If you determine that you have a good learning environment, enjoy it, for that is not frequently the case. If you have some concerns, for example, you would like more performance feedback or development suggestions, consider having an open discussion with your supervisor to express your needs in a constructive manner and offer ways that he or she can help.

1. Do I receive feedback about my job performance? How often? Do I �ind this helpful or not? Why? Is this typical for leaders in my organization?

2. Does my supervisor suggest ways I can develop? Does my supervisor provide opportunities for me to participate in developmental experiences?

3. Do learning and development happen primarily in training or executive education programs off the job? Or am I continuously given new assignments and job experiences for the purposes of learning and development?

4. Am I evaluated on how much I've learned during the last year? 5. Are there consequences for my making a mistake, doing the wrong thing, or not meeting my performance goals? How

severe are the consequences? 6. Does my supervisor ensure that information is available to help me track my job performance and goal accomplishment? 7. In evaluating my performance, does my supervisor compare my results with preset goals or behavioral standards? Does my

supervisor compare me to other leaders who have similar levels of accountability and responsibility? Does my supervisor compare my current performance to my past performance to identify areas of improvement, decline, or stability?

8. Does my supervisor inspire me to do my best? Does my supervisor communicate a clear sense of mission for the organization and me?

9. Does my supervisor convey a strong and clear set of values for how I should do my work? Does my supervisor have a code of proper conduct?

10. Does my supervisor discuss with me the goals of the organization and how the organization is changing? 11. Does my supervisor encourage me to get involved in setting work plans and departmental objectives?

12. Does my supervisor encourage my initiative and creativity?

Source: Copyright 2003 From Job feedback: Giving, seeking, and using feedback for performance improvement (2nd ed.) by M. London. Reproduced by permission of Taylor and Francis Group, LLC, a division of Informa plc.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. Why should leaders pay attention to environmental clues, particularly those from within their organizations? 2. What is a competency model? 3. Why would an organization's competency model be important to leaders at all hierarchical levels? 4. In your own words, how would you differentiate global from domestic leaders?

The cycle of experiential learning involves re�lection, interpretation, and testing.

Caia Images/Caia Images/SuperStock

2.4 Identifying Learning Styles and Drivers of Self-Development

Leaders need to be engaged in continuous learning, but it is also important to acknowledge that people have different styles or preferences when it comes to learning, and these should be considered when engaging in learning activities. As leaders assess their leadership capabilities and characteristics, they need to be thinking about ways they can improve. Today's fast pace of change requires continuous learning, but the need for learning can also be driven by personal re�lection, life events, and developmental transitions. Leaders need to learn to maintain high levels of performance, increase their chances for advancement, and, perhaps more importantly, hone their ability to adapt to changing conditions, regardless of their origin. Leaders who understand their learning styles—that is, how they learn best—can better plan their learning and be more effective and continuous learners.

Learning Styles

People learn in different ways. David Kolb (1984, 1985), a researcher at Case Western Reserve University in Cleveland, Ohio, theorized that effective learning occurs when a learner passes through a cycle composed of four parts, or modes:

1. Concrete experience: The set of feelings and attitudes we derive from active participation in an event or activity

2. Re�lective observation: What we learn from observing others and re�lecting on our own behavior Caia Images/Caia Images/SuperStock

3. Abstract conceptualization: Sense making, the meaning (explanations, rationale, understanding) we derive from our experiences and observations, our sense of why things happen, what behaviors have different effects, and what we can do to change our behavior and bring about different outcomes

4. Active experimentation: The practice of trying out new behaviors and forming new habits

Kolb called this the cycle of experiential learning. In short, our learning involves reacting to experiences, re�lecting on what we are doing, or have done, and its consequences, conceptualizing the meaning of what happened (that is, interpreting it and comparing it with our expectations and prior experiences, which form the way we view the world), and testing this conceptualization through new ways of working—and then the cycle begins all over again. Consider how a marketing director might experience this cycle:

1. The director derives a set of feelings and attitudes about how she communicated her department vision at a town hall meeting and how the East Coast marketing employees reacted.

2. The director re�lects on the event, including the kinds of questions employees asked and the feedback later received from the managers in the audience.

3. The director evaluates and tries to makes sense of the experience and the feedback, noting what might have worked well and what did not.

4. The director then experiments by trying out a modi�ied approach at her West Coast town hall meeting the following week.

Training, executive education, coaching, and feedback can be the stimulus for leaders to engage in the learning cycle. For example, a leadership development program may provide leaders with feedback ratings of their behavior from their direct reports and colleagues. The leaders react to the feedback, accepting it or rationalizing it in some way, perhaps denying negative feedback, perhaps attributing the feedback to disgruntled subordinates. The program may include videos or other demonstrations to show different forms of leadership. The program facilitator may moderate a discussion among the leaders/participants about transactional and transformational leadership behaviors. Then the leaders/participants might have a chance to role-play, practicing these behaviors. Ultimately, the leaders/participants return to their jobs and have a chance to apply what they learned, and the cycle begins anew. A follow-up visit from a coach could prompt the leader to consider feelings, think about outcomes, reward success, and �ine-tune changes in leadership behavior.

Leaders, like others, will vary in their preference for these different modes or parts of the learning cycle, with some preferring to learn from their feelings, others through their observations or their conceptualizations (thinking things through). Others will prefer experimenting with different behaviors, or learning through trial and error. How do you think you learn best? Do you learn best from concrete experiences, re�lecting on what you observe, abstract conceptualization, or active experimentation?

Some people prefer to learn through a combination of two modes of learning. When combined, two modes form a distinct learning style, as shown in Figure 2.2. Kolb (1984, 1985) outlined four different styles:

1. Convergers: People who solve problems through hypothetical-deductive reasoning (learning from thinking and doing—abstract conceptualization and active experimentation). Leaders who are convergers learn by developing their own theories about leadership effectiveness and trying them out. These leaders consider different alternatives, reasons for them, and the implications of alternative courses of action.

2. Divergers: People who solve problems by seeking many viewpoints through brainstorming to generate a range of ideas (learning from feeling and watching—concrete experience and re�lective observation). Leaders who are divergers analyze their own and

others' leadership experiences and change their own behavior as they observe and experience what works best in different situations. These leaders change their behavior based on what seems to be most comfortable for them and others.

3. Assimilators: People who solve problems by inductive reasoning through creating theoretical models of the way things work (learning from watching and thinking—re�lective observation and abstract conceptualization). Leaders who are assimilators learn by making sense of their observations of what they and other leaders do. They form theories about leadership based on their observations of their own and others' actions, essentially learning from facts.

4. Accommodators: People who solve problems by implementing their plans and seeing what happens as they adapt to current conditions (learning from feeling and doing—concrete experience and active experimentation). Leaders who are accommodators learn by exploring alternatives, experimenting, and then applying what works best on the job. This is hands-on, trial-and-error learning.

Figure 2.2: Kolb's learning modes and styles

Kolb's four modes form a cycle of four stages of learning: concrete experience (feeling), re�lective observation (watching), abstract conceptualization (thinking), and active experimentation (doing). Each of the learning styles is a combination of two learning stages. For example, the converging learning style describes those who learn from thinking and doing and is shown between stages three and four of the cycle, abstract conceptualization and active experimentation.

Source: Kolb, David A., Experiential Learning: Experience as a Source of Learning & Development, 1st Ed. © 1984. Reprinted by permission of Pearson Education, Inc., New York, New York.

Think about the senior-level leaders you know. Where do you think they �it on Kolb's model? Or you might ask yourself where you �it on Kolb's model. Are you a converger, a diverger, an assimilator, or an accommodator? Most people have a predominant style, using the other styles to varying degrees. Do you think you have a predominant learning style? If you tend to favor one style over another, consider those styles you are not using. Do you think you can enhance your own leadership skills by trying out different learning styles? What support would you need to help you? Perhaps you would bene�it from asking your direct reports how they feel about your leadership, observing leaders who have been successful in your organization (for example, executives who were promoted recently), holding a discussion about what forms of leadership work best, collecting and analyzing data about leadership, and trying and practicing new ways of leading.

Drivers of Self-Development

Self-motivated, self-regulated leaders will seek learning opportunities continuously. They seek and use feedback, set development goals, engage in development activities, and track their progress. As suggested by Kolb's theory of experiential learning, leaders will learn by watching others and from their own experiences. Learning from others and our experiences requires re�lecting on what we learned, perhaps by keeping a learning diary, to capture the learning and recall it when needed.

Most of the challenges we encounter in early adulthood deal with establishing ourselves in a career.

Hero Images/Hero Images/SuperStock

Leaders also learn when faced with challenges and transitions. This might include being promoted to a higher level of responsibility, being given a critical assignment to perform, or facing a dif�icult situation, such as a recalcitrant subordinate or harassing supervisor. These are the times when leaders' prior experiences do not inform them of how to act appropriately and effectively. In these instances, leaders may not have tried-and-true behaviors or habits on which to rely. They will need a new repertoire of behaviors to �it the new situation. So leaders may examine what others have done, experiment with different courses of action (the trial-and-error, sink-or-swim approach), or seek guidance. Training programs and workshops are often created and designed to help leaders by simulating these new and challenging situations and then giving leaders a chance to practice without facing the consequences of having made a bad on-the-job decision.

Learning that is prompted by signi�icant challenges or disorienting dilemmas often results in transformational learning (Mezirow, 1991; Mezirow & Associates, 2000), or the life-changing transformation of perspectives. This may happen if a leader is relocated to a foreign country for the �irst time, or is demoted to a lesser role, or becomes a member of the company's executive team. These circumstances may result in the need for the leader to reevaluate worldviews. In a leader's personal life, getting married, getting divorced, or having a child could each result in the transformation of the leader's perspectives.

Developing as an adult, in general, also gives rise to the need for continuous learning. Levinson provided a practical theory that describes how the transitions between the various "seasons of life" prompt the need for assessment, self-re�lection, and reassessment. This is a process of continuous learning. His theory of seasons of adulthood unfolds in two major works, The Seasons of a Man's Life (1978) and The Seasons of a Woman's Life (1996). Note, however, that the general ideas of the theory apply to both men and women (Bee & Bjorklund, 2004).

Levinson saw life as having an underlying pattern or structure, composed of broad eras and transition periods (see Table 2.3). Eras last 25 years or so and can also be called "seasons" or "times in life." Transition periods are de�ined as developmental periods lasting about 5 years when basic changes in life occur; they are considered part of both related eras, serving to link those eras and provide continuity between them. In adulthood, each era consists of three stages: two stable stages—a life-building stage and a life-culminating stage—and a life transition stage that occurs between the two stable stages. A life-building stage is de�ined as the underlying pattern or design of a person's life at a given time, involving one's occupation, personal relationships (e.g., marriage and family), relationship to self, values, lifestyle, etc. A life transition phase is characterized as a time for questioning and reappraising where one is in life and making choices for how one will move forward. A life-culminating stage is characterized by re�lection, feeling a sense of satisfaction and accomplishment, and not ruminating on regrets.

Table 2.3: Levinson's seasons of adulthood

Era of pre-adulthood: Ages 0–22

Era of early adulthood: Ages 17–45

Era of middle adulthood: Ages 40–65

Era of late adulthood: Ages 60–?

Early adult transition period Ages 17–22

Age 30 life transition

Midlife transition period Ages 40–45

Age 50 life transition

Late adult transition period Ages 60–65

Life culmination transition

Source: Adapted from Levinson, 1978

Consider the implications of Levinson's theory for leadership by examining the challenges of each of Levinson's developmental eras (adapted from Levinson, 1978):

During the early adulthood era, a leader should

Formulate career goals. Create a mentor relationship. Develop a realistic self-assessment of one's skills and abilities, as well as self-con�idence. Choose an area of competence. Deal with setbacks and disappointments.

During the middle adulthood era, a leader should

Become a mentor to others. Reassess one's talent and abilities. Capitalize on and use one's wisdom and experience over technical knowledge. Focus on the larger organization and society over one's self.

During the late adulthood era, a leader should

Ensure the selection and development of future leaders.

Levinson's model indicates that people are most receptive to learning during stages of transition in their lives and careers; the transition stages of your career are the times when you are likely to be most receptive to self-assessment. Mezirow added that the learning might be transformational in how one views the world. This does not mean that a leader can neglect learning until a major career transition happens. You should not ignore self-assessment at other stages when things are going well or are at least stable. We believe that continuous learning is the hallmark of a good leader, and leaders who do not learn and improve continuously are unlikely to be ready to

move upward in the organizational hierarchy. Instead, the transition may be unemployment, �inding a new job, demotion, or a career change. Of course, these downward and lateral moves require learning as well and may be more signi�icant transitions because they are emotionally painful. Even these dif�icult transitions require a continuous learning mentality. Leaders who are ready and eager learners at all times will be most successful in preparing for future uncertainties whether they are positive or not.

Take Assessment 2.7 to determine whether you are a continuous learner and where you might be able to improve.

Assessment 2.7: Are You a Continuous Learner?

Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Assessment2.7.pdf) to download this assessment.

Instructions: Answer the following questions, and re�lect on your answers. Each question highlights an avenue for continuous learning. The more you respond favorably to each question, the more proactive you are about being a continuous learner. Continue with the behaviors you currently use and consider exploring some of the avenues that you use less frequently or don't use at all.

1. When you receive feedback about your performance from your supervisor, do you listen for ways in which you can improve? 2. Do you tend to compare yourself to others who are performing well? 3. How often do you think about how well you are doing on the job? Daily? Weekly? Once in a while? 4. How diligently do you look for information about how well you are doing? Do you go out of your way to seek it, or do you

take it as it comes? 5. Are you likely to ask your supervisor or others to critique your performance? Are you inclined to ask your supervisor or

others what you can do to improve? 6. Are you likely to ask your supervisor for information about the wider organization? 7. Do you set development goals for yourself, or do you wait for direction from your immediate supervisor? 8. Are you likely to volunteer for new projects and job assignments, or do you wait for them to come your way? 9. Do you monitor your career progress closely, checking it against your goals and time lines?

10. When discontent with your job or career progress, are you likely to take steps to change jobs or career directions, or are you likely to wait and see what happens?

Source: Copyright 2002 From Leadership development: Paths to self-insight and professional growth by M. London. Reproduced by permission of Taylor and Francis Group, LLC, a division of Informa plc.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. De�ine converger, diverger, assimilator, and accommodator. Do you prefer a certain way to learn? How does your preferred style of learning affect the development opportunities you select for yourself?

2. What are the stages of career transition? Why are people more likely to learn during these stages? 3. What behaviors are indicative of someone who is a continuous learner?

If you were in Carolyn's situation, how would you approach your new team, environment, and boss?

Hero Images Inc./SuperStock

2.5 Learning From New Experiences and Others' Challenges

In Section 2.4, we discussed the importance of learning styles, drivers of self-development, and continuous learning for leaders. In this section and sections 2.6, 2.7, 2.8, and 2.9, we discuss opportunities for leadership development. As a leader, you have many opportunities to learn. This includes taking advantage of the knowledge you gain from self-assessment, such as through the questionnaires and re�lection questions throughout this chapter, and feedback from others and using this information to acquire new skills and knowledge and improve your performance and career prospects.

The key is taking advantage of learning opportunities and recognizing when you have learned something about yourself and acquired new and useful skills. This is important because often learning happens in indirect ways—not like taking a course that gives you information about particular skills and gives you an opportunity to practice. For instance, you will learn from new experiences and from observing others. You will also learn from feedback. This may come from different sources, sometimes in formal ways, such as a performance review from your supervisor, and sometimes in informal ways, such as discussions with your supervisor or coworkers. Your organization may offer feedback processes, such as 360-degree surveys that ask your supervisor, coworkers, subordinates, and customers to evaluate your leadership behaviors and then give you a summary report. You may have a chance to attend an assessment center where you participate in leadership simulations and then receive feedback. Other sources of feedback are role models, mentors, and coaches who may be your coworkers or other professionals. We also describe formal leadership training and development programs you may have a chance to attend. We review these different opportunities for leadership development in the next few sections.

Learning From New Experiences

Recall that challenges and transitions—that is, new experiences—can act as drivers of self-development. Leaders cannot rely on prior experiences for information and must learn how to act appropriately and effectively. How does one go about learning from a new experience? Consider Carolyn, a newly promoted leader. Carolyn is in her early thirties. She is employed at the same company she has worked at since graduating from college, but during her tenure, she has been promoted twice, completed a master's degree by going to school part time, and managed teams that made important contributions to the company's product line. She has been an effective team leader and is recognized for her technical prowess. Carolyn's boss recommended that Carolyn be promoted to a regional management position, and now, without training or other preparation, she has relocated to a new of�ice and has a new and larger team of professionals to direct. How should Carolyn approach this situation? How would you approach this situation?

If you were in Carolyn's position, would you do any of the following? We have provided some additional considerations for each choice.

Find a respected, more experienced leader who is willing to provide guidance and be a mentor. – But how would you �ind such a person, someone you could trust to listen to your frustrations and uncertainties without perceiving you as incompetent? Ask your new supervisor for advice and feedback. – You want an open, honest relationship with your new boss and hope that you can express your ideas and perceptions of your team members without being seen negatively. Find colleagues who have been in similar situations. – But what if you don't know anyone whom you can trust and who is successful in the situation, because you don't want advice from just anyone? Search for books or articles on these types of transitions. – These are readily available, but they take time to read and may not provide advice speci�ic to your situation. Gain permission to enroll in an executive education program. – Maybe the company offers such opportunities or provides comparable in-house training. Large companies often have extensive managerial training courses available. Are you sure your company would pay for you to attend an external program and give you the time off to do so?

If one or more of these options are available to you, you can choose the ones that best �it your learning style. If you are a self-motivated learner, you are probably used to seeking the support you need to facilitate your learning. Even if the company does not provide the learning resources, you may have actively sought them yourself to meet the challenges you know you will face now or in the near future. The danger is in succumbing to barriers to learning from developmental assignments. Table 2.4 outlines these barriers and how to overcome them.

Table 2.4: Developmental assignments: Blocks and aids to learning

Blocks to learning Aids to learning

Delaying or making quick decisions in response to uncertainty

Develop tolerance for ambiguity; remain open; don't jump to answers quickly

Seeking only senior-level organization members for counsel and feedback

Learn from the successes and failures of own efforts, and open up to all others for feedback

Doing what you always do; repeating what worked in the past

Re�lect on what is new and different; develop new and appropriate strategies

Having low self-awareness Develop awareness of strengths and weaknesses and how they link together

Being unaware of impact, how others are seeing you Consider interpersonal impact, how day-to-day actions affect others

Taking problems personally; becoming emotionally erratic Develop emotional intelligence; focus on recognizing and managing one's emotions

Being political and future focused, maybe seeing the assignment as a stepping-stone

Focus on solving problems, getting results, and working to engage with subordinates and colleagues

Avoiding accountability, particularly regarding one's own mistakes

Grow comfortable admitting to and owning mistakes; learn from them

Source: Adapted from Preventing Derailment: What to Do Before It's Too Late by M. M. Lombardo and R. W. Eichinger, 1989, Greensboro, NC: Center for Creative Leadership.

While it is beyond the scope of this text to cover every new experience you might face, relocating to another country is worth mentioning. In today's increasingly global environment, international job assignments are very common. You may know the job well, but relocating to another country, especially one in which people speak a different language or possess very different cultural norms, will be a challenge. Can you imagine moving from Missouri to Beijing? A lesser challenge would be moving from New York to London. Relocating under any circumstance can be dif�icult. Moving to a strange environment adds to the pressure. This may be exacerbated if you are moving with your family and perhaps just as dif�icult if you are leaving your family behind and expecting to return home on short visits and communicate by computer and phone.

There are a variety of options for learning to prepare yourself for the challenge of accepting an assignment in a foreign country. Again, consider your learning style. For example, if you learn by concrete experience, then make short preparatory visits to the new location. If you learn best through re�lection, then read books on the culture, talk to those from the country or to those who have relocated to it, or sign up for cultural assimilation workshops to help with the adjustment.

So now, imagine you are in a leadership role relocating to this new country. Not only are you doing your own work and coordinating with others who call the country home, but you will also be leading them. You might be head of operations, vice president of marketing in the region, or simply a new team leader. Your company might provide strong support and training to help you adjust, or you might be left to your own devices as a proven leader, someone who has shown great potential in your home country. You will need to make a deliberate assessment of the situation on a daily basis, �ind others on whom to rely for advice and guidance, and formulate a development plan to make this a successful experience. It will take very good self-monitoring and self-regulatory skills, and these skills will need to be honed along the way. It is important to develop strategies to handle new, unfamiliar situations in the future.

Learning From Others' Challenges

Your colleagues may be very willing to describe their experiences and are likely to tout their successes. But they may be less willing to share their failures or to describe their decisions or experiences as less than successful. People generally are inclined to be self-enhancing. They want to think of themselves positively, and they want others to see them this way. So the way they portray their less-than-positive experiences may not be accurate. Your job as a keen observer is to collect a range of observations, dissect them, inquire of others who were exposed to the same situations, and draw conclusions that will be valuable to you. It is helpful when others can engage in this process with you through discussion about a given situation. But when this is not the case, you need to go it alone.

Think about what you observed, perhaps describing it to others who are not in the situation, and test your conclusions. Then take what you learned and test it out. If you observed someone who was successful and you think you know why, try the same behavior and see what happens. For instance, if a leader was especially successful driving a complex project and completing the project on time, to what do you attribute the leader's success? Was it structuring the task? Giving team members free rein? Would this work for you? Try it with your team on a small task. See whether you are comfortable leading in the same way. See if your team members react positively. Ask them for feedback about how they felt about your actions. Then adjust your leadership strategies to see if you can improve the situation further. Or, if necessary, try a new strategy.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are at least three blocks to learning from developmental assignments? 2. What are at least three aids to learning from developmental assignments? 3. In what ways are observing others' challenges a learning experience for us?

LEGO CEO Jørgen Vig Knudstorp discusses the importance of pursuing honest feedback.

Pursuing Honest Feedback

Critical Thinking Questions

1. How might managers apply Knudstorp's advice? 2. Knudstorp offered several methods for getting

feedback from employees. Brainstorm other ways to pursue feedback.

2.6 Learning From Feedback: Supervisors and 360 Degrees

Feedback helps leaders to better understand their strengths and weaknesses; however, people often shy away from feedback (London, 2001). This section and Section 2.7 examine three major sources of feedback that will help leaders to become more effective self-leaders by focusing on their development. These three major areas of feedback are supervisor feedback, 360-degree feedback, and assessment center feedback.

Feedback Overview

The following are key points about feedback in general (Kluger & DeNisi, 1996):

People generally do not like to give it or receive it, even if the feedback is positive. Feedback can have negative consequences, threatening the recipient's self-esteem. Feedback that focuses on one's personality or takes the form of general statements will not be helpful. Constructive feedback should focus on behaviors and be as speci�ic as possible about these behaviors with some suggestions about what the individual could have done differently.

Good self-monitoring skills (Caldwell & O'Reilly, 1982) and high self- esteem will make one more receptive to feedback. Good self-monitors are very attuned to expectations, regularly compare themselves with others, and are likely to change their behaviors, while being resilient, self- con�ident, and demonstrating high levels of self-esteem (Mone & London, 2010). However, many leaders consider it a risk to ask for feedback and avoid doing so. Take Assessment 2.8 to determine how comfortable you are with asking for and receiving feedback.

Pursuing Honest Feedback From Title: Flatterers and Truthful Advisors: The Mind of ... (https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid=48936)

© I f b All Ri ht R d L th 02 36

 0:000:00 / 2:37 / 2:37 1x1x

A leader's reaction to feedback is likely to be in�luenced by whether the leader is motivated to avoid failure, demonstrate the ability to be successful, or to learn, coupled with little concern for the consequences. When motivated to learn—meaning, having a learning goal orientation—leaders are more likely to seek feedback (London, 2002). In fact, learning goal orientation is an aspect of one's personality or disposition and an important predictor of how leaders will react to feedback. VandeWalle (1997) developed a survey instrument to measure learning goal orientation, which you can take in Assessment 2.9.

Supervisor Feedback

Feedback from a leader's supervisor can be valuable. After all, hopefully the supervisor is engaged with his or her direct report to set performance and development goals and to clarify expectations. Having an open line of communication with direct reports positions the supervisor quite well in the role of feedback provider, as well as coach.

The effectiveness of a supervisor's feedback will depend on the supervisor's skill in and comfort with giving feedback. It also depends on the extent to which the supervisor has a chance to observe performance, which, as a rule, means the higher the leadership position in the organization, the fewer the opportunities for frequent contact and observation of a direct report's performance in action. This is also why input from other sources may be helpful to leaders in �ine-tuning their effectiveness.

Leaders should not be passive about getting feedback from their supervisors. For example, if they don't feel they are getting effective feedback in terms of quantity or quality, they are responsible for talking to their supervisors about it and asking how to make the feedback more appropriate. However, this does raise the question of the need for leaders to be comfortable with asking for feedback. In fact, if managers and leaders agree with any of the statements in Assessment 2.8 (Are You Comfortable Requesting and Receiving Feedback?), they are likely making excuses—rationalizations—for not approaching their supervisors for feedback.

To ensure that leaders do get effective feedback from their supervisors, consider the following guidelines, which have been modi�ied from guidelines for supervisors giving feedback to their direct reports. To receive effective feedback from their supervisors, leaders should

Request feedback as soon as possible following the event. Be ready to discuss the event or situation in detail, but try not to do so when they are frustrated, angry, or tired. Describe speci�ically the concern or question to be discussed and the feedback they want. Use factual information, but also present their points of view. Initially be descriptive rather than evaluative. Focus on behaviors, not personality. Be open and willing to listen to what the supervisor has to say. Respect the supervisor's insights and opinions.

Leaders should not rationalize their unwillingness to seek supervisor feedback. Why is it important for a leader to obtain effective feedback?

Siri Stafford/DIgitalVision/Thinkstock

Address both effective performance and areas needing improvement. Gain agreement to and support for implementing necessary action plans. (Based on Hillman, Schwandt, & Bartz, 1990; adapted by London, 1997, p. 90, and London, 2002, p. 122)

These guidelines can also serve as a guide for evaluating the extent to which leaders are effective at seeking and acting on their supervisor's feedback.

360-Degree Feedback

What is 360-degree (multi-rater) feedback? It is feedback about behavior and performance from those "circling" the leader—the leader's supervisor, colleagues, direct reports, and perhaps customers and senior-level management, too (see Figure 2.3).

Figure 2.3: 360-degree feedback

In 360-degree feedback, performance data are collected from various sources, providing more perspectives than supervisor-only feedback would.

Fundamentals of 360-Degree Feedback

This type of feedback is typically collected via an automated survey, but the data can also be collected through one-to-one interviews. Respondents rate behaviors important to the business, usually the key leadership behaviors as re�lected in the company's leadership

Figure 2.4: Kristin's 360-degree feedback

Photo credits: -Robbie-/iStock/Thinkstock; BananaStock/Thinkstock; stockyimages/iStock/Thinkstock; gzorgz/iStock/Thinkstock

competency model. The behaviors included may also re�lect the company's core values. Ratings are aggregated for groups of respondents; self and supervisor ratings are reported separately.

When 360-degree feedback is collected depends on its purpose. The results can be used as input for administrative decisions, such as performance, pay, or promotions, and thus conducted on an annual basis as part of the performance appraisal process. Or, 360-degree feedback can be gathered on an ad hoc basis as part of a leadership development program or in conjunction with coaching and used solely as a source of feedback for development. In fact, this is when the 360-degree survey results are most useful.

Regardless, the results are con�idential. When used for development, typically only the individual, the human resources department, and, if there is one, the individual's coach see the results. If used for administrative purposes, the results will be shared with those making the decisions. Case Study: The Vice President's 360-Degree Feedback describes an example of how a leader bene�ited and learned from a developmentally focused 360-degree feedback survey.

Case Study: The Vice President's 360-Degree Feedback

Kristin, a vice president in �inance, was asked by her supervisor, Bill, along with his other direct reports, to participate in a 360-degree feedback process. Bill participated in the process himself and found it quite helpful. One of the authors of this book was the coach working with Bill and his team.

Kristin's feedback, on the whole, was good, at least average when compared to norms for other leaders. However, she learned a very valuable lesson: her supervisor, colleagues, and direct reports each saw her strengths and weaknesses somewhat differently—and differently from how Kristin saw herself. She was bothered by this, believing that her behavior was more consistent.

One of the assignments she was given between sessions with her coach was to pick an area where there were greater differences in ratings and to ask her supervisor, as well as one or two colleagues and direct reports, about the ratings.

What Kristin learned was that the differences were valid. In particular, her direct reports found her "stressed and controlling." Kristin was relatively new to her role, and upon re�lection with her coach, she eventually realized that given the pressure of the new role, the expectation for high levels of performance, and the ongoing restructuring of the �inance organization, she resorted to more transactional rather than transformational behaviors. She was no longer self-monitoring, and, in fact, the pressure and organizational changes were affecting her self-esteem. To be successful, she unconsciously began micromanaging her team, in essence counting on herself more and creating greater degrees of stress for herself, diminishing her team's ability to act with empowerment and autonomy, which further worsened the team's performance.

Once Kristin understood this dynamic, she worked with her coach and supervisor to develop new strategies, including setting clearer goals and expectations for her team members and then holding each accountable for his or her own performance. She also realized that she needed to better monitor her own performance and behavior and that she should ask for feedback on a more regular basis to ensure she is being effective.

Re�lection Questions

1. How aware do you think Kristin was of her behavior toward her team? Do you think she demonstrated a high degree of self- consciousness?

2. From the perspective of continuous learning, what avenues would you suggest Kristin incorporate into her development approach?

Learning from 360-degree feedback requires leaders to be open to others' perspectives and points of view. Many leaders are initially surprised at their results, particularly as they focus on their low-scoring areas. If these same leaders are conscientious, they take their results quite seriously, even if they are surprised, if not disappointed, by the lower ratings. In effect, this sets up their motivation to learn. One executive in a recent leadership program said the following to the facilitator of the program, Edward Mone (one of the authors), after reviewing his 360-degree feedback results:

I was surprised—almost hurt—to see that my team rated me low on empowerment. But I realize now based on the comments in the report and the ratings in general that I did not trust them to deliver the expected results, and as a consequence, I was

As a leader, what steps might you take to prepare yourself for coworkers' evaluations of you?

Hero Images Inc./Hero Images/SuperStock

micromanaging them like crazy. The more I micromanaged them, the more they expected me to chase after them, and the less accountable they felt for their deliverables and meeting deadlines. I must share these results with my team, and �igure out how we can rebuild our mutual trust, making them more empowered and letting me then focus on the more strategic aspects of my job.

What is the most effective way to learn from 360-degree feedback? Of course, seeing results from the various rater groups gives leaders insight into whether they are behaving consistently, which in some ways is similar to acting with integrity. Leaders may learn more when their behavior is seen quite differently by each rater group. Leaders also learn from comparing the ratings for each behavior, helping them to determine their strengths as well as areas for development. In addition, a signi�icant way to capitalize on the feedback and to generate learning is to discuss the results with those in the different rater groups. When doing so, select areas where those raters may have rated you lower than other stakeholders, or even lower than your self-ratings, and where you have questions about particular ratings or comments in general, regardless of the rating. You may be surprised by a rating that is much higher than your self-rating, and it would be helpful to understand why.

Ideally, leaders will react to 360-degree feedback with an open mind and a strong desire to evaluate themselves by learning about how others view them. Conversely, leaders who are defensive are likely to be closed to and dismissive of others' perspectives (Taylor & Bright, 2011). For instance, leaders are likely to rate themselves highly, and so they may be in for a shock when they see that others' ratings of them are not as positive. As a result, they will be defensive. However, one approach to reduce defensiveness is to ask the leaders to predict how others will rate them. This can be done on the survey instead of, or in addition to, self-ratings. Alternatively, the feedback report explanation, perhaps delivered by a coach, can ask the leader to predict others' ratings before they see the results. This will encourage leaders to think about how others see them before they receive the results. In making their predictions, leaders are likely to be harder on themselves than others are, or at least leaders may admit up front that others have less-than-favorable views on some elements of their behavior. Predicting ratings and comparing them to the actual ratings received from others may increase leaders' open-mindedness and lessen their defensiveness, and as a result generate more learning (Taylor & Bright, 2011).

What can you do if you want 360-degree feedback now? You do not have to wait for a 360-degree survey to be administered by your organization. Develop a list of behaviors that you believe are important to your being an effective leader. If you are working, draw on the competencies that your organization may use in its annual performance appraisal form or that are the topics for leadership training in your corporate education center. Indicate how you would evaluate yourself on these behaviors and predict how you think others would rate you. Are there differences in your self-ratings and your predicted ratings? If so, why? This will help you think about development needs without even receiving feedback.

Alternatively, you can ask others how they see you. Make this an informal discussion, one to one with people whose opinions you trust. Ask them what they think your strengths and weaknesses are and what areas you should concentrate on to do better. This situation may make you feel vulnerable, and you do not want to give the impression that you are seeking only positive feedback. Instead, you want to convey that you are indeed open to constructive information. Ask for both positive information—what you do well—and ways you can improve. Then put this information to use by formulating a leadership development plan for yourself for the next 6 months. You might discuss this with the individual(s) who gave you informal feedback. Go back to them 6 months later to repeat the discussion and see if they have noticed a difference. In addition to determining if you are actually doing better, this will have the side bene�it of showing others that you are open and willing to learn to be a better leader.

Leaders who are high self-regulators but low self-monitors will probably be surprised to learn that others' ratings will be more similar, on average, to their self-ratings. Certain characteristics tend to result in greater similarity between self and other ratings. These characteristics include the following (Atwater & Yammarino, 1997):

Intelligence High self-ef�icacy High internal locus of control High and stable self-esteem Self-awareness High private self-awareness (in touch with their inner thoughts and feelings) High interpersonal sensitivity and feelings Tendency to demand a lot of themselves

Leaders who are open to new experiences and high in conscientiousness will also be more accepting of the feedback—less resistant—and more willing to take action on the results so that they can be as successful as possible.

Analysis of Sample 360-Degree Feedback

In a 360-degree feedback survey, a leader's direct reports will complete what is known as the "upward" section of the survey. You can read through a sample upward survey at the end of this section. The direct reports' ratings are then averaged before being shown to the leader.

Scale:

1 = Very dissatis�ied 5 = Satis�ied

2 = Dissatis�ied 6 = Very satis�ied

3 = Somewhat dissatis�ied N = No opportunity to observe

4 = Somewhat satis�ied

_____ 1. Jointly sets performance objectives with you.

_____ 2. Supports you in developing your career plans.

Read the sample report in Table 2.5 as if it shows results for you and your direct report team. What do you notice? For example, do you see that your direct reports rated you equal to or better than the organization norm? What does that tell you? If this were your report, you would also notice that you rated yourself slightly higher than your direct reports did, particularly when it comes to setting goals and providing the support to their jobs. What else do you see?

Table 2.5: Abbreviated sample feedback report

Behavior Mean ratings Range Number of directs responding *Norm

Self Direct report Low High Number

Jointly sets performance goals with you 5 3 1 4 7 3

Supports you in developing your career plans 4 4 2 4 8 4

Motivates you to do a good job 6 5 3 6 8 4

Gives you authority to do your job 5 4 3 5 8 3

Provides the support necessary to help you do your job 6 4 2 5 7 4

*Norm: The average of all leaders in the organization

Usually, the results report includes a guide for interpretation. Here are some basics related to this abbreviated report that would most likely be included in the guide:

Look at the number of responding direct reports. The more who respond, the greater the degree to which the results represent the work group. Compare your self-ratings to the average direct report ratings. What does that tell you? Look at the norm ratings to understand how your results compare with how other leaders in the organization were rated by their direct reports. Are you rated higher, lower, or about the same? What does that tell you?

Most guides include information about available training and developmental experiences that would be useful for developing competency in each category represented on the survey.

Finally, to make the most of the 360-degree feedback and to capitalize on learning from the experience, leaders can take the following actions (London, 2002):

Initiate a discussion with your superior about your development needs and career plans. Prepare a written plan concerning your developmental goals and activities. Set speci�ic goals for development. Target a speci�ic skill for improvement. Initiate a discussion with your peers and direct reports about your development needs and plans. Make a verbal commitment to your supervisor, peers, and direct reports to make improvements in your skills or performance.

Considering the Upward Survey

The following is an example of the upward section of a 360-degree feedback survey, which a leader's direct reports would complete. Consider �illing it out for your supervisor (or predicting how your direct reports would respond). Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Considering_the_Upward_Survey_rev2.pdf) to take this assessment.

Instructions: An important aspect of leadership is people management. This survey focuses on your satisfaction with the relationship you have with your supervisor. Use the scale below to rate your supervisor. Indicate the number that best describes your rating. Use "N" to indicate you have had insuf�icient opportunity to accurately gauge your degree of satisfaction. Your responses will be averaged with those from other colleagues who also report to your supervisor.

_____ 3. Motivates you to do a good job.

_____ 4. Gives you the authority to do your job.

_____ 5. Provides the support necessary to help you do your job.

_____ 6. Understands the work to be done within your work group.

_____ 7. Is available to you when needed.

_____ 8. Encourages innovation and creativity.

_____ 9. Holds employees accountable for meeting performance objectives.

_____ 10. Keeps commitments.

_____ 11. Allows adequate training time for you.

_____ 12. Provides ongoing performance feedback.

_____ 13. Provided a useful performance appraisal within the past year.

_____ 14. Conducts productive staff meetings.

_____ 15. Demonstrates trust and con�idence in you.

_____ 16. Treats you with dignity and respect.

_____ 17. Informs you about issues affecting you.

_____ 18. Balances the work load fairly.

_____ 19. Communicates the reasons for any actions.

_____ 20. Supports and backs you up.

_____ 21. Has the subject matter knowledge to do the job.

_____ 22. Fairly evaluates your job performance.

_____ 23. Represents the group effectively to others.

_____ 24. Ensures that you get credit/recognition for your work.

_____ 25. Encourages open, two-way communication.

_____ 26. Modi�ies his/her position based on feedback from you.

_____ 27. Provides opportunities for you to develop new skills.

_____ 28. Strives for quality in spite of time pressure.

Source: Wohlers & London, 1989; London, 1997, pp. 48–49; London, 2002, pp. 137–138; London, 2003, pp. 94–95.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What personal characteristics make a leader more likely to seek and use feedback? 2. Why is having feedback from different sources (supervisor, peers, subordinates) valuable? Isn't feedback from your

supervisor all that matters? 3. What are at least three guidelines for giving feedback? 4. How does 360-degree feedback �it into a performance management process?

Assessment centers are designed to evaluate leaders for various purposes, including professional development and potential promotion.

Caia Images/Caia Images/SuperStock

2.7 Learning From Feedback: Assessment Centers

In addition to the supervisor feedback and the 360-degree feedback discussed in Section 2.6, a third type of feedback comes from assessment centers. Assessment centers were pioneered by the U.S. government to select spies during World War II and later used by AT&T in the 1950s to identify managers who had leadership potential (Moses, 1977). The method has been used by companies ever since to assess managers' and leaders' potential for advancement to higher levels of responsibility and leadership. The method can also be used to make hiring and selection decisions for targeted roles. You may have a chance to participate in an assessment center in the future as part of a hiring process or as a developmental experience. If so, this can be a major source of feedback and information about the situations and behaviors that are important to leadership. You can learn a great deal about yourself in the process of participating and receiving feedback about your performance in the assessment center.

Fundamentals of Assessment Centers

Assessment centers can be de�ined as a group- and individual-based method of assessment used for the selection, identi�ication, or development of individual contributors, managers, or leaders, that simulates the challenges of working in a target role. Assessment centers are largely used for the identi�ication of high-potential leaders and to provide developmental feedback to improve performance. Results are strongly considered for development and promotion decisions. Centers can also be used for selection purposes, with the results strongly considered in making hiring decisions. Because the method is expensive, when used for identi�ication and development purposes it is primarily focused on mid- to senior-level leaders, who by other measures or experience are demonstrating high levels of potential. From the selection perspective, �inal candidates for important leadership roles may participate in the assessment process; sometimes candidates for functional roles, such as that of sales consultant, participate in the process.

The concept of the assessment center stems from the grand rounds medical model of physicians evaluating a patient from different perspectives. In an assessment center, six to 12 managers or leaders are invited to spend 1 to 4 days going through a series of exercises, each focused on varying dimensions of performance, and completing a variety of evaluation instruments, including intelligence tests and personality pro�iles. The complexity of the exercises and the expected level of effectiveness in the behaviors assessed increase relative to the target audience; that is, the exercises will be more challenging and dif�icult at the senior levels than at the middle levels of leadership.

As the leaders progress through the experience, they are constantly being evaluated by one or more assessors. Typically, the center assesses leadership skills as de�ined in the organization's leadership competency model. So the center might assess, for example, planning, decision-making, and negotiation skills. If used for selection, such as for the role of sales consultant, the focus would be on key functional skills, such as identifying customer needs or closing the sale. The assessors note the individuals' behavior and write reports about how each individual performed in each exercise. An overall report about each individual is also written by an assessor, who is chosen on the basis of which exercises he or she observed. Feedback at the end of the experience is typically delivered by a group of assessors to each participant, one at a time, to ensure the feedback is clearly understood and an action plan can be established. Particularly when used for identi�ication and development, the results are considered con�idential. Typically, only the individual and human resources see the results; if used in succession planning, then the results will be shared with senior leaders involved in the process and the individual's supervisor. If used for selection purposes, the results will be shared with those making the decisions.

We will review how the key exercises operate next, and then provide a case study that describes what a real-life leader learned from the assessment experience.

Key Assessment Center Exercises

The key and typical assessment center exercises include the following:

In-basket Presentation Leaderless group discussion Business game or simulation

When faced with the in-basket exercise, a participant assumes the role of a leader. During the exercise, the participant is asked to review correspondence sent to the leader through a variety of modes of communication, including email, telephone messages, memos, and reports. The challenge for the participant is to prioritize the items, write responses, and indicate the actions he or she would take. Following the exercise, an assessor interviews the participant about the reasons for his or her decisions and then rates the participant on performance dimensions such as decision making, organization skills, and written communication. In this exercise, leaders gain insight into how they work alone under pressure (the exercise is timed), deal with new challenges, and decide to take action without any consultation.

Through his two group experiences at the assessment center, Carlos learned that he needed to demonstrate

Hero Images/Hero Images/SuperStock

For example, those high in conscientiousness will tend to try to read all the items in the in-basket in detail and prepare in-depth responses. The time limit may frustrate them. Participants who are more extroverted, for example, will tend to prepare less-detailed responses and �ind it harder to work alone than those who are less extroverted will. Participants will clearly see and learn how their leadership characteristics and behaviors affect them when working alone.

Typically, the presentation and leaderless group discussion are linked. For example, four to six participants would be placed in a group. Each participant would be given a role and then asked to review information about the role and prepare and deliver a presentation to the group. How does this work? Imagine the scenario the center uses is a school board charged with allocating $100,000 of additional funds recently made available by the state. Each group participant—a member of the school board—would be given a role representing a different vested interest, such as athletics, recreation, theater, or new technology. Each person argues why his or her area deserves the additional funds. Assessors observe the presentation and rate the participant on delivery, organization, and clarity. In this part of the exercise, a leader would learn about, among other things, his or her comfort level with presenting to an unknown audience and ability to be persuasive. This part of the exercise, of course, would be easier for those who are extroverted and have higher degrees of emotional intelligence. The presentation is followed by the group discussion exercise, in which the participants discuss the issue—in this example, the allocation of additional funds—and agree on a solution. Assessors observe and rate each participant on collaboration, interpersonal in�luence, and leadership. Here, leaders have the opportunity to learn about their negotiation and con�lict management skills. From a personality perspective, those who are more open to experience and agreeable might �ind themselves willing to yield their positions and support others' requests for the additional funds.

The business game or simulation usually involves a group of four to six participants. The challenge in the simulation is for the participants to organize themselves, for example, to produce a product, such as a toy plane from plastic parts. The difference between this kind of simulation and the group discussion is that no speci�ic roles are assigned. Assessors observe each participant's collaborative skills and emergent leadership. Leaders who are low in agreeableness may �ind this exercise more challenging if their ideas are not readily accepted. Leaders high in conscientiousness may try to impose structure early on in the exercise to help them cope with ambiguity. Read Case Study: The Mid-Level Leader's Assessment Center Experience to �ind out how one leader, Carlos, learned about his leadership style by re�lecting on and analyzing his behavior in two different group experiences.

Overall, the assessment center is meant to be a microcosm of typical business situations. When used for identi�ication or development, the tasks are structured to represent a higher level of leadership than that of the participants. For example, in the 1980s and 1990s AT&T used an assessment center designed to evaluate third-level district managers for potential to assume �ifth-level director roles. The goal of this approach was to determine the extent to which the participants would be intentionally groomed for those senior leadership roles. At AT&T, this meant that someone seen as high potential would likely become a participant in a multiweek executive education program or be given an assignment in a different function to help develop general management skills. On the other hand, when an assessment center is used for hiring and selection, the tasks are built around those behavioral dimensions important to the functional roles in question. If the participant is an outside applicant, the outcome is either being hired or not. If the participant is an internal employee focused on moving to another role, the outcome is normally movement to that role when a position becomes available if the assessment results are acceptable. If you are directed to an assessment center as part of your career development or as part of a job interview, consider watching the videos available in the Web Resources section at the end of the chapter, which provide tips on how to succeed.

Case Study: The Mid-Level Leader's Assessment Center Experience

Carlos was a mid-level leader and was selected to participate in a development-oriented assessment center experience for high- potential leaders. After completing the prework, which included a competency self-assessment and several personality questionnaires, Carlos spent 4 days engaging in a variety of exercises and feedback sessions, as well as spending time in re�lection at various points in the program. The exercises included an in-basket, a business game, a leaderless group discussion, and a one-to-one coaching discussion.

Carlos was a continuous learner and quite open to the whole experience. After each activity he would carefully re�lect on what he did—and, if the assessors provided feedback at that point, examine what they said very closely. Carlos felt like he was learning a good deal over the 4 days and, in fact, told the assessors that; they responded that they could already see some changes.

Carlos's results, overall, were positive—scoring better than most leaders but not as well as those deemed to have the highest potential. When one of the authors debriefed Carlos at the end of the session, Carlos was struck by two points, resulting in signi�icant learning for him.

First, on the dimension related to negotiation, the assessors rated Carlos low, but Carlos rated himself high. After all, Carlos had taught con�lict management and negotiation earlier in his career and was skilled in the area. What did Carlos learn? In this center, the de�inition of negotiation included the willingness to make trades. Carlos felt

more behavioral consistency as a leader. uncomfortable making trades, particularly with his direct reports. A trade, for example, could be as simple as "Fran, if you take on this new

project, I will see what I can do about getting more budget for your other projects." Carlos was not sure why, but for some reason, he thought making trades with his direct reports "was bad to do." The assessors helped Carlos work through his perspective, and eventually Carlos grew more comfortable making trades with his direct reports.

Second, Carlos's behavior was somewhat different in the two group experiences, affecting his evaluation on the dimension of team leadership. In the �irst experience, Carlos demonstrated more leadership: He suggested a good plan, helped others decide on roles, and reinforced good behavior. In the second experience, the assessors noted that Carlos stepped back some out of the leadership role, and, as a result, leadership was well demonstrated by someone else—John. At times, Carlos and John appeared to battle for control.

What did Carlos learn? When discussing this with the assessors, Carlos said that, in essence, when no one appears to be taking the leadership role, he will. This is what happened in the �irst group experience. However, when someone else appears to take on the role, he is comfortable being more of a team member. Carlos is assertive but not aggressive and is more of an introvert than an extrovert. John, however, was clearly more extroverted and, at times, demonstrated aggressiveness over assertiveness. In the second experience, Carlos was willing to let John take the lead. What became clear was that Carlos did not always agree with John, and when he did not, the two clashed. At these points, neither Carlos nor John displayed high levels of emotional intelligence.

Carlos learned that he needed to demonstrate more behavioral consistency as a leader; his team and supervisor would expect that. Carlos also learned about how an extroverted, assertive, and possibly aggressive team leader affected him and that he needed to �ind ways to deal with that situation more effectively. It was pointed out to Carlos that something about John triggered an inappropriate emotional response and that he needed to explore that dynamic. After all, because Carlos was skilled in negotiation and con�lict resolution, the assessors and Carlos agreed that he could certainly be more effective in handling situations like this back on the job. Carlos would now need to monitor his performance better and regulate his behavior when interacting with someone like John.

Re�lection Questions

1. Have you ever participated in simulations or exercises that gave you information about your leadership abilities? If so, what did you learn?

2. What situations have you experienced that you would describe as learning opportunities? Maybe you didn't think of them as such at the time. Now that you think about it, what did you learn about your leadership abilities?

Leadership in Review

Re�lect on your learning by answering the following questions:

1. How does an assessment center measure key elements of leadership? 2. Why is an assessment center especially valuable for measuring leadership potential? 3. Is feedback from an assessment center useful for suggesting directions for career development?

According to Business Insider, participants in General Electric's (GE) internal training program spend up to 120 hours a week working on their assignments, with only 2% of participants landing executive-level positions by the end of the program.

Peter Probst/age fotostock/SuperStock

2.8 Learning From Training and Development Programs

Formal leadership training and development programs include programs that a company offers itself as well as those offered by outside institutions. Before we begin, it is important to note that the distinction between training and development is useful. Although these terms are often used interchangeably, training focuses on learning a speci�ic set of skills or a body of knowledge. Development refers to incremental learning over time, the result of accumulated learning experiences. Development programs, therefore, are less about classroom or online training and more about learning from experience, although they often have a formal learning component.

Internal Programs

Many large organizations, such as GE and IBM, create company-speci�ic internal training and development programs to foster, if not to accelerate, leadership development efforts for middle- and senior-level leaders to prepare them to meet current and future organization needs.

These internal training programs can vary in length, from 1 day to several days over a number of years, and will vary in learning methodologies to accommodate different learning needs. Your authors recently worked with a Fortune 500 company to design and implement an extensive, 18-day program conducted over 2 years. In this program, VP-level leaders have the opportunity to develop their self-leadership skills, along with skills necessary for the other leadership roles. The program includes 360-degree feedback, psychological assessments, readings, lectures, case studies, role-plays, and the like, and is facilitated by a combination of professional trainers, the company's senior-level executives, and outside experts. Table 2.6 shows the basic 2-year schedule for the program. Each session is 3 days in length, and the sessions are interspersed with related assignments, webcasts, readings, on-the-job experiences, coaching, and mentoring to ensure participants remain engaged in a continuous learning effort. Notice that the program will be conducted in key cities around the world as one practical way to build cultural sensitivity and awareness, important to being a global leader. In programs that are extensive, leaders will learn about themselves as they get feedback from the program facilitators and their colleagues and experience the different learning exercises and approaches. In addition, they will have the opportunity to develop their skills as they practice them in a safe, learning environment. After each session, when they return to their jobs, they can further practice and develop their skills, learning as they go.

Table 2.6: Fortune 500 leadership development program schedule

Session Session 1 Session 2 Session 3 Session 4 Session 5 Session 6

Dates January June October January June October

Location New York New York Buenos Aires London Hong Kong New York

Topic(s) Personal leadership

Team leadership, leading change, and driving innovation

Strategic planning process, leading organizations, and postmerger/ acquisition

Organization learning and execution

General management

The leader's role and strategic integration and application

External Programs

Sometimes, companies cannot afford to develop and implement their own customized leadership training programs, so they turn to leadership training available from a variety of institutes and universities. Often, companies will select only high-potential managers to attend these workshops. Here's a typical schedule for one such weeklong workshop. Imagine you are a participant.

The program begins with launching your 360-degree feedback, a process, of course, that will start several weeks before the beginning of the program. Once you arrive at the workshop, the �irst session is an overview of leadership competencies. You then have the chance to digest your 360-degree feedback results and use them to �ine-tune your thinking about your strengths and weaknesses and areas for development—the areas you will want to work on most during and after the workshop. You meet with a coach one on one to review your 360-degree results and discuss their meaning (so you cannot easily ignore key �indings) with a focus on areas where you are rated low and how these ratings from others compared to your self-perceptions. You

agree on the areas you need to work on most. During the remaining days, you participate in a variety of exercises, such as those in a typical assessment center—business simulations, group discussions, in-basket exercises, and interviews. You meet with your fellow trainees to discuss what leadership means to you, the leadership challenges you have faced, and ways to overcome them. You review and discuss cases from other companies. You study leaders who were successful and those who failed. On the last day, you work with a coach to review your experiences and outline a development plan for the next 6 months to a year that will help you further focus on areas in which you need to improve. The coaches at the workshop follow up monthly with the participants to see the progress they are making in taking actions to implement their development plan.

Two of the more typical development programs organizations implement include the following:

New college hire development programs: Generally designed to give new college graduates short-term, on-the-job experiences in different functions over a 1- to 3-year period. For example, participants may be rotated through different jobs, say moving from �inance to marketing to sales, or other departments, every 3 to 6 months. This will give them exposure to different management and leadership styles and a variety of colleagues and areas of expertise, helping them to learn the business before being assigned to their �irst longer-term position. From a leadership perspective, participants gain insight into their skills and abilities, helping them to decide on their interest in being organization leaders. Middle management development programs: These are similar in nature and design to the college hire programs, except the target audience is middle management, the assignments are usually at least 1 to 2 years in length, and the participants, if successful in meeting the strategic and global leadership challenges they will encounter, will likely go on to assume roles with greater leadership accountability and responsibility and may even become a succession planning candidate.

There are other development programs less focused on job movement. One such program is designed to bring leaders together to focus on real business problems. Pioneered by General Electric, the method, called Work Out, challenges leaders to develop creative solutions (Ulrich, Kerr, & Ashkenas, 2002). Executives present the issue, and the group gets to work. Leaders gain the experience of working together face to face with different colleagues as they study and debate different facets of the problem to settle on a solution. Along the way, they collaborate and make decisions. Several weeks later, they meet with the executive who gave them the assignment to review their solution. As part of the process, leaders are usually asked to re�lect on and self-assess their problem-solving, collaborative, and decision-making competencies as well as their leadership during different phases of their work. Other potential learning outcomes for leaders include the following:

Gaining insight into their own emergent leadership Understanding what it takes to collaborate effectively, a strong function of their openness and agreeableness Testing their lateral thinking and brainstorming skills Sharpening their systems approach to problem solving

The Center for Creative Leadership is one example of an external organization that offers development programs. You can see the wide variety of leadership programs available at http://www.ccl.org/leadership/programs/summaries.aspx (http://www.ccl.org/leadership/programs/summaries.aspx) .

Leadership in Review

Re�lect on your learning by answering the following questions:

1. How does an organization determine what training courses to offer? 2. What is the difference between training courses and a leadership development program? 3. How are 360-degree feedback surveys and assessment centers incorporated into leadership development programs?

2.9 Learning From Others: Role Models, Mentors, and Coaches

In this section, we examine three relationship-oriented learning opportunities, focusing on what a leader can learn from the relationship to foster self-leadership effectiveness. The next chapter explores these learning opportunities from the perspective of leader-as-supervisor.

Role Models

Role models are people leaders can emulate. In organizations, role models are typically higher-level leaders, or they just may be individuals with outstanding and admirable traits. For example, in a coaching session, one business unit head, Adam, told us that the CFO was his overall role model, but that he highly admired the person on his team who managed his organization's budget—because she presented the implications of budget challenges in clear and practical business terms. Leaders learn from role models by observing them, identifying what makes them successful, and then practicing the admired behaviors and traits.

We are sure you can recognize role models, but if you are looking to learn something speci�ic, you may want to ask your HR business partner or supervisor for advice on who best demonstrates the skill or behavior you would like to develop.

Once you have identi�ied your senior-level role model or models, observe their skills and then try them out—practice what it is like to be in positions such as theirs. This is called "anticipatory socialization," a concept originated by Robert Merton and Alice Kitt in 1950 (Dawson & Chatman, 2001; Merton & Kitt, 1950).This helps prepare you for promotion or another position, and as you prepare, you demonstrate to others that you are capable of being promoted or appointed to that position.

Mentors

Mentors are individuals who take a personal interest in your career, provide guidance and advice, and act as a sounding board for your ideas. In one leadership program for a Fortune 500 company we worked with, the mentoring relationship was de�ined like this: "Mentoring is a relationship in which a seasoned employee shares knowledge and wisdom with another employee, providing the support, advice, and counsel necessary for career development and advancement."

This same program de�ined how mentoring advances leadership development. Mentoring accomplishes the following:

Provides a vehicle for open and honest communication about issues that mentees may be unwilling to discuss with their managers Encourages self-re�lection and personal discovery Enables mentees to receive targeted and candid feedback

Mentors are usually someone older, more experienced, and likely to be at a higher level in the organization than the leader/mentee. This idea is supported by Levinson's life stage theory discussed earlier, when we pointed out that people tend to look for mentors in early adulthood but tend to become mentors during the midlife stage. Returning to our leader Adam, who is in the era of early adulthood: Although his role model was the CFO, in fact, he was speci�ically being mentored by the CEO, who is in the transition stage to late adulthood.

Chapter 3 continues the discussion of mentors, but brie�ly, mentors can create opportunities for leaders or recommend them for choice assignments to foster their development. The role of a mentor is mainly that of a guide and a coach, someone who is available to show you how things are done, point out effective actions and decisions, and inform you about opinions and politics in your organization—who has in�luence, who is highly regarded by whom, and who the key decision makers are. Of course, there are expectations for the mentee role, too. Here is how we de�ined those for the leaders in the Fortune 500 program discussed previously:

Communicate openly and honestly with your mentors, indicating the areas in which you need assistance and development. Share successes as well as failures with your mentors. Approach the mentoring relationship with an open mind and a willingness to explore and challenge your own beliefs, assumptions, and behaviors. Be open to feedback and be willing to try new approaches. Engage in self-re�lection. Understand that you will receive guidance, not answers, from your mentors. Be proactive in contacting your mentors to schedule meetings.

How does one �ind a mentor in organizations? This can happen in several ways. For example, one Fortune 500 company we worked with has organized a mentorship program with a pool of senior leaders as mentors, and the mentees (the program participants) take the lead in forming a mentoring relationship with someone from the pool. This is the guidance the mentees were given:

You are not required to participate in mentoring; it is a voluntary program. If you choose to participate, you are responsible for initiating contact with a potential senior vice president or executive vice president mentor. The mentors may decline due to other commitments but are strongly encouraged to work with at least one mentee. Mentors and mentees determine together the goals of the relationship, how often they will meet, speci�ic expectations, etc.

Try to think of a time when you were a part of a coaching relationship and what you learned either as the coach or as the one being coached. What was that experience like?

IMAGEZOO/IMAGEZOO/SuperStock

Other organizations have programs that assign mentors to mentees. In accordance with the practices we discussed, managers early in their careers are assigned mentors who are more experienced managers and have volunteered to participate in the program. Once established, the relationship tends to work the same way. The assigned mentor is expected to have periodic informal meetings with the mentee, perhaps over lunch or dinner, to talk about the organization and give the mentee advice. Because the mentor does not have a supervisory relationship with the mentee and may not even be in the mentee's department, the mentee can feel con�ident when being open about any concerns, and the mentor can be constructive in offering advice to the mentee. These programs work best when the mentor and mentee have one or more characteristics or experiences in common. For instance, they may be in the same �ield, graduates of the same university, or a member of the same minority group. Even so, this formally assigned mentor-mentee relationship may not have much value unless the two like each other and the af�inity deepens over time. These programs can be companywide, solely department focused, or focused on a speci�ic population, such as women or minorities.

Finally, companies may still encourage mentoring even if there is no formal mentoring program in place. In this instance, the mentor- mentee relationship probably forms by chance and is often the result of the younger leader being introduced to a more experienced leader who has the time and interest to begin acting as a mentor.

Leaders should understand the immense value of mentoring and seek people with whom they can build a mentoring relationship. Having a mentor is not the key to success, but it is very helpful. Many successful people acknowledge the contributions of their mentors, to whom they owe a debt of gratitude for helping them in their careers. Even Steve Jobs bene�ited from a mentor (he considered Warren Buffett his mentor). So if you have such a relationship, consider the positive difference mentorship can make, and take the time to develop it.

If you are not involved in a mentoring relationship, consider people who might be a mentor or mentee. Invite the person for coffee or lunch. See if you can foster such a relationship to create value for both of you.

Coaches

Coaching, according to Harris (1999), is "an ongoing, one-to-one learning process enabling people to enhance their job performance" (p. 38). Coaching can be an intense process, although it is not as personal a relationship as mentoring. It is intense because a coach focuses the leader on improving speci�ic job behaviors, analyzing dif�icult and complex relationships with others, and considering ways to become more effective. Coaches challenge leaders to re�lect on their worldviews and perspectives. Coaching's main focus, therefore, is about personal change.

A leader's supervisor can act as a coach, but often, particularly at the more senior levels, coaches are outside experts, generically categorized as "executive coaches." Organizations may also have HR or organization development practitioners who are trained in and serve as internal coaches. Here are some speci�ic ways in which coaching can help to enhance self-leadership:

Increase the leader's motivation to learn Help the leader to improve self-monitoring and self-regulation skills Recognize the leader's successes and accomplishments, helping to build career resilience and identity Establish effective learning goals based on feedback, including 360-degree feedback Work through life stage and life stage transition issues Increase emotional intelligence Foster the ability to capitalize on and learn from experience Create an objective, honest atmosphere for high-level executives to discuss their concerns, weaknesses, and other issues

Although a coach, or even a mentor, can be quite active in their roles, leaders should not expect the coach or mentor to do the work for them. Leaders may tend to procrastinate or put less independent energy into a goal or task if they think that someone could help them at some point. The expectation or anticipation that self-regulation can be "outsourced" is likely to prevent people from taking action on their own (Fitzsimons & Finkel, 2011).

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the similarities and differences among role models, mentors, and coaches? 2. What is one way to choose a role model? 3. How do you �ind a mentor, or do you have to wait for a mentor to �ind you? 4. When can an executive coach be most helpful? 5. What is the difference between coaching and leading?

Leaders should take it upon themselves to map out their own short- and long-term self-development plans.

NLshop/iStock/Thinkstock

2.10 Career Development Planning and Diagnosing and Measuring Self-Leadership Gaps

As this chapter comes to a close, we discuss how leaders can go about career development planning to foster their ability to be successful in the role of leading one's self, as well as in other leadership roles. At the end of this section, we look at how you can diagnose gaps in your self-leadership by measuring the extent to which you demonstrate role behaviors and job-related competencies and the extent to which enabling practices that support self-leadership are in place in your organization.

Career Development Planning

Development planning is the process of creating an action plan for ensuring one has the knowledge, skills, and abilities to achieve certain goals. Development planning can focus on short-term development planning, long-term development planning, or both. One Fortune 500 company differentiated between these two types of planning by noting that short-term development planning is focused on current performance goals, whereas long-term development planning is focused on the leader's future success, given the company's strategic plan and direction. Long-term development planning can be thought of as career planning and development.

Simply put, leaders then need to ensure that they are planning to acquire or develop the skills necessary for immediate success in their current assignments, and that they have a plan for continuous learning that will help them to acquire or develop the skills necessary to contribute to the long-term success of the business. The following are the key questions leaders should address when development planning:

1. What are my top strengths? a. Do I effectively demonstrate the leadership skills necessary for

success in my current job? b. Do I effectively demonstrate the leadership skills necessary for

success in the future? 2. What are my top areas for development?

a. What aspects of my leadership do I most need to improve? b. What would my supervisor or colleagues say? What would my

mentor say? 3. What actions will I take to improve in each leadership area?

a. What training programs can I attend? b. What job assignments can I plan for?

4. What is my time frame for development? a. What do I plan to do during the next 6 months and the following

6 months? b. When will I assess my progress?

5. What barriers to my development might I face? a. How will I overcome them?

6. What are my career goals 1 year from now and 5 years from now? a. What jobs and positions would I like to hold? How do these relate to my goals for leadership development? b. How will my development plan help me prepare to achieve these goals?

When answering these questions, leaders need to recognize that development is not just a matter of considering one's strengths and weaknesses. Leaders also need to take into account the needs of the business and recognize that these needs are changing—and that they may be unpredictable. Other changes that appear to be on the horizon, such as technological changes, competition, and globalization, can be predicted or at least anticipated and prepared for. Recognizing these changes, leaders may want to advance their education (e.g., take courses in �inance or marketing), study a foreign language, or attend industry conferences. Certainly, keeping up with advances in one's �ield and industry is likely to be important. As such, leaders need to be continuous learners, always on the lookout for the latest trends, data, and information that will help them be competitive and continue to add value to the organization.

Diagnosing and Measuring Gaps: Leading One's Self

Chapter 1 introduced the Mone-London organization model as a framework for diagnosing gaps in leadership across the four leadership roles. Early in this chapter, we presented a variation of this model, one that applies to self-leadership.

As discussed here and in Chapter 1, the performance component for self-leadership emphasizes the extent to which leaders demonstrate the expected behaviors and job-related competencies to achieve or exceed their performance goals. So the gap we are concerned with measuring is the extent to which leaders are demonstrating those skills and capitalizing on the enabling practices from the perspective of ensuring successful self-leadership.

Throughout this chapter, we offered a number of speci�ic assessments that can be used by leaders for self-assessment and development planning. The assessments could be used, more or less, as conversation tools by supervisors or, for example, coaches, when working one on

Assessments allow leaders to diagnose opportunities for improving their skills and practices.

Mario Ragma/Hemera/Thinkstock

one with leaders. In addition, the questions in those assessments could be incorporated, probably with some modi�ication, into surveys that would collectively assess the gaps in leadership for this role. Here is a high-level set of questions that can be used for gap assessment for this role:

Does the organization's human resource development policy promote and support self-development and learning from experience? – Are self-development efforts recognized and rewarded? – Do the CEO and the executive team visibly support leadership development efforts? Are leadership development efforts closely aligned with the company's strategic plan? Are the important leadership competencies identi�ied? – Is there an organizational leadership competency model? – Are the behaviors related to the company's core values clearly identi�ied? – Does the strategic plan identify relevant functional competencies important to leadership development? What development resources, if any, does the company provide to promote development of self-leadership? – 360-degree feedback? – Coaching? – Mentoring? – Online assessments, including, for example, skill, personality, and learning style assessments? – Assessment center participation? – Executive education? – Leadership training and development programs? Do leaders, in general, display high levels of career motivation? – Are leaders, overall, engaging in self-development and continuous learning? – Are leaders aware of how their environment and their own life stages can in�luence their outlook, development, and performance? Are leaders developing the metacognitive and functional skills necessary to successfully lead the organization? Are leaders, overall, displaying critical skills that contribute to effective self-leadership, such as the ability to engage in self- re�lection, self-monitoring, self-regulation, and emotional intelligence?

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is the purpose of a development plan? 2. What is short-term development planning? What is long-term development planning? 3. What are other development plans that are not oriented toward being promoted?

Summary and Resources

Chapter Summary

This chapter showed how leaders take responsibility for their own development. Doing this effectively entails recognizing the interplay among individual characteristics (traits, talents, personality), role requirements of different leadership positions, and outcomes that include job performance and career advancement. The relationships among these elements are supported by ongoing assessment, opportunities that enable development, and planning. These processes unfolded throughout the chapter as we described motivational forces, self-regulatory mechanisms, leadership traits and behaviors, and environmental cues about which leadership competencies are important for career success in the organization. For leaders to be effective learners, they need to understand how they learn best and then take advantage of the leadership opportunities available to them. Learning stems from new experiences, observing others, and seeking and receiving performance feedback. Feedback is key to calibrating what you need to do to achieve your goals and how close you are to accomplishing these goals. We described factors that affect leaders' receptiveness to feedback; sources of feedback such as the leader's supervisor, 360-degree survey results, and assessment centers; and ways to use feedback for performance improvement. We described training and development programs and learning from role models, mentors, and coaches. We concluded with ways leaders can plan their development.

Leadership Exercise

Instructions: In Chapter 1's concluding exercise, we asked you to select a leader whom you would like to study—someone whom you admire or who has faced a variety of leadership challenges. We asked you to begin a case description of the leader, including the individual's background, challenges, and accomplishments. Here, we want you to consider the leader's characteristics as you know them or as they appear to be, given what you know about the leader's decisions, actions, and experiences and how others describe him or her (or as he or she described him- or herself, if you have that information). Describe these characteristics using the concepts we covered in this chapter.

1. What is (was) the leader's career motivation? Re�lect on evidence about the leader's self-insight, identity (goals, ambitions, and persona), and resilience in the face of barriers.

2. What are (were) the leader's key or de�ining characteristics in your opinion—strength of character, ego (self-esteem), self-control (self-regulation), continuous learning, collaborative relationships with others, vision, and the like?

3. Did the leader's career change direction at any point? What led to this? 4. What challenges did the leader face, and how did the leader respond? 5. Did the leader have an accurate view of how others perceived him or her? Was he or she someone who cared about and monitored

what others thought of him or her? Do you know if the leader asked others for feedback? Do you know how the leader responded to criticism?

6. How would you compare yourself to the leader? 7. What characteristics of this leader would you like to emulate? What characteristics would you want to avoid? 8. Overall, what have you learned about leadership from having studied this leader so far?

Web Resources

Watch the following video for tips on how to succeed at an assessment center (reprinted with permission of Ruairi Kavanagh at gradireland.com): http://www.youtube.com/watch?v=kA7g-Q8hyus&feature=related (http://www.youtube.com/watch?v=kA7g- Q8hyus&feature=related)

Key Terms to Remember

Click on each key term to see the de�inition.

360-degree (multi-rater) feedback (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A method for providing leaders and managers with multiple perspectives and assessments of their behavior and performance.

assessment centers (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A group- and individual- based method of evaluation used for the selection, identi�ication, or development of individual contributors, managers, or leaders that simulates the challenges of and working in a target role.

career identity (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The direction of one's motivation, focusing on the goals one wants to achieve.

career insight (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The degree of knowledge one has about one's strengths and weaknesses, including the extent to which one's self-knowledge is comprehensive and accurate, as well as knowledge of the opportunities, constraints, and demands one faces in the environment.

career motivation (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A person's desire and rationale for pursuing and engaging in a certain career; it consists of career insight, identity, and resilience.

career resilience (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Comprises the set of characteristics that allows a leader to persist and overcome barriers.

coaching (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An ongoing, one-to-one learning process enabling people to enhance their job performance.

cycle of experiential learning (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An approach to learning that involves having a learning experience, re�lecting on it, making sense of it, and then experimenting or trying out what was learned.

development (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A form of learning that is incremental over time, the result of accumulated experiences.

development planning (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The process of creating an action plan for ensuring one has or acquires the knowledge, skills, and abilities to meet current or future jobs' needs, respectively; can be short term or long term.

emotional intelligence (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Having the capacity to understand and manage one's own emotions as well as the emotions of others.

leadership characteristics (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Traits that are both inborn and acquired over time that make up a leader's character.

learning style (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Preference for how one learns.

mentor (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An individual who takes a personal interest in another's career, provides guidance and advice, and acts as a sounding board for that person's ideas.

meta-analysis (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The combination or average of the results of a wide range of studies that address a set of related research hypotheses, the goal of which is to generate results that are more conclusive than those from any one study alone.

self-control (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The ability of leaders to in�luence their environments, the opportunities available to them, and what happens to them.

self-ef�icacy (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The belief that one can bring about positive outcomes for oneself and others.

self-esteem (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The beliefs and emotions that characterize one's evaluation of self-worth.

self-monitoring (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The process of comparing one's behavior to an internal or external standard and adjusting one's behavior to meet that standard.

self-protection mechanisms (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Ways in which leaders maintain their self-image in the face of negative feedback.

self-regulation (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The tendency to take action in response to events in one's environment and to be proactive in self-learning.

training (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A form of learning focusing on acquiring a speci�ic set of skills or a body of knowledge.

A method for providing leaders and managers with multiple perspectives and assessments of Click card to see term 👆

Choose a Study ModeView this study set

3 Leading One to One

Learning Objectives

After reading this chapter, you should be able to

Describe the importance of leading one to one. Apply key frameworks, such as theories of action, the ladder of inference, and performance management, for succeeding in the one-to-one role. Explain how to build trust and empower others. Apply a framework for organization-wide goal setting; distinguish among goals, strategies, and tactics; and work with direct reports to set goals to which they will be committed. Give direct reports constructive feedback. Provide resources to help direct reports develop their strengths and overcome weaknesses. Describe the purposes of coaching and a �ive-step process for coaching direct reports. Describe various ways to recognize employee performance and how to identify and overcome obstacles to giving recognition. Apply effective strategies for appraising overall performance. Measure gaps in performance management. Manage and resolve con�licts for win–win solutions. Describe how to select the right person for the right position.

Monkey Business Images Ltd/Thinkstock

Introduction

To the extent that leaders are effective in the role of self-leadership, they will be effective in the one-to-one role. As leaders engage in one- to-one practices, their self-leadership skills (e.g., self-monitoring and self-regulation) and their personality-related behaviors (e.g., being open to others' ideas and experiences) become critically important for interpersonal effectiveness. Knowing one's self—how one acts and comes across—is essential for understanding a one-to-one interaction with a direct report. Leaders with self-knowledge can address the other person in the relationship with distinct understanding and can anticipate and mitigate the impact of their own behavior and their direct reports' behavior on the interaction. For example, if a manager knows that initially she resists new ideas from a direct report, she might decide to spend time evaluating these ideas rather than dismissing them. The manager might say to her direct report, "I would like to take a day or two to mull over your idea and to give it thorough consideration."

In the Mone-London organization model, one-to-one leadership is referred to as dyad performance; you may recall that "collaborative dyads" are one of the role-performance components in the model. In addition to their direct reports, leaders can have dyadic relationships with a variety of stakeholders:

Customers, where the emphasis might be positioning the company for further sales Competitors, where the emphasis could involve collaborative leadership focused on mergers or alliances Regulators and government of�icials, with the goal of in�luencing possible legislation or positioning their companies in a favorable light

We will consider the importance of collaborative relationships in Chapter 5. In this chapter, however, we will focus on the leader–direct report relationship.

The Mone-London organization model can be used to illustrate the components of one-to-one leadership, just as we used it to illustrate the components of organization leadership (Chapter 1) and self-leadership (Chapter 2). Effective one-to-one leadership requires that leaders need to (1) build trust and empowerment, (2) utilize performance management practices, (3) effectively resolve con�licts, and (4) select the right people. Each of these areas will be discussed in this chapter, but we want to note now how performance management is at the heart of the Mone-London organization model for one-to-one leadership (see Figure 3.1).

Performance management is the process of involving employees in improving organizational effectiveness, including communicating, goal setting, feedback, development, recognition, coaching, and performance appraisal. Leaders must focus on performance and development management, guided by the organization's overarching goals and each direct report's own performance and development goals. The organization's human resource performance management and development processes and programs serve as enablers to this effort and provide the foundation for leaders to be coaches, and perhaps mentors, to their direct reports. Leaders will, in the end, evaluate their direct reports' performance and development efforts, ensuring that their results meet or exceed expectations in line with the organization's strategic direction and goals.

Figure 3.1: The Mone-London organization model applied to one-to-one leadership

The Mone-London organization model can be applied to one-to-one leadership: To be successful leading one to one, leaders must be guided by organization's overarching goals and each direct report's own performance and development goals as they focus on building trust and empowerment, managing performance, resolving con�licts, and selecting the right people. The organization's human resource performance management and development processes and programs serve as enablers to this effort and provide the foundation for leaders to be coaches, and perhaps mentors, to their direct reports. Leaders will, in the end, evaluate their direct reports' performance and development efforts, ensuring that their results meet or exceed expectations in line with the organization's strategic direction and goals.

In this chapter, we will begin by exploring the one-to-one relationship. We will then review three interrelated frameworks that leaders can use and apply to increase their capability when working one on one. We follow this with an important discussion of how leaders can build trust in the one-to-one relationship and empower others to act. As you will see, trust and empowerment are foundational and necessary ingredients for achieving success in this leadership role. For the remainder and majority of this chapter, we discuss in detail additional role-related competencies, as well as how to assess and develop those competencies:

Mutually set performance and development goals. Deliver effective, constructive feedback. Identify and create informal and formal development opportunities. Reinforce performance through the timely use of recognition and rewards. Coach for performance improvement and enhancement. Construct and deliver effective performance appraisals. Manage and resolve con�licts. Conduct effective selection interviews for jobs or key assignments.

The key to SuperLeadership is to develop one's self- leadership to such a degree that it has an external impact.

Digital Vision./Photodisc/Thinkstock

3.1 Exploring the One-to-One Relationship

We worked with a chief human resource of�icer (CHRO) of a high-tech Fortune 500 company who once said, "People don't quit companies; they quit bosses." What do you think about this statement? Do people quit because of their bosses or supervisors? Are there other reasons to leave or remain with an organization that may be more important?

Although the CHRO's statement is a broad generalization, it contains a fair degree of truth. Even though formal mechanisms may be in place and legal recourse is certainly available, employees will suffer, or potentially leave their organizations, if their supervisors create and sustain hostile work environments. Sometimes an untrustworthy supervisor is all it takes to create the desire to pursue a career with another company. On the other hand, employees are more likely to remain committed to their supervisors and their organizations when leaders and managers focus on practices that engage their employees (Macey, Schneider, Barbera, & Young, 2009; Gebauer & Lowman, 2008), that is, when leaders create the conditions and encourage behaviors that allow employees to become more embedded within their jobs, organizations, and communities (Mitchell, Holtom, Lee, Sablynski, & Erez, 2001).

The one-to-one relationship provides leaders the opportunity to model effective behaviors, build trust, and enroll others in their vision of the future. When leaders and managers succeed in the one-to-one role, their employees will be engaged, empowered, and committed to contributing to the organization's success. Their employees, too, develop the ability to lead themselves, a concept discussed by Manz and Sims (2001) as SuperLeadership. (See Considering SuperLeadership to learn more.)

Considering SuperLeadership

SuperLeadership is a concept originally introduced in the book SuperLeadership by Charles Manz and Henry Sims (1989). The book was updated and revised in 2001 as The New SuperLeadership. The purpose or goal of SuperLeadership is "to facilitate self-leadership capability and practice and, further, to make the self-leadership process the central target of external in�luence" (Manz & Sims, 2001, p. 25). In other words, leaders focus on developing the self-leadership of others, not the creation of followers, and they largely accomplish this through empowering their direct reports to act. And we agree with Manz and Sims that leading one's self effectively is a prerequisite for leading others in the one-to-one role.

For Manz and Sims, self-leadership is an extensive set of strategies focused on the behaviors, thoughts, and feelings that we can use to in�luence ourselves as leaders. These include setting our own performance and career goals, providing our own rewards for our successes, creating opportunities for deriving natural or intrinsic rewards from our work, and holding positive beliefs and thoughts that help guide us in search of opportunities and prevent us from being overwhelmed by obstacles. The self-regulation and self-monitoring behaviors we discussed in Chapter 2 can also be added to that list. Manz and Sims suggested that there are speci�ic strategies leaders can use for developing self-leadership through the dyadic, or one- to-one, relationship with direct reports. These include the following:

Modeling: When leaders demonstrate self-leadership behaviors, providing an example to their direct reports that captures their attention, helps them to remember the behavior, and motivates them to try the behavior on their own Facilitating goal setting: When leaders help to develop direct reports' capability to realistically set their own performance and development goals, including leadership development goals Identifying rewards: When leaders help their direct reports �ind the natural or intrinsic reward in their work, which is often found in work that helps to build feelings of competence, feelings of being able to control the work, and feelings that the work is worthwhile and has purpose and meaning Encouraging positive thought patterns: When leaders help their direct reports see opportunities where obstacles were normally seen, engage in mental rehearsal and visualization of success, and encourage positive self-talk

As we progress through this chapter, you will recognize how the presented frameworks (such as performance management) and the recommended processes and programs (such as goal setting, feedback, and mentoring) all serve to foster self-leadership when done effectively in the one-to-one role.

Finally, Manz and Sims suggested that SuperLeadership can be exercised with teams, and this is accomplished when leaders establish empowered, self-managed, or self-directed teams, such as service teams, product teams, cross-functional teams, top- executive teams, and virtual teams. At the organization level, SuperLeaders can build a culture of self-leadership through the organizational structures they create—for example, moving from a layered, hierarchical structure to a horizontal structure (one that is �lat with few management levels)—and through human resource systems that promote work innovation, informal hiring

practices, performance appraisals that incorporate multiple inputs and have a development focus, and compensation that is more variable, team oriented, and performance based.

Managers at all levels in the organization require skills in one-to-one leadership. Therefore, this chapter also is applicable to lower and middle managers. For example, both leaders and managers are expected to carry out all phases of performance management, from goal setting to appraising direct reports.

Leadership does take time and effort, and some of what leaders need to do—for example, give tough feedback to a direct report—is not easy and requires advanced skills. When leaders, and managers for that matter, work effectively in the one-to-one role, they will spend time in goal setting, providing feedback, working on development plans, and coaching and appraising each of their direct reports. Just engaging in 30-minute biweekly coaching sessions with each of a leader's six direct reports, given the time it takes to prepare for the session and to follow up on progress afterward, can easily total 6 hours—that is almost a full working day every other week. However, though time intensive and challenging, this is what effective leadership and management involves. See Case Study: Chief Marketing Of�icer's One-to-One Role to learn about what could happen when leaders tend to ignore the one-to-one role.

Case Study: The Chief Marketing Of�icer's One-to-One Role

We recently had the opportunity to consult with a senior executive, the chief marketing of�icer (CMO) of a multinational organization of more than 5,000 employees. The CMO, with more than 20 years of experience in the industry, reported directly to the CEO and had a team of eight direct reports, collectively leading more than 125 employees. However, in a recent 360-degree feedback survey, the CMO's direct reports indicated issues of trust between themselves, but more so between each team member and the CMO. This surfaced in the lack of cooperation and agreement between them when it came to launching global initiatives, such as a new product launch.

After reading through the results and discussing them with the CMO, we then met with each direct report to further explore the trust issues. We learned that the CMO, who thought he was empowering his direct reports to act, actually was demonstrating more of a laissez-faire leadership style and ignoring feedback from his team about con�licts between team members. The CMO also provided little performance feedback, so individually direct reports thought they were doing �ine and that others on the team were the ones causing the problems. These con�licts, as was the case, were the result of the CMO not holding each of the direct reports accountable for results and working collaboratively to achieve overall goals. Fundamentally, the CMO was not managing the performance of his direct reports and, frankly, was spending more time in his role as a member of the senior leadership team (leading the organization) than as a supervisor of his direct reports (leading one to one).

Our advice ultimately improved team morale and performance and reduced the tension and con�lict within the team and between team members and the CMO. It included the following:

Bringing the direct report team together to share and discuss overall �indings and feedback Establishing clear goals for the organization with the team, as well as with each direct report, helping each to better understand expectations for themselves and others on the team The CMO agreeing to conduct biweekly, one-to-one performance review and feedback meetings with each direct report to monitor performance, progress, and morale The CMO committing to be proactive in resolving con�licts brought to his attention, while also emphasizing his desire for collaboration and teamwork across the team—in essence, having his team model the right behaviors for the rest of his organization

Our advice in this case emphasized a "back to basics" approach. Regardless of your level in the organization and the level of your direct reports, the one-to-one role and the fundamentals of performance management—such as setting clear performance expectations, articulating desired behaviors, and providing feedback on a regular basis— remain important. Leaders, in essence, have to be managers, too; they have to supervise their direct reports. Leaders also need to learn how to effectively balance the four roles of leadership, as this case demonstrates.

Re�lection Questions

1. What do you think causes senior leaders, in general, to lose focus on the one-to-one role? What assumptions might they be making about themselves and their direct reports?

2. Have you ever neglected your direct report team when it came to performance management? Why was that so? What impact did it have on your team?

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is the purpose of SuperLeadership? 2. What are four speci�ic strategies leaders can use for developing self-leadership through one-to-one relationships with their

direct reports? 3. At what levels in organizations are skills in one-to-one leadership required?

Leaders must understand the frameworks of one-to- one leadership in order to successfully lead their teams.

Jetta Productions/Blend Images/SuperStock

3.2 Frameworks for Understanding and Guiding One-to-One Leadership

There are three interrelated frameworks that are necessary for understanding the practices and approaches of leaders in the one-to-one role: theories of action, the ladder of inference, and performance management. Both the theories of action and the ladder of inference frame works strengthen and enhance the framework of performance management.

Theories of Action

Theories of action are explanations and interpretations of individuals' approaches to achieving the outcomes they want. People have ideas about the deliberate behaviors they must demonstrate to achieve the results they want; for example, a leader might have ideas about the behaviors required for effective leadership for a large organization. The speci�ic behaviors people demonstrate form a sequence of interrelated behaviors, or action.

Types of Theories of Action The extensive work of two theorist-practitioners, Argyris (1990, 1994, 2004) and Schon (Argyris & Schon, 1974; Schon, 1990), has consistently found that most people tend to be unaware of how their attitudes affect their behavior and the negative impact of their behavior on others. When asked about their theories of action, people generally describe their espoused theories, or how they will think or believe they will act to achieve results. People believe in and are committed to their espoused theories. To learn about a person's espoused theory, ask that person to tell you how she or he would act in a given situation.

People ultimately act based on their theories-in-use. Observe someone in action to learn about his or her theories-in-use. For example, a CEO demonstrates leadership behavior by speaking to a large group of employees in a town hall meeting. The leader may be espousing the importance of open communication, but her intolerant reaction to a challenging question about the recent drop in the company's stock price gives an indication of her true theory-inuse. Theories-in-use are the means for reaching goals, and they specify strategies for how people will conduct themselves (for example, how a leader resolves con�licts, engages in providing feedback, or coaches others). Theories-in-use provide the underlying constancy for an individual's behavior.

The Value of Theories of Action Theories of action encompass and explore the relationship between espoused theories and theories-in-use, providing a framework for leaders to understand both themselves and their direct reports. What is the value of understanding theories of action? First, it is a way for leaders to gain insight into the relationship between what they say and do and how that is perceived by direct reports. For example, when leaders master the role of leading one's self, they develop clarity about their intended actions and the resultant behaviors. They discover the theories they say they believe in and the theories they actually demonstrate. This insight often leads to developing better or more valid theories of action. For instance, a leader may believe in a theory of openness but may realize her theory-in-use revolves around challenging and resisting the viability of new ideas. Understanding theories of action can also provide leaders insight about their actual theories-in-use, which can lead to the adoption of more rigorous strategies and practices. Finally, the theories of action framework can help leaders understand that discrepancies may exist between their espoused theories and theories-inuse. The discrepancies will have a negative effect on their perceived trustworthiness and integrity, as the leader will be seen as saying one thing and doing another. Recall that having integrity is one of the three major competencies related to being seen as trustworthy.

The second value in understanding theories of action is that it helps a leader understand the relationship between what a direct report says and does. For example, when a leader provides feedback based on observable behavior, a direct report may become defensive and reject the feedback because the behavior is inconsistent with his or her espoused theory. The leader in this case might say to the direct report, "You provided very generic answers to the questions our customers raised in the meeting we just had." The direct report, who always talks about the importance of the customer and meeting customer needs (espoused theory), might reply, "I don't think that is true— I gave them good answers to the questions they asked." The leader can coach the direct report to help reconcile this discrepancy. Figure 3.2 shows some of the key challenges leaders encounter working with others, based on the congruency of their espoused theories and theories-in-use. Most of the performance management practices discussed in this chapter focus on performance improvement, which often requires the leader to point out the direct report's espoused theory, his or her theory-in-use, and the steps necessary to enhance both theories and to guide behavior that leads to successful results.

Figure 3.2: The challenges of theories of action

Different challenges arise whether there is congruency or incongruency between the leader's espoused theories and theories-in-use and the direct report's espoused theories and theories-in-use.

Source: Data from Leadership: A New Synthesis, by J. G. Hunt, 1991, Newbury Park, CA: Sage Publications.

Looking at Figure 3.2, consider Box A. In this instance, both the leader and the direct report have congruent theories, so the leader will need to recognize that coaching might involve a focus both on the beliefs held and on the behavior demonstrated by the direct report. For example, the direct report could believe in providing minimal amounts of feedback to her own team and actually provide that amount, to the dissatisfaction of her team members. The leader has congruent theories, so it should be easier for the direct report to accept the feedback. On the other hand, Box B requires the leader to focus on the direct report's incongruence in values and behaviors. In this instance, the leader would likely encounter someone who believes in providing feedback regularly but does not do so. The leader would need to help the direct report see this inconsistency and then help him to determine how to provide feedback on a more regular basis.

Box C takes on a different slant. Here, the leader's dif�iculty initially stems from the fact that she is not doing what she believes and says is important to do. This can come across as a lack of integrity and could raise questions with the direct report about truly needing to change if the leader is not herself "perfect." The leader may be saying feedback is important but does not provide enough feedback to the direct report team or speci�ically to this direct report, so some cynicism may prevail. The leader in this instance has to make clear to her direct report that, although her own theories may be incongruent, the direct report's behavior in question is still important to enhance. Finally, Box D presents a scenario that is the opposite of Box A. In this instance, clearly both the leader and the direct report are not doing what they say they will do. So going back to our example of providing enough feedback to direct reports, the leader once again has to make clear that although her own behavior may be inconsistent with her values, there is still some inconsistency in what the direct report says and does. The leader has to deal, potentially, with both her own lack of integrity in trying to make this change and the resistance from the direct report who believes he is doing what he says and is wondering why this is an issue for him if his own leader does not do this, either. In the end, it might just come across as the leader paying lip service to the idea of the direct report becoming more effective at providing feedback.

The Ladder of Inference

The ladder of inference is a metaphor for the process by which we often arrive at conclusions. We start the process with what we see and observe (the ladder's bottom rung) and, from there, ascend the "ladder" as we select data, add meaning to the data, make assumptions, and �inally draw conclusions, which, in turn, drive beliefs and action (see Figure 3.3). We often do not climb the ladder of inference consciously, and sometimes we leap up the ladder too quickly, which results in misguided beliefs and actions. According to Ross (1994), our ability to achieve desired results is eroded by the fact that we often believe that

Our beliefs are the truth. The truth is obvious. Our beliefs are based on real data.

Figure 3.3: The ladder of inference

The ladder of inference explains how sometimes deep-seated beliefs can form without evidence. However, leaders can use the ladder as a tool for improving the one-to-one relationship.

Source: "Ladder of Inference" from THE FIFTH DISCIPLINE FIELDBOOK: STRATEGIES AND TOOLS FOR BUILDING A LEARNING ORGANIZATION by Peter M. Senge, copyright © 1994 by Peter M. Senge, Charlotte Roberts, Richard B. Ross, Bryan J. Smith, and Art Kleiner. Used by permission of the Spieler Agency Doubleday, an imprint of the Knopf Doubleday Publishing Group, a division of Penguin Random House LLC. All rights reserved.

The data we select are the real data. (p. 242)

If we allow our incorrect beliefs to grow strong and in�luence the data we select, the overall process becomes even shorter and keeps us in a counterproductive re�lexive loop.

An Example of the Ladder of Inference The following is an example of a conversation between a leader and a direct report that demonstrates the ladder of inference in operation, as it often happens in real life. Note that in this example Jamal proceeds through the ladder of inference without much conscious awareness of doing so. This example demonstrates, as well, how the ladder of inference serves to underpin many of our conversations in the workplace.

Jamal, a leader, is in a one-to-one meeting with Mark, a direct report. Jamal is giving Mark performance feedback. Jamal observes that Mark is quiet during this time, and when Jamal �inishes with the feedback, Mark says, "It is important to talk about next quarter's goals." Jamal decides—selects the data—that Mark was quiet when listening to the feedback. Jamal �igured that it meant Mark did not like that part of the meeting. Jamal assumed that Mark was uncomfortable with feedback and concluded Mark did not like to receive feedback. This led Jamal to believe that Mark was not interested in his own professional growth. Jamal's next action was to schedule more time in subsequent meetings to focus on giving Mark performance feedback and support his ongoing development.

The problem in the example is that Jamal is convinced he needs to spend more time on feedback with Mark, but Jamal does not really know if that is an effective response. It is unclear why Mark was silent during the meeting. Jamal never tested what he was seeing; he just made a number of assumptions and formulated his own reasons for Mark's behavior. Over time, if Jamal continues to act on his belief that Mark is not interested in his professional development, Jamal will focus more and more on selecting Mark's "quiet behavior," reinforcing his conclusion that Mark is not interested in professional development. Jamal, then, will �ind himself in the re�lexive loop.

How to Use the Ladder of Inference Once leaders are aware of the ladder of inference, they can use it as a tool for understanding, resolving, and improving interpersonal communication and for helping their direct reports more clearly understand the discrepancies between their espoused theories and their theories-in-use. After all, in general, theories of action are based on beliefs that are largely untested and grounded in what we infer from observations and past experiences.

According to Ross (1994), leaders can use the ladder of inference in three ways:

1. As a guide to re�lecting on their own thinking and reasoning. Jamal can sit quietly and ask himself, for example, how he arrived at the actions he is going to take based on what he observed in the meeting. Does he have enough data? Did he jump to conclusions? What evidence does he really have about Mark's behavior?

2. To make their thinking and reasoning more visible to others. Jamal would explain to Mark, by walking through the steps in the ladder, what he observed, what it meant to him, what he concluded, and more. This would give Mark the chance to respond and to clarify what was going on from his perspective—to add his point of view.

3. To inquire into others' thinking and reasoning. Jamal would ask Mark to use the ladder to describe what he saw, what that meant to him, what he concluded, and why his action was to be quiet.

In this way, leaders can use the ladder of inference to guide discussions and to clarify thinking, reasoning, and theories. This allows for both parties to arrive at a mutual understanding of the "truth."

How can you use the ladder of inference? First, you can use it to critically examine the foundations of your espoused theories, your theories-in-use, and any discrepancies between the two. Second, you can use the ladder to help your direct reports do the same. Third, you can use the ladder in workplace conversations to more explicitly advocate for your own viewpoint and perspective or to inquire about the views and perspectives of others. Ross and Roberts (1994) have suggested protocols that can be used to argue for your perspective—by moving up the ladder—or inquiring about another's perspective—by moving down the ladder.

Good performance management includes offering feedback based on a foundation of trust and empowerment.

Caia Images/Caia Images/SuperStock

To advocate for your position or viewpoint (moving up the ladder of inference):

Describe what you saw if it was a behavior, or describe your idea or contribution: "This is what I see . . ." or "Here is my idea . . ." State what it means to you: "I think this is important because . . ." Share and explain your assumptions: "I assumed that the problem we are trying to solve is . . ." Discuss why you reached your conclusion: "I arrived at this conclusion because . . ." Clarify your beliefs: "I believe that if we don't take this action . . ." State the suggested action: "So what I suggest we do . . ."

When advocating, however, your style will be important. Going up the ladder actually involves sharing your ideas, assumptions, and conclusions, so that others know where you are coming from and can respond accordingly. Therefore, you need to be open and in fact invite others to ask you questions and explore your perspective. Don't be defensive. In the end, your goal is to ensure that important problems or issues get resolved, which requires openness on the part of everyone involved to arrive at the best possible answer or solution.

When inquiring about another's position, you don't want to appear too challenging or aggressive as you walk down the ladder of inference. You don't want the holder of that position to become defensive—you just want to learn how he or she arrived at that position in the clearest way possible.

To inquire into another's perspective (moving down the ladder of inference):

Clarify the action taken: "So, are you suggesting that . . . ?" Clarify why it is important: "Tell me about why you believe that to be important." Ask how the viewpoint was arrived at: "What led you to make that conclusion?" Understand the basis for the conclusion: "What are the assumptions you are making when . . . ?" Test for meaning: "What makes that so signi�icant or important to you?" Identify what data support this position: "What data do you have, and what leads you to this place?"

The ladder of inference is a tool leaders can use to help themselves, but more importantly their direct reports, to explore the rationale for their theories, the alignment of those theories, and the actions resulting from those theories. Working in this way, leaders act as coaches, helping their direct reports to understand the validity of their worldviews expressed through their espoused theories and theories-in-use. This understanding provides the basis for growth and change (Flaherty, 2010). This way of working provides an underlying structure for behavior change and success in all phases of performance management—our third framework.

Performance Management

Performance management is often thought to be the same as a performance appraisal, during which behavior and results are evaluated. However, as de�ined in this chapter's introduction, performance management involves more than just a year-end evaluation. It is a continuous process, integrating systematically and strategically each of its components, which Mone and London (2010) de�ined to include "goal setting, feedback, development, recognition, coaching and performance appraisal, built on a foundation of trust and empowerment, with a constant �low of communication" (p. xvii). Performance management then becomes an ongoing, full-time responsibility of leaders and managers. This set of key practices is important to leadership of a direct report, and so we will use this expanded view of performance management to underpin the remainder of our discussion in this chapter. The overall performance management process is the framework for exploring the role of leading one to one.

The success of performance management within an organization often hinges on whether it seems to be valued. The perceived value of performance management in organizations is determined in part by how well its components integrate and link, as well as leadership's support for the process. For example, in one reported study, only 53% of employees thought performance management was valued in the organization (London & Mone, 2009). The reason given: Employees did not see a clear link between their overall performance ratings and the rewards they received. This belief results in compliance with the overall performance management process, but it does nothing to add to the value of performance management as a strategic business process and a way of achieving the company's overarching goals.

From a leadership support perspective, the perceived value of performance management in organizations begins and ends with the CEO and whether the CEO engages in the process and holds others accountable to do the same. This is based on the fact that the CEO should be the role model for this process and by doing so demonstrate what is important and of value to the organization. The CEO engages in performance management in two ways. One way is with direct reports—setting goals, providing feedback and recognition, and evaluating performance. Jack Welch was probably the most prominent CEO engaged in the performance management of direct reports (Welch & Welch, 2005). How CEOs interact with their direct reports when it comes to performance management in�luences and affects how valued performance management is and how it is implemented across the organization. See Spotlight: A Fortune 500 Company and Performance Management for insight into how leadership can help to drive the use of the performance management process.

Speci�ic manager strategies allow managers to keep track of the progress being made toward a designated goal.

tunejadez/iStock/SuperStock

The second way CEOs engage in performance management is with the company's board of directors, in which the board is the leader and the CEO is the direct report. Until the late 1990s, boards were not engaged in a thorough evaluation of a CEO's effectiveness and performance (Graddick & Lane, 1998), but public knowledge of corporate scandals, executive pay levels, and severance agreements increased the focus on CEO evaluations. CEO appraisals are now a requirement for publicly traded U.S. companies (Nadler, Behan, & Nadler, 2006). Although the board-CEO performance management relationship is a special instance in the use of the performance management process, it is important for establishing an overall culture that values performance management and for in�luencing how the CEO models the process for the rest of the organization.

Of course, there is much to performance management, and much of this chapter covers each of its core components in detail: goal setting, development, feedback, recognition, and appraisal.

Spotlight: A Fortune 500 Company and Performance Management

To ensure those in leader and manager roles ful�illed their obligation to drive employee satisfaction and performance results in a Fortune 500 company, we worked with executive leadership to create and implement a manager goal. The goal clari�ied expectations and detailed �ive key strategies for its achievement. In fact, no manager or leader could be rated an outstanding performer unless the expectations for the manager goal were met. The following is the goal and the strategies for achieving it. Note the emphasis on using the company's performance management process. In this company, managers and leaders are held accountable for using the performance management process.

Goal: Build an organization of highly satis�ied and high-performing employees.

Strategy 1: Drive performance and development by executing all phases of the performance management process.

Strategy 2: Fairly and equitably acknowledge performance through the use of the company's compensation and recognition programs.

Strategy 3: Communicate regularly to keep employees informed throughout your organization.

Strategy 4: Capitalize on organization survey results to improve satisfaction and performance.

Strategy 5: Demonstrate and role-model effective leadership and behavior consistent with the company's core values.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is a theory of action? 2. What is the difference between an espoused theory and a theory-in-use? 3. How would you explain the value of the ladder of inference to an organization leader? 4. What are the key components of performance management? 5. In what two ways does a CEO engage in performance management?

It is important for you as a leader to build trust with your direct reports and coworkers. How would you go about building trust?

Caia Images/Caia Images/SuperStock

Jan Durrans, senior vice president of BOFI Federal Bank, talks about building trust with team members.

Building Trust to Reach Goals

3.3 Building Trust and Empowering Others

The bedrock for the successful one-to-one relationship is knowing how to build trust and empower others, so it is imperative that we discuss how leaders can do this before we delve into a detailed discussion of the various aspects of our third framework, performance management.

Building Trust

Why is trust important, and what can leaders do to build trust? Trust is almost always ranked at the top of the list of what is expected of leaders (O'Toole & Bennis, 2009). It is also essential to any relationship where a dependency exists, as our working de�inition of trust implies: "The willingness of an individual or group to be vulnerable to the actions of others based on the expectation that they will perform a particular important action, irrespective of the ability to monitor or control performance" (Mayer, Davis, & Schoorman, 1995, p. 712).

Leaders need to act in ways that demonstrate they are trustworthy individuals, for example, by doing what they say they will do. They also need to demonstrate behaviors that build trust in the roles of leading one to one, leading teams, and leading organizations. Trust helps develop effective relationships in these roles and can lead to greater levels of performance, collaboration, and empowerment (Jones & George, 1998; Poon, 2006). It is safe to say that without high levels of trust, a leader will not be successful in any of these leadership roles. However, building trust is a process that happens over time.

Acting With Ability, Benevolence, and Integrity Overall, research on trustworthiness can be grouped according to three major competencies: ability, benevolence, and integrity (Colquitt & Salam, 2009). Through consistent and persistent demonstration of these competencies, as well as the behaviors described later in this section, leaders create trust in relationships. Let's de�ine these three competencies:

Ability. Leaders must have relevant job knowledge, both technical knowledge related to their functions and general management competencies. This helps the leader's direct reports feel con�ident about their leader's ideas. The general management competencies fall within the realm of performance management, including setting the right kinds of performance and development goals, evaluating performance accurately, and providing coaching. Benevolence. Leaders must demonstrate a sense of positivity, concern, and loyalty toward their direct reports. It is important that leaders show an interest in their direct reports' opinions, desires, and interests. Leaders should present each person with the opportunity to share and respond accordingly but should make a conscious effort to avoid favoritism. Also, this benevolence must be seen as being motivated by goodwill and not by the leader's own needs or a search for greater organization results. Leaders demonstrate benevolence by being supportive, including showing a concern for the welfare of direct reports and helping them to accomplish their tasks as necessary. Over time, acts of benevolence will tend to deepen the trust felt in the relationship by the direct reports. Integrity. Leaders need to stick to a set of valid, sound moral and ethical principles. Integrity is not something that is easily apparent early in the relationship. Leaders build trust in this way by showing their direct reports that they keep to their word, their words match their values, and their behavior is consistent with their values, morals, and ethics over time. When leaders' behavior is predictable, direct reports will be more trusting. Leaders should maintain their principles under pressure and, �inally, be consistent in what they say. Leaders demonstrate integrity, too, by ensuring that organizational processes, such as the promotion and compensation processes, are fair, just, and transparent.

A leader's abilities to demonstrate trustworthiness and to empower direct reports are foundational elements of the one-to-one role, particularly when it comes to performance management (Mone & London, 2010; Pulakos, 2009). The following are recommendations for what leaders can do to build trust into the practice of performance management; these actions largely constitute and re�lect general management (ability) competencies but also overlap with the competencies of benevolence and integrity.

Act as an advocate for your direct reports. Stand up for their rights by negotiating for resources to help them do their jobs and develop their skills. Protect them when their performance is unfairly questioned. Treat conversations with each of your direct reports as con�idential; treat them fairly and equitably. Show con�idence in your direct reports. Let them know you rely on them to accomplish their goals; avoid micromanagement. Empower your direct reports with accountability and responsibility for achieving important results.

Critical Thinking Questions

1. What methods would you use to build trust between yourself and a direct report?

2. Alternatively, what methods might you use to build trust between yourself and your manager?

Manage the performance of your direct reports. Provide fair and reasonable goals and consistently share your expectations. Encourage, support, and reward successful performance. Provide development opportunities that support their current responsibilities as well as their career development goals. Act as a trusted coach. Coaching is central to building trust. Be constructive and make your direct reports comfortable. Refrain from criticism. Focus on expressing your concerns and working together to develop an approach that will lead to better results. Let your direct reports know they can disclose their performance concerns with you. (Mone & London, 2010)

Another way leaders can build trust into performance management is to demonstrate openness (Mone & London, 2010). Leaders should be open to in�luence from their direct reports and capitalize on their knowledge, insight, or experience. Leaders should also demonstrate transparency. This is important because senior leaders, in fact, may often be rated lower on their trustworthiness than an employee's immediate manager. According to an organizational survey conducted for 5 consecutive years at a Fortune 500 high-tech �irm, on average, 64% of employees agreed or strongly agreed with the statement "I trust executive leadership at this company." However, 78% of employees responded favorably to the statement "My manager is someone I can trust." The 14-point difference in scores was attributed to the fact that executive leaders were not seen as "being open and honest in their communications"—only 57% of employees agreed or strongly agreed with this statement (Mone & London, 2010).

The following is a group of key actions or behaviors that demonstrate openness in the one-toone role, based on Kouzes and Posner (2011) and O'Toole and Bennis (2009):

Tell the truth. Leaders should tell each of their direct reports the same story, engaging in straight talk. You should be honest, and if full disclosure is not feasible, explain why; your direct reports will understand. Encourage your direct reports to speak the truth. Leaders need to create the conditions for their direct reports to be courageous and honest. Let them know you want to hear the dif�icult truths, and respond favorably when they do so. Reward your direct reports who raise an opposing viewpoint. Leaders need to encourage their direct reports to challenge the leaders' espoused theories and theories-inuse and reward them for speaking up (we discuss this later in the chapter). Admit your mistakes. Leaders who do this with their direct reports set the stage for them to do the same. Set information free. Leaders should make sharing information with their direct reports their modus operandi, unless there is a legal reason for not doing so, so direct reports can better achieve their goals and support you in achieving yours. Withholding needed information without a strong reason is a serious breach of trust. Leaders' openness will allow their employees to feel more comfortable and open with their leaders.

Trusting Others Leaders will need to recognize that their direct reports will vary in terms of how trusting they initially appear to be. In fact, different individuals will have different propensities to trust (McKnight & Chervany, 2006), or natural inclination to trust others. Having a low or high propensity to trust will affect how a person behaves at the beginning of a new relationship. Leaders should demonstrate their trust �irst. Trusting others �irst is one of the best ways to build a trusting relationship; it creates an exchange of behaviors that strengthens the level of trust in the relationship over time. The more the leader trusts, the more the leader will earn the trust of others. Leaders who espouse being trustworthy must act in ways that consistently demonstrate trustworthiness; otherwise, they will appear to lack integrity, which has a negative impact on trust.

Restoring Trust At times, leaders can �ind themselves needing to restore trust in relationships. According to Covey (2006), this can occur when leaders lose their credibility through their actions or inactions, such as making an honest mistake or demonstrating poor judgment. Similarly, general communication issues, such as not being open or honest, will not inspire trust between leaders and their direct reports. To remedy the situation, Covey suggested focusing on behaviors that will inspire trust and increase credibility. These are the kinds of behaviors we have been discussing, such as telling the truth and admitting your mistakes. Covey described credibility in terms of four cores, three of which are similar to the three major competencies we have discussed: integrity, intent or benevolence, and capabilities or abilities. The fourth core has to do with performance or results, which is accomplishing what one promised and expected to achieve. A key way for leaders to restore trust is by not overpromising and underdelivering, and by taking responsibility for their results, whether good or bad. The idea, again, is for leaders to step up to demonstrating their trustworthiness in more and stronger ways in order to restore trust in relationships with their direct reports. They need to focus on rebuilding their credibility and demonstrating more, as well as more effectively, the range of behaviors that rebuild trust.

Building Trust to Reach Goals From Title: Setting Goals to Stretch and Grow (https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid=93377)

© I f b All Ri ht R d L th 00 58

 0:000:00 / 0:58 / 0:58 1x1x

Empowering your employees ensures they feel accountable and responsible for their work

Monkeybusinessimages/iStock/Thinkstock

Empowering Others

One of the best ways leaders can demonstrate their trust is by empowering their direct reports, which is also at the heart of being a SuperLeader:

Effective empowerment is a necessity in today's business environment, where people need to respond to new challenges in record time, and do more with fewer people. Executives and other leaders simply cannot accomplish their goals if they do not engage their people. (Gebelein, Lee, Nelson-Neuhaus, & Sloan, 1999, p. 175)

Although this quotation was taken from an article from the late 1990s, it is perhaps even more relevant today given the competition in today's business environment, in�luenced by factors such as globalization and the introduction of new technologies.

So what is empowerment? It is a psychological state in which someone feels accountable and responsible to act. Gordon Sullivan, former U.S. Army chief of staff, had this to say about empowerment: "Empowered subordinates accept responsibility for themselves, for their team, and for their contributions to the organization. From that sense of shared responsibility comes self-con�idence, motivation, and commitment. Leader development—investing in people—is about creating that kind of empowerment" (Sullivan & Harper, 1996, p. 213).

More formally, Quinn and Spreitzer (1999) have indicated that the following four characteristics re�lect the personal feeling of, or psychological state of, being empowered:

1. Sense of self-determination: Feeling free to choose how to do one's work 2. Sense of meaning: Caring about the work and feeling that it is important 3. Sense of competence: Feeling con�ident about the ability to perform and

do one's work well 4. Sense of impact: Believing in having the ability to in�luence one's work unit and that others will listen to their ideas

Feeling empowered, therefore, is an active orientation to one's work. One must experience all four characteristics to truly feel empowered. For example, if a direct report really enjoys his or her work but feels that he or she has very little impact, the experience of empowerment will be lessened.

Many factors in organizations contribute to creating the conditions for empowerment and can be considered antecedents of psychological empowerment. These include an employee having the following:

A large number of direct reports A supportive work climate High-quality peer and customer relationships Political support from one's supervisor Access to information about the direction and goal of the organization Rewards based on individual performance

These conditions help to foster both intrinsic motivation and self-ef�icacy, which are important to feeling empowered, but most importantly, empowerment in organizations is in�luenced by leadership behavior (Yukl, 2006). Leaders should aim to foster an environment where trust levels are high, which, in turn, will make them feel comfortable empowering their direct reports. Empowering direct reports gives direct reports greater degrees of accountability; there are greater risks and rewards. Being empowered leads to greater levels of satisfaction, higher levels of performance, and more innovation. Two popular and in�luential thinkers on the topic of empowerment, Rosabeth Moss Kanter and Peter Block, wrote about how empowerment bene�its the entire organization. Kanter, one of the early proponents of empowerment, stated in her award-winning book Men and Women of the Corporation (1977) that when senior leaders monopolize power, others are limited in their capacity to get things done. However, when leaders share power, empowering others with the authority and capacity to get things done, total power in the organization will increase. Block's message in The Empowered Manager (1987), which is more widely known among human resource professionals, was one of hope, positioning empowerment as a positive and political skill that can enable managers to overcome the bureaucratic mindset that pervades most organizations.

To empower their direct reports, leaders �irst must make sure their direct reports have the resources they need and the required skills to act with the appropriate levels of discretion. Leaders help to empower their direct reports when they do the following:

Invest in building their knowledge, skills, and expertise. De�ine and communicate the extent of discretion they have to make decisions and commit to the organization. Enable participation in decision making that affects the work unit. Provide the opportunity and access for them to build new relationships internally and externally. Provide vision and challenge, with clearly de�ined goals and expectations so that their efforts will be targeted appropriately. Create a safe environment, encouraging risk taking and protection from failure. Recognize and reward empowered behavior.

Strong leaders must measure the trust and empowerment gaps between themselves and their direct reports. What do you think is the best way to measure this?

Westend61/SuperStock

Finally, empowerment is important in performance management. The following is a set of guidelines for empowerment that support the practice of performance management (Yukl, 2006). Leaders should

Clarify objectives with their direct reports, explaining how their work supports them. Include their direct reports when making decisions that affect them; delegate responsibility and authority for important activities. Recognize that their direct reports have different skills and motivation. Provide their direct reports access to resources, including relevant information. Remove bureaucratic constraints and unnecessary controls. Express con�idence and trust in their direct reports. Provide direct reports with advice and coaching as requested; encourage their direct reports to take initiative. Recognize and reward important achievement.

Measuring the Trust and Empowerment Gap

There are several ways to measure gaps in trust and empowerment that exist between leaders and their direct reports. A survey is often the best approach: either a 360-degree survey, an employee opinion survey, or a survey speci�ically designed to measure in detail the trust and empowerment gap. The following survey, shown in Table 3.1, is an example of a 360-degree survey focused on trust and empowerment. The survey dimensions are straightforward and focus on the extent to which the leader demonstrates behaviors that promote trust and empowerment. The survey contains eight dimensions or categories and 24 questions. You can use the survey in two primary ways. First, you can use only the numbered category-level questions, for example, by asking a leader's direct reports if the leader "acts as an advocate." Second, you can use the full survey: the category questions to get an overall response and the two follow-up questions per category to probe as necessary.

Table 3.1: Sample survey: Measuring the trust and empowerment gap Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Table3.1_Trust_and_Empowerment_Survey.pdf) to download this assessment.

1. Does the leader act as an advocate?

Stand up for the rights of the direct reports?

Treat the direct reports fairly and equitably?

2. Does your leader show con�idence in the direct reports?

Feel comfortable relying on the direct reports to accomplish their goals?

Delegate critical tasks to the direct reports?

3. Does your leader act with integrity?

Keep the promises made and take responsibility for own mistakes?

Behave in a predictable and consistent fashion?

4. Does your leader display interest in the direct reports?

Seek out the opinions of the direct reports?

Show concern by asking the direct reports about their lives outside of work?

5. Does your leader demonstrate openness?

Show willingness and openness to in�luence by the direct reports?

Believe direct reports will be open to feedback about their work style and performance?

6. Does your leader manage performance?

Share performance expectations with direct reports?

Provide direct reports with fair performance goals, appraisals, rewards, coaching, and feedback?

7. Does your leader show a propensity to trust?

Demonstrate trust in the direct reports before they demonstrate trust in the leader?

Feel the relationships with the direct reports are based on trust?

8. Does your leader empower?

Provide adequate resources for direct reports to achieve their goals?

Give direct reports the accountability and authority to act on their own?

We suggest recording three possible responses for each question: Yes, No, or Not Sure. If you prefer, you could have participants rate each category and follow-up question on a Likert scale, ranging from 1 to 5, based on the extent to which the leader demonstrates the behavior (To a very little extent, To a little extent, To a moderate extent, To a great extent, To a very great extent). If surveying only a few leaders, then perhaps the full survey (24 questions) with the Yes-No-Not Sure response scale would make sense. If you wanted to use the survey with a large number of leaders, then we would recommend the Likert scale so that you could average results across the larger population, creating a norm that each leader can use for comparison.

Once the survey is completed, you will have an evaluation of the leader's behaviors regarding trust and empowerment. Questions that are answered Yes or rated a 3, 4, or 5 would indicate strengths. Those rated No or a 1 or 2 would indicate areas for further development. A Not Sure rating should be interpreted as not having the opportunity to be in the position to observe that behavior.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. How would you de�ine trust in your own words? 2. What is meant by the propensity to trust? 3. How would you de�ine empowerment in your own words? 4. What are the four characteristics that must be in place to feel psychological empowerment? 5. What are some ways a leader builds empowerment into the performance management process?

The �irst step in achieving goals as an organization is to set them in the �irst place.

Adevkat/iStock/Thinkstock

Jan Durrans, senior vice president of BOFI Federal Bank, talks about the importance of setting clear and speci�ic goals.

Setting Clear and Speci�ic Goals

3.4 Phases of Performance Management: Setting Goals

Recall that the Mone and London (2010) de�inition of performance management includes six aspects or phases of performance management: setting goals, providing feedback, development, coaching, recognition, and performance appraisal. Therefore, these phases will provide the structure for our discussion of how leaders and managers can effectively carry out performance management activities in their organizations. In this section, we will discuss setting goals.

Goal setting can be formally de�ined as the process of establishing mutually agreed-to goals, strategies, tactics, and measures to provide direction for performance and development. Goal setting in organizations begins with the organization's strategic planning process, which establishes the direction of and purpose for the organization's goals. As a result of this process, overarching or organization-level goals are established (we introduced this idea in Chapter 1). These goals de�ine the high-level results the organization commits to and expects to achieve. These goals typically become the CEO's goals, and the organization's board of directors holds the CEO accountable for their achievement; the CEO will then hold his or her direct reports accountable for their relative contribution to those goals. Thus begins the process of empowering others in the organization through goal setting to focus on and achieve expected results.

Table 3.2 shows how a chief human resource of�icer (CHRO) of a multinational company aligned the goals for the human resources (HR) organization with the CEO's goals. The HR goals describe how the HR organization will make its unique contribution to overall company success based on the kinds of

services, systems, processes, programs, resources, and tools an HR organization provides.

Table 3.2: CEO goals linked to HR department goals

CEO goals HR department goals

Ramp up growth Improve HR organization ef�iciency and effectiveness to enhance strategic value to business

Delight all customers Demonstrate HR alignment with the company's mission, vision, and values through customer focus

Become a thought and technology leader

Enhance capability and value through HR innovation

Develop employees and the organization

Maximize HR talent to positively in�luence organizational results

In this section, we provide a set of principles and recommendations to help leaders and managers think more clearly about how to set effective goals in general. We then suggest a framework that leaders can introduce in their organizations that will provide a common language for the discussion of goals—how to set, monitor, and measure them.

Setting Clear and Speci�ic Goals

The following are some of the key principles for goal setting in the leader's one-on-one role.

First, engage employees in goal setting. Engaging employees in goal setting leads to information sharing about how to achieve the goals and increases self-con�idence (London, Mone, & Scott, 2004). Also, the act of setting goals in�luences the employee's motivation to discover ways to attain the goal (Locke & Latham, 1990, 2002). If goals are assigned to employees, the reason and rationale for the goals should be explained (London, Mone, & Scott, 2004). Latham (2009a) also argued for keeping the total number of goals to a minimum but recommended keeping the range between three to seven goals: "If the goals are too many . . . they end up increasing stress because people try frantically to attain the impossible. . . . Give your people too many goals, and they'll quickly lose the focus that goal setting normally provides" (p. 40).

It is the leader's job to execute well by focusing on a few priorities or goals that all employees can grasp. Focusing on three or four goals will produce the best results with the available resources. Employees in contemporary organizations need a small number of clear priorities to execute well. Goal and direction clarity help minimize competition for

Setting Specific Goals From Title: Setting Goals to Stretch and Grow (https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid=93377)

© I f b All Ri ht R d L th 01 08

 0:000:00 / 1:08 / 1:08 1x1x

Critical Thinking Questions

1. What might be some additional risks of having unclear goals?

2. Why might speci�ic goals increase the satisfaction and loyalty of workers?

resources, along with the ambiguity over who has rights to make decisions (Bossidy & Charan, 2002).

In the same vein, a second principle is to set speci�ic goals. Setting speci�ic goals is more effective than simply trying to "do your best." Speci�ic goals focus attention and lead to greater levels of motivation and effort. Also, having speci�ic goals helps individuals to persist in performance when needing to overcome obstacles (Locke & Latham, 1990, 2002).

Third, set dif�icult, challenging goals, whether or not employees participate in goal setting (London, Mone, & Scott, 2004). Dif�icult, challenging goals lead to higher levels of performance (Locke & Latham, 1990, 2002).

Fourth, anticipate and provide for any barriers to goal achievement. Consider training in self-regulation, which can help employees learn how to evaluate their progress and how close they are to achieving their goals and to identify needed resources to help them overcome barriers (London, Mone, & Scott, 2004). Or, consider setting learning or development goals rather than performance goals when the individual does not have the skill to achieve a dif�icult performance goal (Locke & Latham, 1990, 2002).

Finally, focus on ways to increase employee commitment to the goals because this enhances the positive effect of goal dif�iculty on performance. As Latham (2009b) wrote, "Commitment is the sine qua non of goal setting. Without it, goal setting is a meaningless exercise" (p. 163). See Table 3.3 for an example of a short, validated measure of goal commitment.

Note that personal traits and incentives can in�luence the setting of and commitment to dif�icult or challenging goals (Locke & Latham, 1990, 2002). However, in general, leaders can increase commitment to goals by increasing the importance of the goal, the signi�icance and value to the individual of achieving the goal, and the individual's belief in the ability to achieve the goal. These ideas suggest expectancy theory (Vroom, 1964), a theory that explains how people are motivated toward certain behavior. We have phrased the three components of expectancy theory as three distinct questions that are important to determining motivation to achieve the goal:

1. Expectancy: If I put in the effort, will I achieve the goal? 2. Instrumentality: If I achieve the goal, will I get the reward I am after? 3. Valence: How important or valuable is the reward?

Expectancy theory suggests that motivation is a multiplicative function of all three components (or questions). If any of the three has a probability of zero—the probability of expectancy, instrumentality, and valence can range from zero to one—there will be no motivation to perform.

Table 3.3: Sample measure of goal commitment Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Table3.3_Goal_Committment_Survey.pdf) to download this assessment.

Statement Strongly disagree Strongly agree

1. It is hard to take this goal seriously. 5 4 3 2 1

2. Quite frankly, I don't care if I achieve this goal or not. 5 4 3 2 1

3. I am strongly committed to pursuing this goal. 1 2 3 4 5

4. It would not take much to make me abandon this goal. 5 4 3 2 1

5. I think this is a good goal to shoot for. 1 2 3 4 5

Source: Adapted from Klein, Wesson, Hollenbeck, & Alge, 2001

Goal-Setting Framework

So what is a goal-setting framework? It is a way of looking at how goals are de�ined and organized. It guides the thinking of leaders and managers about the goal-setting process and how to de�ine all aspects of the performance they expect from their employees.

We recommend the key aspects of goal setting include a goal statement, strategies, tactics, activities, measures of success, and goal measurements (Mone & London, 2002, 2010; Mone, Price, & Eisinger, 2011).

Goal Statements The goal statement de�ines the output or end result expected. It helps to answer the following questions:

What are you trying to accomplish, fundamentally, with this effort? What will change as a result of this effort? What will be different?

When is the last time you set a goal? Did you happen to follow any of the steps in the given process?

Ikon Images/Ikon Images/SuperStock

We suggest de�ining goal statements at high levels, such as the following:

Increase customer satisfaction. Increase pro�its. Build a customer-focused culture. Create a high-performing culture.

Strategies A strategy de�ines how a goal will be achieved. When engaging in goal setting with a direct report, this part of the discussion focuses on how to approach the goal in an attempt to crystallize what major avenues will be followed to achieve the expected results. Goals will typically have one or more strategies attached to them. The examples of strategies in Table 3.4 correspond to the goal statements mentioned earlier.

Table 3.4: Sample strategies for sample goal statements

Goal statement Strategies

Increase customer satisfaction. Improve customer service response time. Differentiate product lines by industry.

Increase pro�its. Develop a multi-tiered product pricing strategy. Reduce the cost of general and administrative expenses.

Build a customer-focused culture. Train employees companywide in customer relations management. Redesign the customer service recognition program.

Create a high-performing culture. Implement a new performance management process. Institute a performance-based incentive plan.

Tactics Tactics are the major steps supporting a strategy that will lead to achieving the goal. When discussing goals with a direct report, focusing on tactics brings some de�inition to the strategy and reveals how your direct report will go about implementing the strategy. For example, if your strategy for increasing customer satisfaction is to "improve customer service response time," you might adopt the following tactics:

Analyze current customer service effectiveness across all national and global regions. Survey and conduct focus groups with customers regarding overall service and service responsiveness. Conduct surveys with and interview customer service employees and management. Develop and prioritize action plans for improving customer service response time. Gain senior management approval for plan. Implement plan, nationally and then globally. Monitor plan effectiveness using monthly surveys of customers and customer service employees.

If your strategy for increasing pro�its is to "develop a multi-tiered product pricing strategy," you could

Establish a cross-functional senior-level team. Identify and determine appropriate product mix. Formulate pricing models. Pilot new strategy with select major market customers. Evaluate and modify strategy. Implement strategy for all customer segments. Evaluate achievement of expected revenue levels.

Activities Activities are the next level of logical steps a direct report takes to support a tactic, strategy, and goal. It is normally best not to encourage leaders and their direct reports to specify in detail and document the activities as part of the goal-setting process, as that can feel dis- empowering for the direct report if the activities feel like they have become too prescribed. However, it is certainly �ine, as the situation

warrants, for leaders and their direct reports to discuss some possible activities necessary to achieve the goals. Table 3.5 provides an example of what activities might be associated with a strategy and related tactic.

Table 3.5: Sample activities

Strategy Tactic Activities

Improve customer service response time.

Conduct surveys with and interview customer service employees and management.

Arrange meetings with each customer service area director. Determine with the directors the best methods for data collection. Contact each area's data analyst and request historical response rate data for past 6 months. Develop a data analysis plan to analyze the data by region, as well as for the overall organization.

Measures of Success A measure of success is the level of performance that describes the results you expect. Measures help leaders to evaluate the extent to which expected results were achieved. The measures of success bring further de�inition to the actual intent of the goal. Of course, the strategies, tactics, and activities should be designed to produce the expected measure(s) of success. Goals can also have more than one measure of success. For example, measures of success for the goal of increasing pro�its might include the following:

Gross revenue increases by 6–8%. Overall production costs are reduced by 9.8%. Cost of sales is reduced by 13%.

Measures that might indicate a high-performing culture is in place may include the following:

Employee engagement levels increase from 77% to 81%. Employee morale improves (83% of employees indicate satisfaction with morale compared with 71% on the last employee opinion survey). The new leadership development process is implemented according to plan.

Goal Measurements Goal measurements are the processes, tools, or measurements that leaders and their direct reports will use to provide the evidence or collect the data necessary to show whether success was achieved. For example, to measure employee morale, the company's employee opinion survey could be used comparing year-over-year changes in responses to the statement "The morale in my organization is generally high." What would you use to measure productivity? One possible measurement could be changes in the ratio of revenue in dollars to the number of employees.

This framework works best when it is situated within and driven by the larger context of the organization's strategic plan, which de�ines the direction-providing components of mission, vision, overarching goals, and the leader's own organization vision, mission, and goals. See Considering a Goal-Setting Process for a recommended approach to setting goals with direct reports.

Types of Goals

This goal-setting framework works equally well for the two generally accepted types of goals: performance goals and development goals (Latham, 2009a; Mone & London, 2010). Performance goals are generally task focused and contribute to higher-level business outcomes, such as increases in customer satisfaction, pro�its, or revenue. Each of the four examples discussed in this section is a performance goal. Development goals are set to help a direct report improve performance in the current job or to enhance or build the skills necessary to prepare for future jobs, consistent with the idea of development planning discussed in Chapter 2. The following is a sample development goal for a �inancial analyst. A development goal is evaluated based on skill or knowledge improvement that results in enhanced performance, not on accomplishing the activity of attending a seminar or workshop, reading a book, or listening to a podcast.

Development goal statement: Improve understanding of return on investment (ROI). Strategy: Enroll in a seminar on ROI analysis. Tactics: – Identify and register for program. – Attend all classes and complete all assignments. Measure of success: Demonstrated improvement in business plan ROI analysis Goal measurement: Business unit manager feedback on business plan ROI analysis

Considering a Goal-Setting Process

The following are the key steps to consider when setting goals with direct reports, adapted from Mone and London (2010).

1. Tell your direct reports the goal-setting process for the upcoming performance year has started; indicate the time frame in which you want to have the goal-setting process completed.

2. Outline the overall goal-setting process for your direct reports. 3. Tell your direct reports to do the following to create a context for current goal setting:

a. Reread the mission and vision for the company. b. Reread your organization's mission and vision. c. Review their job descriptions. d. Review their current goals, strategies, and tactics.

4. Identify any new overarching goals; develop a draft of team goals if needed. Share these with your direct reports. Seek feedback; revise as necessary.

5. Share any strategic messages that may be important for your direct reports to consider. 6. Based on information from steps 3–5, ask your direct reports to develop drafts of their own individual and team

performance and development goals, strategies, and tactics. 7. Meet with each direct report to review and discuss their goals, strategies, and tactics.

a. Ensure each direct report's performance goals are aligned with the overall direction of the company and your department and are challenging, meaningful, and realistic.

b. Ensure each direct report's development goals are targeted for improved performance in the current job or to acquire the skills or knowledge necessary to prepare for future jobs.

8. Once the goals, strategies, and tactics have been �inalized, a. Ask each of your direct reports to develop the measures of success and measurements. b. Meet with each of your direct reports to review the proposed measures and measurements. c. Discuss and �inalize the measures and measurements.

9. Review your direct reports' goals, strategies, and tactics with your supervisor, as necessary. 10. Communicate and discuss any changes with your direct reports and revise as necessary. 11. You and each of your direct reports sign off to indicate the process is complete.

Source: Copyright ©2010 from Employee Engagement through Effective Performance Management: A Practical Guide for Managers by Manuel London and Edward Mone. Adapted by permission of Taylor and Francis Group, LLC, a division of Informa plc

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is the difference between a goal statement, strategy, and tactic? 2. How would you explain the difference between a measure of success and a goal measurement? 3. What is a performance goal? 4. Why would you set a development goal?

Leaders and managers must learn to excel at providing feedback.

Hero Images Inc./Hero Images/SuperStock

3.5 Phases of Performance Management: Providing Feedback

Performance management is a process, and it is most effective when each of its component parts is integrated and working together. Locke (1991) addressed the relationship between goal setting and feedback for leaders:

To determine if employees are reaching their goals, it is necessary that they obtain feedback regarding their own progress. Research shows very clearly that goal-setting does not work unless people are given information showing their performance in relation to their goals. Goals regulate performance far more reliably when feedback is present than when it is absent. . . . Leaders, too, need feedback when they set goals jointly with their subordinates. Leaders must understand their followers' expectations and take them into account when setting mutually agreed-upon goals. (p. 81)

Sims and Lorenzi (1992) also stressed the relationship between goal setting and feedback and its overall importance: "Neither feedback alone nor goals alone are suf�icient—both are necessary. . . . In a sense, goal setting and feedback are inseparable" (p. 124).

Feedback is important for ensuring performance is on track and for providing guidance for further development. It is important for managers and leaders to excel at providing feedback—and at asking for it and acting on it, much like we discussed in Chapter 2. It is disappointing to note that despite the importance of feedback, research by Towers Perrin- ISR (2007) conducted with high performing organizations generally showed only about 70% of employees on average were satis�ied with the feedback they received to improve their performance.

Latham (2009a) suggested managers and leaders open themselves to feedback by asking their direct reports questions such as the following:

Are the vision and goals still applicable and working for you? Are we pursuing the right performance goals? Are our goals still challenging and meaningful? Do you see any obstacles that will prevent us from achieving our goals? Am I doing anything as the leader of this team that is negatively in�luencing your commitment to our goals, and if so, what should I do differently?

This kind of modeling, focused on performance, provides direct reports an opportunity to comment on goals and leader performance in a safe way, without having to be defensive about their own behavior and performance.

Challenges in Giving Feedback

When managers and leaders provide feedback to direct reports, they are encouraging opportunities for self-analysis and introspection, something dif�icult to accomplish in today's fast-paced world. According to Yukl (2006), the following traits also inhibit the ability and willingness to accept feedback:

Defensiveness, or behavior that protects one's ego from a perceived attack, and insecurity, both of which can lead to avoiding or ignoring feedback about weaknesses An external locus of control, de�ined as believing that the outcomes of external events are determined by others, luck, or fate, and not one's self, which can lead to rejecting responsibility for failures A high need for achievement, which involves one's desire to accomplish goals or tasks more effectively than in the past, making it dif�icult to adapt to changing situations A high degree of self-con�idence that might lead to feelings of superiority, which causes discounting of feedback from those perceived as less successful

Therefore, leaders may �ind themselves needing to give feedback to those who seem to have dif�iculty accepting it. In general, leaders can capitalize on the theories of action and the ladder of inference discussed previously in the chapter. First, they should consider the theories of action for both themselves and their direct report to determine if either's espoused theory or theory-in-use could be preventing the effective delivery of or willingness to process and acknowledge the feedback. Second, they can use the ladder of inference to show how they arrived at the feedback and verify its accuracy and validity with their direct report, or they can use the ladder to arrive at a new understanding. A leader can engage the direct report in the conversation using the various steps in the ladder.

Based on the earlier example in this chapter, Jamal would tell Mark what he observed and what data he collected and ask Mark if he saw the same thing. Differences would be discussed. Jamal would then say to Mark what the behavior meant to him and ask Mark what he meant by the behavior. Differences would be discussed. Jamal could then tell Mark what he assumed and what he concluded because of Mark's behavior. Differences would be discussed. Finally, Jamal would share his overall belief about Mark as a result of the behavior and both

describe his immediate action (creating the opportunity to provide feedback) and determine any subsequent actions to correct behavior or enhance performance. Jamal would ask Mark for his view. Differences would be discussed.

In this example, we broke down the steps, which in reality may blend together due to the natural, nonlinear �low of the feedback conversation. The leader initiates the conversation, and both the leader and the direct report should demonstrate openness and a willingness to acknowledge each other's perspectives so that a mutually agreed-upon action plan can be put into place.

For those direct reports whose personalities make it more challenging to provide effective feedback, Table 3.6 outlines strategies for addressing common problems and improving receptivity.

Table 3.6: Dealing with challenging personalities

Challenge (direct report's behavior) Strategy (leader's behavior)

Holding an in�lated, superior view of self. Your direct report believes her way is the best way.

Encourage your direct report to think about how others might approach the same situation. Provide speci�ic examples of day-to-day situations that have a variety of alternative solutions.

Holding a de�lated view of self. Your direct report thinks he cannot do anything right and often has low self-esteem.

Simply listen and show your understanding. Point out examples of success and positive achievement.

Always making a competitive or comparative view. Your direct report consistently compares her performance to others', justifying as appropriate.

Listen to your direct report's concerns and maintain a neutral position. State your desire to help. Keep the focus on your direct report's actual behaviors and results related to set goals and performance expectations.

Being overly emotional. Your direct report gets caught in his emotional reactions and has a hard time holding on to a rational perspective.

Acknowledge the emotion while keeping an objective point of view. Stick to the facts of the discussion. Give speci�ic examples of behaviors or results.

Being defensive. Your direct report argues about or challenges the validity of your feedback.

Communicate that you value your direct report's contributions. Listen carefully to your direct report's view of the situation leading to the feedback. Focus on the behaviors that need to change.

Being unwilling to adapt to changing circumstances. Your direct report has a high need to achieve and fears change will bring failure.

Ensure your direct report understands the urgency of the need to change and adapt. Show your direct report a path to success based on her skill set that will still allow for high levels of achievement.

Externalizing the reasons for poor performance. Your direct report does not accept accountability when performance does not meet expectations.

Acknowledge that circumstances can create obstacles to successful performance. Explore the actions taken by your direct report. Discuss actions your direct report had the authority to take but did not, showing him how to ensure success in future situations.

Being overly controlling. Your direct report likes to take control of the situation.

Structure the feedback ahead of time and follow your plan during the conversation. Keep the discussion tightly focused on speci�ics. Ask questions that require direct responses.

Being passive. Your direct report is not engaged in the conversation and says little or nothing.

Ask open questions to explore the lack of involvement. Ask your direct report to provide thoughts on her current performance, and then help to re�lect on that performance. Give direct, speci�ic feedback.

Source: Adapted from Mone & London, 2010

Practices for Effective Feedback

The following tips or best practices are for leaders to use to make sure their feedback is effective and productive (Mone & London, 2010):

Be clear and easily understood; don't complicate the message. Focus on how well your direct reports performed and what they did to bring about the outcome. The "what" concentrates on behaviors that can be changed to enhance future performance. Do not provide too much information, which can cause direct reports to misunderstand or ignore feedback. Be frequent. Feedback should be a regular occurrence and be provided as a normal part of running the business. Provide the feedback sooner rather than later, when the issue is fresh in everyone's mind. Take into consideration all the factors that affected performance, including factors that were both beyond and within your direct report's control. Focus on the elements of performance that contribute to your direct report's success and that are under her control. Focusing on factors that are beyond your direct report's control can be demoralizing and frustrating.

Finally, leaders should be ready to go beyond just the facts and provide feedback that includes an explanation, patience, and encouragement. Table 3.7 suggests steps both the giver and receiver of feedback can take to make the feedback as effective as possible. Note the importance for the giver to focus on behavior and to check for understanding that the feedback was understood. For the receiver, it is important to ask for speci�ics to help foster a true understanding of the feedback and to be open, avoiding defensiveness at all costs.

Table 3.7: Giving and receiving feedback effectively

Steps for giving effective feedback Steps for receiving effective feedback

Intend to be helpful. You should be constructive and avoid personal attacks. Demonstrate your genuine interest and concern. Focus on behaviors that can be changed. Don't focus on personality. Be clear and speci�ic when describing the behavior. Clarify the impact of the behavior. Describe the effect on you, the team, or others, as appropriate. Check for understanding. Ask the receiver to restate the feedback in his or her own words. Pursue dialogue. Be sure to allow ample time to discuss the feedback, answer questions, and address any concerns raised by the receiver.

Request speci�icity. Ask for speci�ics and clarity so you truly understand the nature of the feedback. Remain open and nondefensive. Don't jump in and try to respond, but wait until the giver is �inished; inaccuracies can always be corrected later. Restate what you heard. Summarize the feedback, helping to ensure you heard the intended message; this is not about interpretation. Share your reactions. Be open, but share what you might think is necessary in terms of speci�ics of the situation, any extenuating circumstances, etc. Thank the giver for the feedback.

Source: Adapted from Davidson, 2001, and Mone & London, 2010

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is the relationship between goal setting and feedback? 2. What traits can inhibit the ability and willingness to accept feedback? 3. What two frameworks can a leader use to help in providing and explaining performance feedback? 4. What are some steps givers and receivers of feedback should follow in order to make the feedback as productive and

effective as possible?

By managing the development and professional growth of their direct reports, leaders will create an environment of trust, empowerment, and engagement.

Hero Images Inc./Hero Images/SuperStock

3.6 Phases of Performance Management: Promoting Development

Performance management is not only a framework for the one-to-one role, but also a framework for driving continuous learning at the individual, team, and organizational levels (Mone, 2011); performance management is also recognized as a learning tool (Sessa, Pingor, & Bragger, 2009). Why, then, are we focusing on development as a separate, individual component of performance management? Is there a difference between learning and development?

To answer the second question, yes, there is a difference between learning and development (Mone & London, 2010), just as there is a difference between training and development (as discussed in Chapter 2). Learning is the process of acquiring new knowledge, skills, or a change in perspective. Development is the accumulation and application of new knowledge and skills over time, including the capacity to view the world through a more informed, inclusive perspective. Development focuses on the integration and application of learning and depends on the individual's ability to learn (Mone, 2011).

Because development is more than receiving knowledge and skills, leaders need to actively manage the development of their direct reports as a key part of the performance management process, rather than assume it will happen as a natural result of managing performance. This is critical to ensuring that direct reports can meet the increasing demands for higher levels of performance required by today's global, competitive marketplace. When leaders focus on providing development opportunities for their direct reports, they also foster higher levels of trust, empowerment, and engagement, which increase the levels of energy, motivation, and commitment direct reports bring to their work (Mone & London, 2010; Storey, Ulrich, Welbourne, & Wright, 2009).

The need for managers and leaders to be developers is not new. When it comes to focusing on development, often a leader's espoused theory suggests its importance but the leader's theory-in-use suggests day-to-day business challenges take precedence—the "real job" is what matters (Mone, 1988). Several strategies exist to help focus managers and leaders on being developers, including the following:

Leader role-modeling Creating a manager goal, emphasizing a focus on development Ensuring development or learning goals are set for every member of the organization Rewarding managers and leaders for their development-focused efforts Training managers and leaders in development practices

It is also important for leaders to be aware of their direct reports' learning styles, as they in�luence how individuals learn and develop.

Often, managers and leaders think that development means learning, and learning means attend classroom-based training—taking time away from the job. However, managers can increase on-the-job learning—which is more informal and takes place while one is actually working—to promote development; this is learning based on experience, considered one of the best forms of leadership development (McCall, 2010). Informal learning experiences have also been referred to as unstructured (Squires, 2009) and can include challenging job assignments, coaching, mentoring (Kepler & Morgan, 2005), and 360-degree feedback. We discuss these methods of learning in this section, with the exception of coaching. We explore coaching in the following section, as it is considered one of the six phases of performance management. In contrast, formal methods of learning are structured learning experiences that are planned, designed, and delivered using principles of instructional design (Squires, 2009). These can include university-based programs, such as external executive education programs, and inhouse leadership development programs (see, e.g., Conger & Benjamin, 1999).

Challenging Job Assignments

Managers and leaders can use challenging job assignments to promote learning from experience among their direct reports. Research (Hackman & Oldham, 1980) has suggested that certain characteristics will make jobs more meaningful and challenging and lead to higher levels of satisfaction. These characteristics (Miner, 2002) include the following:

1. Skill variety: The range of skills and abilities that are valued in the job 2. Task identity: The extent to which the job involves identi�iable work with a distinct beginning and ending, as opposed to doing only

a portion of the work 3. Task signi�icance: The degree to which the job has substantial impact on the lives or work of others 4. Autonomy: The extent to which the individual feels responsibility for the work and work outcomes or end results 5. Feedback from the job: The extent to which the job is able to provide information about the individual's level of accomplishment—a

degree of achievement can be measured as a result of the work effort

In essence, the more these characteristics are embedded in the job, the more meaningful and challenging the job will be. Managers and leaders need to ensure that the jobs of each of their direct reports have high levels of these characteristics.

As a leader, you can help increase your direct reports' engagement by providing them with challenging and meaningful assignments.

Maxicam/iStock/Thinkstock

Blend Images/Blend Images/SuperStock

Determining the Assignment Leaders will need to take into account two major factors when trying to identify or assign challenging work for development purposes. First, leaders should consider the overall organization strategy and the key challenges facing the business. Putting direct reports in roles that will contribute to overall company success is a win–win for both the company and the leader. For example, a leader might ask a direct report to lead a task force to determine how to enter a critical new market for the company. The business moves successfully toward execution of its strategic plan, and the direct report works on the most important challenges facing the business, providing signi�icant meaning to the work and an opportunity for personal growth in line with company needs. Second, leaders should consider the direct report's development needs and career aspirations and match the development-oriented new job or assignment accordingly. For example, a direct report who wants to be a general manager in a global organization could be assigned to lead a startup operation by opening of�ices in a new country or world region. A direct report who wants to lead a signi�icant part of the new organization after a merger could be assigned to chair a special task force to consider possible mergers.

Although leaders may make decisions about the nature of developmental assignments for their direct reports, developmental assignments may also be the outcome of several HR organization processes. For example, one company used the following list of experiences as part of its process for identifying potential successors for key positions in the company (better known as succession planning, which we discuss in Chapter 5). This list provided a selection of developmental opportunities that needed to be considered depending on the career goals of the individual in question.

Lead a product development effort Lead a global marketing campaign for a new product or service Launch a new product Lead a global organization Build a senior management team Lead a customer-facing organization Hold a staff role Lead a cross-company initiative Lead a signi�icant companywide, organization change effort Hold pro�it and loss responsibility Manage a turnaround Manage external stakeholder relationships Manage an acquisition Manage a divestiture

Processing the Learning Whether a challenging assignment is supervisor driven or the result of an organization process, it is important to actively process the learning from a development experience. Leaders can work with their direct reports using Kolb's learning cycle, as we discussed in Chapter 2: re�lecting on the experience and what was learned, drawing conclusions and crystallizing that learning, and planning for how to capitalize on that learning in the next and future assignments. Consider the following examples of informal learning opportunities and the ways leaders can help their direct reports to re�lect on and capitalize on their learning (adapted from Mone & London, 2010):

Form a development network of informal coaches. Encourage your direct reports to include fellow colleagues, team members, and even clients in their networks. Tell them to use their networks to help them interpret events, be a sounding board for their ideas, and support their development. Then test out what they learned in upcoming situations. Think about and discuss events (for example, client encounters). Ask your direct reports, after key events, to stop and ask themselves what went well and what didn't—and why. What could they have done differently to change the outcome? Is there anything they can still do to change the outcome? What plan can they build and put into practice for handling future events?

As a leader, you should participate and assist in your direct reports' critical re�lection process.

Analyze dif�icult situations. Ask your direct reports to think about what happened when, for example, a client's business stalled, a contract was canceled, or a customer's business goals changed. What were their conclusions? What action did they take about the situation, or how have they prepared themselves to deal with these kinds of situations going forward? Analyze barriers. When running into dif�iculty completing a project or achieving a goal, ask each of your direct reports to consider possible barriers—for example, dif�icult personalities, a win–lose mentality, or the lack of needed skills—and ways to overcome these barriers. Consider ways to add value. Ask your direct reports to think about what they can contribute when they are working with a new client or working on a new project with an existing client. Suggest they ask for feedback, and then implement any possible new ideas or take corrective action if necessary. Seek projects/assignments for development. Ask your direct reports to think about assignments or projects they can work on that can provide the opportunity to help them strengthen or gain needed knowledge or skills. Help them to structure the assignments or projects so they can maximize their learning. Consider ways to change course. Ask your direct reports to think about how they can be more innovative, or how they can move a project in a new, more productive direction. Ask them to re�ine and decide on an approach, test out their ideas, and analyze what worked and what did not work. Engage in critical re�lection. Help your direct reports to examine, in depth, the beliefs and assumptions they hold about themselves, their performance, their employees, their customers, and so forth. Also, help them test their beliefs and assumptions with trusted others and determine the accuracy of those beliefs and assumptions. Decide what actions, perhaps acquiring new knowledge or information, need to be taken, and ensure those actions are taken.

360-Degree Feedback

As we discussed in Chapter 2, leaders can use their feedback reports to enhance their self-leadership. When it comes to 360-degree feedback for their direct reports, leaders need to observe the following best practices to ensure optimal development.

First, leaders should lay the groundwork by encouraging active and honest participation in the 360-degree feedback process and highlighting and discussing the value of participation in the process. Direct reports will �ind it helpful if leaders provide an overview of the process and their role in it and help the direct reports select appropriate raters.

Recall that, as part of 360-degree feedback, leaders will be asked to respond to the survey about their direct report. Leaders should make accurate and honest ratings and provide meaningful and constructive comments; otherwise, the feedback will not be helpful.

After the survey, leaders will eventually discuss the results with their direct reports. Before meeting to discuss the results, however, leaders can provide guidance so that direct reports can conduct an initial analysis of their own. Although most 360-degree feedback results reports include guidelines for analyzing the results, providing your own guidelines can help with the process. The following set of guidelines has been adapted from our practice with leaders.

What common themes did you see emerge? What are your areas of strength? What are your development areas? Are there any existing or potential barriers to performance? If so, what are they? Did you rate yourself higher than your direct reports did? Did you rate yourself higher than your supervisor did? Did your peers see you in the same way your employees did? Did you notice any (other) inconsistencies? If so, what were they? Were there any surprising or unexpected results? If so, what were they?

For their part, leaders should prepare for the meeting by carefully reading the entire report and noting and considering common themes or patterns that may emerge from the ratings and the comments. In particular, leaders should note, analyze, and understand signi�icant differences between their ratings and their direct report's self-ratings, as well as those of the direct report's colleagues and team members.

During the discussion of the results with a direct report, leaders should be genuinely supportive. They must maintain an open mind regarding the direct report's views about the process, as well as reactions and challenges to the results: There may be differences and interactions between the theories of action for each, and there may be a need to use the ladder of inference to guide the discussion. It will be important to observe the rules and practices regarding giving feedback effectively and strategies for dealing with dif�icult personalities or when the feedback is highly negative and unexpected. Coaching, which we will discuss in Section 3.7, will help the direct report see him- or herself from different perspectives, that is, understand what others see and why they might see it that way, regardless of the direct report's intentions. Finally, leaders will assist their direct reports in synthesizing all the feedback, identifying priority areas for development and creating an action plan with speci�ic development goals.

The leader's role does not end after the discussion. Leaders will need to monitor development progress and provide feedback along the way to reinforce positive behavioral change or to help correct behavior to get it on track. They can also informally or formally recognize development progress during the midyear and/or year-end performance appraisal discussions, as appropriate.

_____ Initiate follow-up meeting(s) with your supervisor.

_____ Prepare. Establish in advance what questions or areas you want to address with your supervisor.

_____ Share a copy of your complete report, including verbatim comments, with your supervisor.

_____ Ask for feedback in the areas in which you want to focus.

_____ Refrain from disagreeing or providing explanations until your manager has fully provided his or her feedback. Listen to what is being said, and be receptive—try to understand your manager's point of view.

_____ If you disagree with something that is said, professionally discuss the issue and work toward a resolution.

_____ Ask for more information, clari�ication, or speci�ic examples, when necessary; react honestly, but remain constructive.

_____ Work in partnership with your supervisors to devise and/or revise your development action plan for performance improvement and continuous learning.

_____ Establish a trusting relationship, and work together to monitor your progress and update your development action plan, as necessary.

_____ Ensure you regularly update your development action plan.

Leaders should also take note that most direct reports are given some guidance when it comes to sharing 360-degree feedback results with their supervisors, which ideally will help prepare direct reports to be as effective as possible when working with their leaders on their 360- degree feedback results. See Considering 360-Degree Feedback Discussions With Your Supervisor.

Considering 360-Degree Feedback Discussions With Your Supervisor

When we (the authors of this book) coach leaders, we ask that they share and discuss their 360-degree feedback results with their supervisors, as well as with their direct reports and colleagues.

The following are speci�ic guidelines for sharing results with a supervisor, which we have adapted from materials used in our practice. In this instance, the process is focused on development, not performance appraisal.

Once you have individually reviewed, analyzed, and interpreted your 360-degree feedback results, your next step is to share the highlights of these results with your supervisor.

Mentoring Others

Mentoring plays a role in self-development, as discussed in the previous chapter; here, we present it from the perspective of helping others, one to one.

Although leaders are not usually, by de�inition, mentors to their own direct reports, it is certainly possible that they can be, even though it is more likely that they would be mentors to those two or more levels below them in the organization. Mentors transmit their wisdom by acting as trusted guides, leading their mentees along the journey of their lives because they have been there before (Daloz, 1999). Kathy Kram, whose 1988 book, Mentoring at Work: Developmental Relationships in Organizational Life, became the comprehensive, go-to guide on mentoring for many HR professionals, described mentoring this way:

The prototype of a relationship that enhances career development is the mentor relationship. Derived from Greek mythology, the name implies a relationship between a young adult and a more experienced adult that helps the younger individual learn to navigate in the adult world and the world of work. (p. 2)

This certainly can be true of one's immediate supervisor in an organization, particularly if there is a meaningful difference in life and work experience. (For an example of this, see Spotlight: Mark Zuckerberg and Continuous Learning Through Mentoring.) Therefore, given the nature of mentoring as a one-to-one relationship focused on learning and development, it is appropriate to discuss the role of the mentor here.

When leaders act as mentors, they are expected to

Provide mentees with honest feedback and perceptions. Help mentees understand how their behavior affects others. Be nonjudgmental and safe sounding boards for their mentees. Assist in the career and personal development of their mentees. Offer contacts that can help with the career development of their mentees. Help mentees understand and navigate the dynamics of their company. Help mentees expand their network at their company.

Facebook has more than a billion daily active users.

Photononstop/Photononstop/SuperStock

Be regularly available for face-to-face meetings. Be in contact with their mentees in between meetings. Be role models of the company's core values.

More speci�ically, leaders and managers can use the following best practices for being a mentor.

Build rapport through mutual disclosure. Be open. Reveal something about yourself that few people know. This will help eliminate any barriers between you and your mentee that are the result of your position in the organization, your level of expertise, or your accomplishments. Listen. Be conscious of "air time." Your mentee should be talking close to 60% of the time. Help your mentee talk through issues, explore options, and think out loud. Listening will enable you to ask appropriate open-ended questions that encourage self- re�lection. Your questions should also guide your mentee to consider the effects and consequences of his or her actions. Provide honest feedback. Your responsibility is to help your mentee recognize and capitalize on his or her strengths as well as to recognize speci�ic shortcomings. Mutually examine ways to improve your mentee's performance, and by offering honest feedback, reinforce the role feedback has in your mentee's development. Schedule meetings. Work with your mentee to schedule meetings that make sense for both of you. Use business travel to your advantage; company business may be coordinated in such a way that you can �it in a face-to-face meeting with your mentee. Try to see or have a lengthy telephone conversation with your mentee twice each quarter. Ensure you are able to devote the necessary time required by the relationship. Communicate often. The time between meetings is valuable. Proactively maintain contact with your mentee via email and telephone. Follow up. Take the initiative to follow up with your mentee. Take notes during and after each meeting or phone conversation to help you recall your discussions going forward. Being speci�ic in your follow-up discussions will also encourage your men-tee to think before acting and to re�lect upon the outcome of a situation.

Spotlight: Mark Zuckerberg and Continuous Learning Through Mentoring

Mark Zuckerberg, the cofounder, chairman, and CEO of Facebook, has been called "a sponge in terms of learning" (Rusli, Perlroth, & Bilton, 2012, para. 22). He regularly and openly seeks out other successful leaders to help him meet the challenges he faces. For example, he had open conversations with Apple CEO Steve Jobs until the time of Jobs's death, seeking ways to build effective teams and keep Facebook focused (Protalinski, 2011; Rusli et al., 2012; Kenvin, 2014). He regularly sought out business advice and counsel from Berkshire Hathaway's Warren Buffett (Protalinski, 2012), who is recognized as one of the top investors of all time. Zuckerberg also learned a lot about just being a CEO from the Washington Post chairman and CEO Donald Graham (Rusli et al., 2012; Kenvin, 2014). To learn more about these special relationships, check out the following blog post and New York Times article:

https://www.geteverwise.com/mentoring/the-celebrity-mentors-behind-mark- zuckerberg/ (https://www.geteverwise.com/mentoring/the-celebrity-mentors-behind-mark- zuckerberg/) http://www.nytimes.com/2012/05/13/technology/facebooks-mark-zuckerberg-at- a-turning-point.html?pagewanted=all&_r=0 (http://www.nytimes.com/2012/05/13/technology/facebooks-mark-zuckerberg-at-a-turning-point.html?pagewanted=all&_r=0)

Zuckerberg clearly chose mentoring from very successful CEOs as his primary path for development, even from CEOs outside his industry. Much of the success of Facebook can be seen as a result of Zuckerberg's willingness to actively seek out and listen to feedback and to act on it. However, it also took the willingness of those CEOs and others in Zuckerberg's professional life to engage in this relationship with Zuckerberg. And each mentor brought different areas of expertise and experiences to the relationship. This helps us understand why mentoring in organizations is often between mentors and mentees who come from different organization functions.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is the difference between learning and development? 2. What is the difference between informal and formal learning experiences?

3. What are the �ive characteristics that make for a challenging job? 4. What is mentoring? 5. Are you motivated enough to seek out and develop a mentoring relationship that can contribute to your learning and

growth? 6. Are you ready to mentor others if you are sought out as a mentor? What do you think your strengths as a mentor would be?

Your goal as a leader is to provide coaching to your direct reports that will help them overcome professional challenges and achieve success.

Blend Images/Blend Images/SuperStock

3.7 Phases of Performance Management: Coaching

Coaching is a powerful tool for helping leaders build high-performing, empowered, and engaged individuals and teams. When leaders act as coaches, they engage in dialogue with their direct reports about speci�ic aspects of their performance. Together, they explore how to bring that performance to the next level of excellence.

We began our discussion of coaching in Chapter 2, focusing on how you can take advantage of coaching. Next, we focus on what leaders and managers can do to be effective coaches of their direct reports.

Purposes of Coaching

Coaching can focus on a number of areas, including leadership development, behavior change, or business issues such as strategy and innovation. According to Jacques and Clement (1994), coaching has several purposes, including the following:

Helping direct reports understand the full range of opportunities for work and challenges available to them in their roles Assisting direct reports in learning new methods, technologies, and procedures Bringing direct reports' values more in line with corporate values and philosophy Aiding in the development of direct reports' wisdom Helping direct reports smooth out any rough edges in their temperament

The overarching goal for the leader as coach is to shift the worldview of direct reports in a way that opens up new possibilities for action. By listening and by making inquiries, observations, and re�lections, leaders help their direct reports identify their values and passions and align them with their professional and personal goals. When leaders ask powerful, thought-provoking questions that tap into the inherent wisdom and creativity of their direct reports, leaders allow their direct reports to discover answers from within themselves. When performed successfully, coaching becomes a self- directed interaction, one in which the leader primarily offers support by encouraging re�lection and providing guidance more than answers. By engaging in this way, leaders will help their direct reports to accept solutions that they, in essence, would have developed mostly on their own.

How does a leader know when coaching might be the answer? Coaching is most bene�icial when it focuses on behavior change or on helping individuals to develop or generate new perspectives or worldviews. On the other hand, coaching should typically not be chosen to help individuals gain new functional or general business knowledge, which can be more effectively acquired through training. So, some speci�ic reasons for choosing coaching might include helping

A valued employee overcome a performance issue that has its basis in style or behavior. High-potential leaders to further develop their leadership capacity. Senior leaders to increase their overall effectiveness.

Organizations that are undergoing change or transformation may want to consider implementing a programmatic approach to coaching, that is, creating and launching an overall coaching program that is introduced to a large number of employees. A programmatic approach to coaching is advisable if signi�icant changes in business strategy, goals, or culture will require new ways of behaving and thinking and if there are a large number of individuals, usually at the more senior levels, who must learn these new ways to ensure company success.

What are the keys to successful coaching? To be successful as a coach, leaders need to both (a) engage in formal planning before the coaching process begins and (b) follow a series of steps to bring the coaching process to a productive conclusion. Next, we present best practices for each of these, drawing on London (2002, 2003) and Mone and London (2010). However, in general, when coaching others, keep in mind the frameworks of theories of action and the ladder of inference. Coaching involves behavior change, and these frameworks provide useful concepts and tools in that regard.

Formal Planning for Coaching

Leaders should do some preliminary planning before engaging in a coaching process with a direct report. The leader should consider asking the following questions. Note that how you will answer these questions may become clearer after reading about the typical steps in the coaching process.

Do I know the overarching needs and desires of the direct report I will be coaching? Do I know the speci�ic coaching concern/issue or opportunity and its impact? Have I determined how I will approach the contract for coaching? Have I decided on the methods I will use to collaborate on actions and measures? Do I know how I might be able to provide support and encourage re�lection? Have I determined a possible time frame for evaluating progress?

Steps in a Typical Coaching Process

Just as you might �ind several different de�initions of coaching in a review of the leadership literature, you will also �ind authors identifying different but fundamentally similar steps to de�ine the coaching process. Here is a �ive-step coaching process and what each step entails:

Step 1: Identify the concern, issue, or opportunity and its impact. Help your direct report understand what the concern, issue, or opportunity is that may be affecting him or her, you, the team, the department, or the organization, positively or negatively. Describe the positive impact that taking action will have on the employee, customer, team, and others.

Step 2: Develop a contract for coaching. Clarify the purpose of coaching and what you and your direct report want to achieve. Explain that the coaching process is a series of conversations, through which you will help him or her reach the agreed-to goal. The goal can include improving relationships with key customers or stakeholders or achieving a new, higher level of performance. Ensure your direct report is committed to moving forward.

Step 3: Collaborate on actions and measures. Determine together the actions necessary to meet the agreed-to goal for coaching. Make sure any goals set are speci�ic and measurable, and identify necessary resources and a time frame. Discuss, agree to, and document how you will measure results. Also, consider any available feedback, including 360-degree feedback, to help you target the desired results and identify metrics by which you will measure progress against the goal.

Step 4: Provide support and encourage re�lection. Your direct report needs your support to meet his or her goals. Support can be as simple as listening while he or she �igures out a dif�icult situation or helping him or her to gather required resources. In a collaborative conversation, decide what actions are necessary to meet set goals. Consider asking key stakeholders for feedback throughout the coaching process. Feedback is important if you want to help your direct report make signi�icant changes or achieve dramatic performance leaps. Remember, coaching is a process that involves a series of conversations over time.

In order to change behavior however, your direct report needs a balance of taking action and time for re�lection. In fact, fostering re�lection may be the most bene�icial support you can provide. Re�lection will help your direct report to see things differently, both while in the process of taking action and after results are achieved. Some sample re�lective questions include the following:

What major assumptions have you been making about this project? Is this the same way you have approached this type of situation in the past? Why did you take that approach? What are some of the other ways of viewing this problem? Who else might you have considered asking for input or feedback? Given what we know now, what can you do differently going forward? How do you feel about your progress and why?

Step 5: Evaluate progress. At an agreed-to point in time, you need to make a �inal assessment of progress. The assessment should consider the actions and measures that were established in Step 3. Also, review other potential areas of impact, such as those related to your direct report's sense of self, the team, the department, and the organization. Strongly consider going back to the same stakeholders you solicited feedback from earlier in the process, and see how their perceptions have changed. Take time to re�lect on and celebrate success.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is the primary focus of coaching? 2. What are the key steps in a coaching process? 3. What are the key reasons for considering coaching an individual? 4. Why might you consider launching a coaching program?

Recognizing an employee's performance is a form of feedback that can produce desired behavior and that offers encouragement. Re�lect on how encouragement could affect one's productivity and goals acquisition.

Caia Images/Caia Images/SuperStock

3.8 Phases of Performance Management: Recognizing Performance

As discussed in Chapter 1, the ability to reward or recognize performance is one of �ive major sources of a leader's power (French & Raven, 1959). Within the framework of full range leadership, using contingent rewards to motivate and reinforce performance is the most active and effective form of transactional leadership. What is recognition, however, and how can leaders effectively use this source of power?

Recognition can be considered a form of feedback, and it tends to be de�ined similarly by those discussing it within the context of organization development, leadership development, and performance management:

Providing contingently informal genuine acknowledgment, approval, and appreciation for work well done (Luthans & Stajkovic, 2009) Giving praise and showing appreciation to others for effective performance, achievements, and contributions (Yukl, 2006) A message of appreciation or positive reinforcement tied to a direct report's behavior or accomplishment of a speci�ic task or goal (Mone & London, 2010)

Recognition, therefore, can be viewed as a positive reinforcer of desired behavior. In fact, when contingently applied, its positive effect on performance might be considered one of the most agreed-upon principles in psychology (Luthans & Stajkovic, 2009). Recognition tends to fall into two major categories: formal and informal. Formal recognition is usually programmatic and companywide and can include, for example, a CEO- granted award for outstanding performance, innovation, or customer service. Informal recognition, which is the focus of this section, is typically provided one to one, supervisor to direct report, and is usually performance based. Recognition takes one of three forms (Yukl, 2006):

1. Praise (in the form of oral or written comments) 2. Awards (e.g., medals, plaques, ribbons, certi�icates, or nominal �inancial rewards) 3. Ceremonies (e.g., when the CEO announces and grants an organization-wide award)

Leaders can also recognize others for their performance by giving them special assignments, such as leading a task force or cross- functional team, enlarging the scope of their job responsibilities, or perhaps allowing them to attend a desirable work-related conference or participate in an executive education program. Note that recognition is often provided in celebration of non-performance-related events as well, such as birthdays, service anniversaries, and safety milestones.

Obstacles to Recognizing Employees and How to Overcome Them

The following is a list of reasons why managers and leaders �ind it dif�icult to practice recognition and ways to address them (adapted from Gostick & Elton, 2007; Mone & London, 2010):

I don't have enough time to recognize employees. Your recognition can come as part of your day-to-day performance management in the form of feedback—offering a sincere statement of praise such as "Thank you for . . ." can be accomplished in no time at all. It's hard to be consistent and avoid showing favoritism. Find opportunities to recognize each of your direct reports—you can always �ind at least a small achievement you recognize or demonstration of the right behavior you want to sustain and reinforce. I'm not sure how to ensure recognition stays meaningful. Use different forms of recognition, reward appropriately to the achievement, reward for different achievements—and do it on a timely basis. Only cash awards matter. Remember, feedback is an important form of recognition—it is free—and feedback is important to engagement and overall performance management; Frey and Stutzer (2007) have indicated that recognition works without having to provide monetary rewards. I don't want to embarrass my direct reports. Simply ask your direct reports how they would like to be recognized—publicly or privately—and then honor their wishes. I recognize only direct reports who are meeting expectations 100%. Recognizing direct reports for their successes may help to build their self-ef�icacy, increase their career motivation, and give them the con�idence to improve in areas where they may not be as effective.

Ways to Recognize Performance

There are many ways to recognize performance. Try the following suggestions, which have no �inancial cost to the organization and do not take much time to implement (Mone & London, 2010):

Send an email to recognize the action or result. Handwrite an acknowledgment or thank-you letter.

Invite your direct report to observe a senior management meeting. Create a safe opportunity to make a presentation to senior management. Assign a new, challenging project that would be exciting and rewarding to tackle. Arrange for your direct report to join an important committee or cross-department team. Empower your direct report to act and make decisions in your place when you are away on vacation. Encourage your senior management to place a phone call, write a letter, or send an email. Publicize the performance or action in a story in your company newsletter, on your company's website, or on department bulletin boards.

Strategies for Making Recognition Effective

The following strategies will help leaders make their recognition as effective as possible (adapted from Jeffries, 1996; Yukl, 2006):

1. Be inclusive. Recognize everyone involved in an accomplishment, not only the key contributor; consider those in "the back room" who are providing support.

2. Be varied. Remember to use a number of recognition methods with your direct reports to keep your efforts fresh and unexpected. 3. Be spontaneous. Don't necessarily wait for an informal or formal meeting with a direct report to provide recognition. 4. Be frequent. Make recognition a habit and build it into your daily activities list. Put it on your calendar. Take the opportunity with

longer-term projects to recognize efforts along the way. 5. Be sincere. Be open and frank with your recognition. Demonstrate your sincerity by letting your direct reports know you truly

appreciate their efforts and successes. 6. Be proportional. Try to match the level of recognition to �it the achievement. Recognition that is out of proportion—either too much

for a small accomplishment or too little for a major achievement—will diminish its value as a reinforcer. 7. Be speci�ic. Be speci�ic and clear about what you are recognizing to reinforce the behavior that you desire. 8. Be timely. Recognition is more effective when it occurs closer in time to the acts or behaviors you want to reinforce. 9. Follow the Platinum Rule. "Treat others as they wish to be treated." Try to tailor your rewards to meet the needs of the person you

are recognizing, rather than what you think would meet your own needs. What motivates you and what you value as recognition can be quite different from what matters to the person you are recognizing. As you can see, the more familiar Golden Rule (treat others as you would like to be treated) does not work as well in this situation.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the two major categories of recognition? 2. What are at least two obstacles to providing effective recognition? 3. What are at least three strategies for making recognition effective?

Performance appraisals assess behaviors and levels of achieved results in order to determine progress and modify goals.

iStock/Thinkstock

3.9 Phases of Performance Management: Evaluating Performance

A performance appraisal is an evaluation conducted at the end of a performance period, focusing on assessing both the demonstration of critical behaviors and the level of expected results achieved (Pulakos, 2009; Mone & London, 2010). Formal appraisals of performance are usually conducted on an annual basis and tend to be linked to and drive other human resource processes. The formal, annual appraisal brings closure to the performance year and provides the opportunity for a summative or overall evaluation of development and performance efforts. On the other hand, appraisals that are conducted quarterly or at midyear, or at the end of critical projects for those on project management teams, tend to be less formal and allow the opportunity for the following (Mone & London, 2010):

Checking progress toward the achievement of performance goals Determining if goals are still valid and modifying goals as appropriate Providing feedback on development efforts Providing an interim evaluation of overall performance to date

Performance appraisals will be based on either absolute or relative rating systems. Simply speaking, within an absolute rating system, individual performance is evaluated against one's set goals, regardless of the performance of one's peers; within a relative rating system, performance is primarily based on a comparison to the performance of one's peers.

Errors in Performance Appraisal Rating Strategies

Errors in rating strategy can seriously affect the effectiveness of appraisal ratings. Avoid the following key rater errors, which can lead direct reports to believe that the appraisal process is unjust and unfair.

Leniency: When favorable ratings are given on all aspects of performance, but they are not usually deserved, your standards are probably too low. This might happen because you don't want to create ill feelings by giving a direct report a low rating; you are giving him or her the bene�it of the doubt. So look carefully at each rating you provide, and be sure you have evidence of support to back it up.

Severity: When unfavorable ratings are given on all aspects of performance, but they are not usually deserved, your standards are probably too high. This might result from having set very dif�icult stretch goals or being unsatis�ied with a direct report for any number of reasons (for example, always coming in late or interrupting you during team meetings). Try not to let your overall disposition or attitude get in the way of being fair in your evaluation.

Central tendency: When you tend to rate all performance areas as average, but this is not the real case, you are making a central tendency error. You rarely, if at all, use the lower or upper ends of the scale. In this case, you are not choosing to differentiate performance across the dimensions available. Look for examples of performance that truly impressed you or that you were very unsatis�ied with, and rate the dimensions accordingly. Don't be afraid to branch out!

Similarity: Just because a direct report is similar to you, maybe in terms of age, sex, education, or experience, you rate him or her favorably when it is not deserved. This could easily be considered an unconscious form of favoritism; you probably believe that because your direct report is like you in some signi�icant way, he or she has to be performing well. Step back and look at the actual performance of the individual, and if need be, compare that person's performance to someone in a similar role or to others you supervise to ensure your ratings truly represent the person's performance.

First impression: When you determine your direct report's end-of-year performance evaluation based largely on how well he or she did early on in the cycle, you are making a �irst impression error. You tend to ignore later performance data, whether positive or negative. This may be due to how you track performance or to the fact that the early performance on key projects was outstanding, which left a strong impression. It is good to think favorably of your direct reports, but when it comes to evaluating performance, be sure you are looking at performance on all key or signi�icant projects throughout the performance year.

Recency effect: When you determine your direct report's end-of-year performance evaluation based largely on how well he or she did at the end of the cycle, you are making a recency effect error. You tend to ignore earlier performance data, whether positive or negative. Again, this may be due to how you track performance or to the fact that performance on the latest key projects was outstanding. Be sure you are looking at performance on all key or signi�icant projects throughout the performance year (Mone & London, 2010).

Mone and London (2010) have recommended asking your direct reports to complete a self-appraisal before you start to write the appraisal. Once your direct reports' self-appraisals have been completed, you should meet with your direct reports to discuss their self- appraisals so that you can best understand how they viewed their performance and why they rated themselves as they did. Doing this effectively will help them feel that their voices were heard and understood and helps to make this component of performance management more of a collaborative effort.

Once a leader has reviewed the self-appraisal and any other performance information collected from colleagues or the direct report's team members, it is time to write the appraisal. Once the appraisal has been written, the leader should re�lect on the ratings given, verifying that

A structured performance appraisal ensures that each team member will get the same quality of feedback each time.

Blend Images/Blend Images/SuperStock

rater errors were avoided and correcting any that have crept in. Then, it is time to discuss the appraisal with the direct report. Having a constructive conversation about performance is probably one of the most dif�icult challenges for leaders, as well as managers. The following are some interesting challenges:

When lower or poor performance is the case, leaders will tend to either minimize the issue and avoid the discussion, or be too harsh in providing feedback. In either instance, the direct report is not receiving constructive feedback that would help to improve performance. When performance meets expectations—typically the midpoint of a 5-point rating scale—leaders have dif�iculty ensuring the positive message of achieving expected results is heard. More often than not, their direct reports view meeting expectations as a "bad" rating, having expected that they were going to be rated much higher. When performance exceeds expectations, leaders often say they do not reinforce the rating with too much positive feedback, assuming that the direct report is aware of his or her level of performance and worth. As a result, these high performers often feel that their performance was not adequately recognized, perhaps taken for granted, and in fact, they often miss out on development discussions given their performance.

Effective Performance Appraisal Strategy

What might be some guidelines for ensuring what to discuss and how to discuss it during the appraisal review meeting? Consider the following high-level strategies, based on Dessler (2011):

Discuss efforts in terms of objective work data. Try to utilize and talk about the kinds of measures we discussed earlier in this chapter under the topic of goal setting; the more objective the measure, the better. Focus on behavior and results, and avoid being personal. Avoid pejorative comments about the person's work style, such as, "You just don't seem smart enough to get that done." Don't do all the talking; engage your direct report in conversation. Facilitate a good dialogue and help understand the perspective of your direct report by using open-ended questions, such as "Can you tell me more?" or "How would you go about changing that process?" Gain agreement. Be sure your direct report is clear on the next steps, including the development actions that should be taken.

For a more detailed look at what leaders and managers should cover in the appraisal review meeting, see Considering a Step-by-Step Guide for Structuring the Appraisal Meeting.

Considering a Step-by-Step Guide for Structuring the Appraisal Meeting

1. Welcome your direct report, make sure that he or she is comfortable, and check to see that your appraisal, which you forwarded ahead of time, was read.

2. Explain how you will conduct the meeting and how long the meeting will last. Make it clear that you want a dialogue—and that you don't want to do all the talking.

3. Begin by thanking your direct report for his or her performance contributions and the success achieved. You should do this regardless of the overall rating, as there is generally always something positive on which to report. Make a summary statement regarding performance, such as "Bill, you had an exceptional performance year" or "Bill, your performance this year shows signi�icant improvement over last year."

4. Move into the details of the appraisal. a. Review and discuss each performance (individual or team) goal, strategy, tactic,

or other. b. Provide feedback about how you think each was accomplished, and explain why

you have rated each goal as such. c. Compare and discuss any differences between your ratings and those appearing

in the self-appraisal. d. Ask your direct report for comments along the way, and be open to questions to be sure that your direct report

understands your evaluation correctly. 5. Review and discuss each development goal, commenting on the progress you have seen. Ask for feedback. Try to determine

if continued development in the same areas is warranted. 6. Explain and discuss how you have arrived at your direct report's overall performance rating. This should be an obvious

outcome based on the evaluation of each performance goal. 7. Ask about and discuss any additional comments, concerns, or questions your direct report might have about his or her

performance or the appraisal. Then ask your direct report to sign the appraisal if that is part of your company's process. 8. If compensation is a related process, explain how and when this will be handled. 9. Determine and agree to a time when you can have a goal-setting meeting for the next performance year.

The steps outlined here will help you to conduct an effective appraisal meeting, but feel free to modify them to �it your particular management style or to satisfy your company's human resources policies and practices.

Source: Copyright ©2010 from Employee Engagement through Effective Performance Management: A Practical Guide for Managers by Manuel London and Edward Mone. Adapted by permission of Taylor and Francis Group, LLC, a division of Informa plc.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is a formal performance appraisal? 2. What is meant by absolute and relative rating systems? 3. What are at least three rating errors in performance appraisals?

Performance management may have gaps sometimes. What do you think you must assess in order to measure these gaps?

IMAGEZOO/IMAGEZOO/SuperStock

3.10 Measuring Gaps in Performance Management

In sections 3.4–3.9, we have looked at each component of performance management in some detail, as performance management is the overarching framework for guiding a leader's actions in the one-to- one role. It important to determine whether the overall process is working effectively, or in other words, to explore how to determine gaps in performance management. So how does one proceed in determining gaps in performance management? First, as an enabling process, ask, "Does performance management support the business?" To best support the business, each of the phases of performance management should contain the design elements and best practices presented in this chapter. So check to be sure those are in place. Second, all of the phases must be well integrated. Use the following set of questions to check how well integrated each phase of performance management is in your organization or department.

Are the goals set and aligned with the strategic plan? Are feedback and coaching provided throughout the performance period based on goal progress? Are the development activities in place helping to improve performance in pursuit of those goals or to prepare for future assignments consistent with the organization's strategic direction? Are rewards based on achievement of goals set during the goal-setting phase? Do appraisals focus on the fair evaluation of the individual's performance against agreed-to goals?

Next, verify that the process is supported by senior management and utilized effectively throughout the organization as a key business process important to achieving the company's overarching goals. Yes, we have often found that managers and leaders tend to comply with the performance management actions HR requires but do not embrace them. Over the years, we have designed survey questions to evaluate how well the performance management process works and is supported by senior leadership. We �ind this to be an effective way to measure both leadership and organization-wide gaps in performance management. For example, we have asked employees to rate the extent to which they agree with the following statements (see Mone, 2009; Mone & London, 2010):

Overall, performance management is valued in this company (a measure of leadership support). I had the opportunity to set goals with my manager. My manager provides me with ongoing feedback that helps me improve my performance. I am satis�ied with the amount of recognition I receive from my manager. I have a clear understanding of how my performance is evaluated. My most recent year-end performance appraisal was fair.

These and other similar statements or questions can also be used in interviews and focus groups with leaders, managers, and employees to determine the extent to which there are gaps and what actions can be taken to close them and make performance management, overall, a highly effective enabling process.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. How does performance management best support the business? 2. What are some methods organizations can use to measure gaps in performance management?

Con�lict arises from competing wants. What can a leader do to resolve these issues?

IPGGutenbergUKLtd/iStock/Thinkstock

3.11 Managing and Resolving Con�lict in an Organization

At the beginning of the chapter, we highlighted four primary areas of focus in the leading one-to-one role: (1) building trust and empowerment, (2) utilizing performance management practices, (3) effectively resolving con�licts, and (4) selecting the right people. Each area helps create and sustain effective interpersonal relationships. In Section 3.3, we described trust and empowerment as being foundational to the one-to-one role, and, in sections 3.4– 3.9, we discussed in detail how performance management is the major framework guiding one-to-one interactions. We now turn our attention to the third area of focus in the one-to-one relationship: managing and resolving con�lict.

Con�lict, as it pertains to organizational life, is pervasive. According to Katz and Kahn (1978), "Every aspect of organizational life that creates order and coordination of effort must overcome tendencies to action, and in that fact lies the potentiality for con�lict" (p. 617). In addition, every school of organizational thought has at its core the need to work interdependently and to manage ensuing con�licts (De Dreu & Gelfand, 2008). So what is con�lict?

A widely held view, initially offered by Pondy (1967), is that con�lict is a process. For example, Katz and Kahn (1978) referred to con�lict as a process, an interaction, between two parties in such a way that the actions of one party tend to prevent or motivate some outcome against the resistance of the other. Quite similarly, De Dreu and Gelfand (2008) de�ined con�lict as "a process that begins when an individual or group perceives differences and opposition between itself and another individual or group about interests and resources, beliefs, values, or practices that matter to them" (p. 6).

More simply, in the leadership and management seminars we facilitate, we de�ine con�lict as "a problem that exists between two or more parties, which does not appear to have a mutually bene�icial solution." In other words, the initial perception by both parties is that they have incompatible wants: "If you get what you want, then I can't get what I want." This de�inition helps leaders and managers to recognize that con�lict can occur between individuals, departments, and organizations and can be about deadlines, product design, product delivery, marketing strategies, and more.

There are many reasons why con�licts may emerge. Leaders are more likely to encounter con�lict when they are less open to new experiences, less agreeable, and less willing to consider new perspectives. In addition, leaders whose resilience is low may feel less con�ident and resist changing their positions, and leaders who rely on their legitimate or expert power to in�luence others may face resistance to their ideas, leading to con�lict. Leaders' theories of action present another source of con�lict if their theories are in opposition to those held by others. For example, this might occur between senior leaders in marketing and �inance when discussing strategies for increasing pro�itability by reducing costs, increasing revenues, or both. Finally, con�lict can also occur within groups or teams, which we discuss in Chapter 4.

Today's environment also brings new challenges that are likely to engender con�lict, such as the following:

The increasing pressure to change and adapt to new markets, which can lead to con�lict about roles. For instance, consider the various ways an organization can sell in a new market, which is bound to challenge the current sales paradigm and model. The impact of technology, including Web 2.0 and 3.0, which can generate con�lict as interpersonal communication becomes less personal. Just think about the nature of email and the likelihood for misinterpretation that it presents. Globalization and the diversity of the workforce bringing new and different perspectives that must be integrated or resolved. For example, consider how work gets done in different countries and the implications for organization effectiveness.

Four Approaches to Resolving Con�lict

There are four major styles or approaches to managing and resolving con�licts (see Figure 3.4). As you read them, you might want to think about which of the following approaches is most characteristic of your own:

1. Win–lose. I make sure I win, not the other party. I use whatever strategies or techniques seem appropriate to get what I want, even if it is at the expense of the other party.

2. Lose–win. I help the other party win. I am willing to sacri�ice what I want if it means the other party gets what it wants. 3. Lose–lose. I avoid con�lict situations. I am more comfortable not addressing con�lict even if it means no one really gets what he or

she wants. 4. Win–win. I make sure everyone wins. I will use whatever strategies and techniques I can to develop a solution that lets everyone

get what he or she wants.

The best approach is a win–win philosophy for con�lict resolution. Win–win means each party involved in the con�lict feels like a winner, and each feels like his or her needs were met. This kind of resolution to a con�lict makes both parties feel good about the immediate outcome and encourages them to feel optimistic about resolving any future problems or con�licts they may experience. Read Case Study: The CEO's Problem With Con�lict to see what happens when a leader fails to manage con�lict effectively.

Recall that we de�ined con�lict as "a problem that does not appear to have a mutually bene�icial solution." Con�lict tends to result from competing wants, and the lack of apparent solution is owing to the focus on those wants. A want is an expression of a need, and the want we often choose is the most obvious alternative to satisfying that need. However, needs can be satis�ied in a number of ways. Therefore, the road to resolving con�licts involves looking for other ways to satisfy the underlying needs. This is where creativity and brainstorming play a key role. To effectively resolve a con�lict, you'll want to explore and test out possible ways of meeting the needs of everyone involved.

Figure 3.4: Four approaches to resolving con�lict

You can envision the four major approaches to resolving con�lict as a matter of how much your wants and needs are met versus how much the wants and needs of others are met.

Take the example of the need for recognition. You might insist on wanting a promotion or a bigger of�ice, but for argument's sake, let's say these wants can't be met. Would you be happy then, for example, with a more senior-sounding title, a raise, a bonus, or the opportunity to take the visible lead on an important companywide project? Once you start to explore different ways of meeting the needs of the parties involved in the con�lict situation, you are effectively working toward solving the problem that seemed not to have a mutually bene�icial solution. This, in essence, is the idea of working toward a win–win solution.

At times, it might be necessary or just make good business sense to utilize one of the other three approaches. For example, you might use lose–lose (3) when it is important to be diplomatic and stay away from the issue because the cost of dealing with the con�lict is higher than the bene�it of resolving it. You would use win–lose (1) when you know a certain way is right and the need is pressing to make a decision soon, or when another party refuses to engage in a win–win dialogue. You might use lose–win (2) when you want to repair a relationship or when you value the solution less than the other party does and can afford to give in.

In general, strive for a win–win solution. It has a number of bene�its that lead to higher productivity, including its ability to meet the needs of all parties, strengthen the relationship, reduce the risk of deadlock, and develop creative solutions. It will be worth the effort. You might say that that is easier said than done. The remainder of this section will discuss managing con�lict, including an assessment that will enable you to identify your strengths and areas for improvement when it comes to working toward win–win solutions.

Case Study: The CEO's Problem With Con�lict

A CEO for a company we worked with was observed to be con�lict averse. Speci�ically, she avoided con�lict with a direct report, the chief administrative of�icer (CAO). This occurred both one to one and when she was challenged in the team situation in the presence of all of the CEO's direct reports. The CAO refused to execute in accordance with the strategies, plans, and processes already agreed

Alliya23/iStock/Thinkstock

to by the entire executive team. In speci�ic, the CAO did not want to support an organization- wide leadership development program for high-potential senior leaders, now claiming that it was not the right time in the business cycle to launch such a program. We witnessed a very politically charged environment, to say the least.

Some of the team members were frustrated by witnessing the CAO's behavior and the subsequent behavior of two of their colleagues in the team situation. These two colleagues quickly sided with the CAO's perspective, seemingly changing their positions without much thought. Those who were frustrated by this action and its political nature wanted the CEO to "take charge and confront those causing the con�lict," but the CEO was reluctant to do so. As a result, these team members started to lose con�idence in the CEO, a fact shared with us in later private conversations. Those who were actually in direct con�lict with the CEO lost respect for her, feeling they had won and the CEO had lost.

The rami�ications for the organization were clear. What the organization witnessed, ultimately, was the lack of consensus around important strategies and goals, as well as approaches to employee development, the market, product development cycles, and such. The executive team members resorted to, in many ways, just doing what they wanted to do. For example, some decided not to send any participants to the leadership program, while others utilized their favorite consultants to create their own versions of a leadership program speci�ically for their own functional organizations. As a result, because the CEO did not effectively resolve con�licts about the organization's direction or strategies, in either the one-to-one or the team situations, the board stepped in and got the CEO an executive coach. Even so, within a year or so the CEO was asked to step down, mostly because of this inability to resolve con�lict. The conclusion was, frankly, that the CEO was largely seen as powerless, and that is not the kind of CEO a board wants.

Re�lection Questions

1. What might be some reasons why the CEO did not want to engage in resolving the con�lict with the CAO? 2. Consider a time when you personally avoided dealing with an important con�lict. What was the outcome? Would you have

been better off working toward a win–win resolution?

Phases in Managing Con�lict

The process for managing con�lict can be thought of in four phases, de�ined as follows:

Phase 1: Collect Information Phase 2: Work to Understand Differences and Agreements Phase 3: Manage the Con�lict Phase 4: Follow Through on Agreements

In Phase 1: Collect Information, you try to identify all the key stakeholders, gather as much information as you can about the overall problem—including hidden resources that can help, such as other stakeholders—objectively examine both sides of the issue, and identify needs versus wants. As you might recognize, some of these actions can be taken prior to any formal meeting with the other party engaged in the con�lict.

In Phase 2: Work to Understand Differences and Agreements, the goal is to analyze the information gathered in the �irst phase and to try to understand the differences that exist. It is important to be open to other ways of doing things and to understand how alternative approaches might work. In speci�ic, you accomplish this by exploring the other party's position in detail, establishing what the needs are versus what the wants are, identifying any possible areas of agreement and disagreement, and ensuring and gaining con�irmation that both parties understand what was said.

In Phase 3: Manage the Con�lict, the effort is placed on addressing the con�lict situation given that the differences between parties are now clearly understood. You begin by framing the issues, in other words, how each party's concerns are de�ined. Given that basis, you then proceed to identify the areas of agreement to further strengthen the relationship. You can then focus on where you disagree, trying to �ind creative solutions that meet the needs of both parties to ensure a win–win.

In Phase 4: Follow Through on Agreements, you are basically following through with your actions given that the outcome of Phase 3 was reaching a win–win solution. Now, it is important to do what you promised to do, ensuring that you continue to maintain the trust and respect of the other party. It is also important to ensure that the other party, of course, does what it said it would do. Finally, you can use the lessons learned from resolving this con�lict when working with the other party in the future. At this stage, it is probably helpful to discuss how similar con�licts might be avoided in the future.

Because resolving con�licts is a process, you might be revisiting a previous step, perhaps to gather more information or because a new stakeholder might be identi�ied that has a major interest in the outcome. That is to be expected and should not be thought of as a problem. Remember that this is a dynamic process that requires, at times, stepping back and resisting the urge to jump to a resolution just to avoid the tension of the con�lict situation.

Finally, look at Assessment 3.1 to help you determine the extent to which you embrace a win–win philosophy and the extent of your skills in each of the four phases of the process.

Determining Leadership Gaps in Con�lict Management

To avoid consequences such as those outlined in the case study, it is important to hone in on where con�lict management is less than adequate. Leadership gaps in con�lict management can be assessed at both the individual level and the organizational level. At the individual level, collect data from a number of sources to determine the effectiveness of any one leader in managing and resolving con�licts. Obviously, one can use the assessment in this section, as either a self-assessment, an assessment by the leader's supervisor, or an interview guide used with the leader, the leader's supervisor, or the leader's direct reports or colleagues. A 360-degree feedback survey can also be used as long as there are questions that focus on the appropriate skills. These approaches can also be utilized to assess the entire leadership population directly as de�ined by the organization, which can include, for example, the CEO and direct report team, the top "100" leaders, or broader pools of high-potential leaders.

At the organization level, leadership's ability to manage con�lict can be measured by an employee opinion survey, using evaluative statements such as "The leadership in my organization resolves con�licts effectively." It is important to measure how well leaders manage and resolve con�lict within their department or function and across departments or functions. In our survey work with client organizations, for example, we have repeatedly found that employees see a big gap between these two measures—generally rating leaders better at resolving con�licts within their functions by about 10 points (for example, a 77% favorable response versus a 67% favorable response).

Unresolved con�licts can also be uncovered or determined by closely examining organization results and trying to understand why expected levels of results were not achieved or how results could have been better. In these instances, improvement areas are often found when results depend on cross-functional cooperation, such as the design, development, and sales of a new software product, which typically generates con�lict between those in software engineering and design, the marketing team, and the sales organization. In fact, in situations like these, unresolved con�licts might be traced back to a lack of agreement regarding the overall strategic plan, a problem we discussed in Chapter 1.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the four major approaches to resolving con�lict? 2. What does a win–win solution mean to both parties engaged in a con�lict? 3. Describe the four phases for managing con�lict. 4. What are some ways to measure leadership gaps in con�lict management in organizations?

Finding the right person to hire for the job is a challenge. A leader must choose the person who offers the most potential for success.

Westend61/Westend61/SuperStock

3.12 Selecting Job Candidates for Success

Many problems in organizations, particularly problems with an individual's performance or organizational �it, have to do with who is in the organization, as well as who hired the person. As a result, in some ways, a leader's challenge begins when hiring or selecting a job candidate—in essence, when the leader is choosing his or her direct reports. Obviously, if leaders hire the right people for the job, the entire performance management process becomes much more positive and focused on growth. However, leaders have been prone to and continue to make mistakes in their hiring. This has been said often of CEOs involved in their own succession planning. CEOs have been known to hire people like themselves, rather than considering the strategic needs of the business and the competencies necessary to lead the organization going forward. As a result, we see selecting job candidates as an important leadership competency, almost a �irst step, when possible, for leaders to begin the one-to-one relationship with their direct reports. So how should you go about selecting job candidates?

There are two major strategies to consider when selecting job candidates (Murphy, 2010). The �irst is to begin with a job analysis, which in theory will reveal the important knowledge, skills, and abilities to perform successfully in the job. This is known as a work-oriented strategy. On the other hand, when you begin with the idea of individual differences and consider the domains of

cognitive ability, personality, interests, and value orientations, you are utilizing a person-oriented analysis. Given our primary topic— leadership—our focus here is on the person-oriented strategy and the two domains that are most critical to leadership success: general cognitive ability (intelligence) and personality.

General Cognitive Ability

General cognitive ability or intelligence is de�ined as the capacity to grasp and reason correctly with abstract concepts and solve problems (Schmidt, 2009). Recent reviews of the literature have pointed overwhelmingly to the conclusion that cognitive ability (or g), which we commonly refer to as IQ, should be the primary basis for selection (Murphy, 2010; Schmidt, 2009).

But can we count on measures of cognitive ability? Just how valid is it to say that cognitive ability determines job performance? Recall that a coef�icient of 0 means that there is no relationship between two variables, whereas a coef�icient of 1.0 means that there is a very strong, perfect relationship between two variables. Schmidt and Hunter (1998) suggested .51 as the validity of general cognitive ability and its positive effect on job performance, although the validity is higher (.56) for complex jobs and lower (.23) for the least complex jobs. Schmidt (2009), using new and more accurate statistical methods, reported validities of .74 for professional and managerial jobs and .56 for semiskilled jobs. Other important, evidence-based data you should know when it comes to cognitive ability and selection include these points, based on reviews by Murphy (2010) and Schmidt (2009):

General cognitive ability is the major determinant or predictor of job performance—for all jobs at all levels. Measures of general cognitive ability will usually be equal to, if not better than, measures of speci�ic abilities at predicting job performance. Intelligence predicts job performance because those who are more intelligent learn more job knowledge and learn it faster, and because it helps in solving new problems experienced on the job. The relationship between general cognitive ability and performance is a linear one: Those assessed with higher levels of cognitive ability will perform better on the job than those with lower ability. As a result, candidates can be rank ordered based on their assessment scores. You cannot be too intelligent—the higher the intelligence, the better the job performance. In the long run, hiring based on intelligence yields greater returns for the organization than hiring based on experience.

Although g is the best predictor of job performance, other predictors, of course, should be factored into the selection decision. Accounting for other factors—such as personality, which we will discuss next—increases the overall validity of the hiring decision. For example, you may achieve a 14% increase in validity over intelligence alone simply by using a structured interview, which standardizes the questions asked during the hiring process. You can learn more about structured interviews in Appendix B.

Finally, let us say a few words about emotional intelligence (EQ), which we introduced in Chapter 2. As mentioned previously, there is still some controversy surrounding the topic of EQ: Evidence would suggest that EQ is not related to other cognitive abilities, which casts doubt on it truly being an "intelligence" (Murphy, 2010). However, given EQ's popularity and the ongoing research regarding EQ, it might still be valuable to assess candidates for their emotional intelligence.

Personality

Even though g is a strong predictor of performance, managers, leaders, and HR professionals have continued to look for ways to improve their ability to select the right candidate. One way that has recently gained a great deal of attention is to include a measure of personality along with a cognitive measure to increase selection accuracy.

Certain personality traits can be used as reliable indicators of performance.

Frikota/iStock/Thinkstock

Personality can be de�ined simply as "an individual's relatively stable and enduring pattern of thoughts, feeling, and actions" (Barrick & Mount, 2009, p. 20). One widely used theory, also known as the �ive-factor model, divides personality into �ive dimensions, referred to as the Big Five personality traits (Wiggins, 1996):

1. Emotional stability (being calm, steady, self-con�ident, and secure) 2. Extraversion (being gregarious, sociable, ambitious, and active) 3. Openness to experience (being cultured, intellectual, imaginative, and analytical) 4. Agreeableness (being courteous, helpful, trusting, cooperative, and considerate) 5. Conscientiousness (being dependable, industrious, ef�icient, and achievement oriented)

These personality traits should sound familiar, as we discussed them and their relationship to leader behaviors and leader effectiveness in Chapter 2. Recall that some �indings related to personality in a study by DeRue et al. (2011) included the following:

Conscientiousness was the trait most consistently related to leader performance. Emotional stability helped to predict a leader's task-oriented behaviors. Extraversion and openness were likely to predict a leader's relationship-oriented behaviors. Leaders who were high in extraversion and conscientiousness were viewed more positively. Leaders who were high in extraversion and agreeableness were more likely to improve team performance.

As with intelligence measures, personality measures can be used to predict performance for all jobs at all levels. For example, one important study determined the validity of the relationship between each of the Big Five factors and leadership effectiveness, with scores ranging from .08 to .31 (Judge, Bono, Illies, & Gerhart, 2002). What do these validity measures tell us? Though potentially not as strong as the measures for intelligence, personality measures will increase the overall validity of the selection decision, particularly when combined with an intelligence measure.

Some additional important data to consider regarding personality as a predictor include the following (based on Barrick & Mount, 2009; Hogan & Kaiser, 2010; Murphy, 2010):

Conscientiousness and emotional stability are the most valid predictors of performance outcomes, and so selection in general should be based on those factors. Conscientiousness and emotional stability are predictive of organization citizenship behaviors (such as providing assistance to coworkers) and counterproductive work behaviors (such as inappropriate use of time and resources). Conscientiousness and emotional stability predict entrepreneurial activity; they both predict leader effectiveness, as does extraversion and openness to experience. Finally, conscientiousness and emotional stability were also found to predict expatriate performance.

Today, researchers and practitioners acknowledge personality as an important predictor of performance, even though the validity measures for personality tend to be lower than those for general cognitive abilities. While measures of intelligence focus on predicting the ability to perform, measures of personality can help predict long-term, dispositional motivation levels to perform (Barrick & Mount, 2009). Both are important to overall effective job performance and contribute extensively to the validity of hiring and selection decisions. So how does one best measure or assess both personality and cognitive ability?

Personality can be assessed through self-report measures, such as the NEO PI-R or the Myers-Briggs Type Indicator; via observer ratings, such as a 360-degree survey; through employment interviews designed to measure job-related personality characteristics; and by using projective tests, such as the Thematic Apperception Test.

When it comes to cognitive ability, the best way to assess it is to use a standardized employment test that measures general intelligence, such as the Wonderlic Personnel Test; other measures, such as class rank or GPA (which can be proxy measures); and employment interviews.

Determining Leadership Gaps in Selection

When selecting senior leaders, "�it" is a very important criterion. For example, we know of one CEO who was primarily selected for his technical savvy and ability to bring credibility to an organization having a challenging time in the marketplace. In essence, he faced a turnaround, do-or-die situation, but his background indicated a good �it for the organization at that time. However, once the organization was successfully rebuilt and on track, it showed little year-over-year growth in revenues. As a result, the board determined that a new and different kind of CEO was needed to �it the important challenge of growing the business and meeting the stakeholders' demand for industry-rate growth. So a new CEO was brought on board, one who had the experience to be a better �it for the time and meet the changing expectations of the board and stakeholders. Fit is also important for selecting the right candidates throughout the organization's hierarchy. Leaders and others must also deliver results, so the ability to perform and meet or exceed expectations is of utmost importance and proof of a successful hire.

Determining and measuring gaps in selection after the fact centers on whether leaders are a good �it and can deliver results. When evaluating the ability to perform, the board of directors can look at the CEO and the senior leadership team and determine the extent to

which overall organization results are achieved. When looking more closely at measuring his or her direct reports' performance, a CEO could rely on the performance appraisal process to evaluate results, just like anyone else in a supervisor role in the organization will.

At the CEO and executive levels, 360-degree feedback can be used to validate the perceived �it. The board and the CEO will play a critical role in identifying those whose behaviors demonstrate, for example, the company's core values and desired personality attributes. For others in the organization, �it can be evaluated through the performance management process and, if appropriate, 360-degree feedback.

At the organization level, the company's employee opinion survey could also be used to collect the views of employees regarding the performance of the overall organization and of the major functions, as well as the extent to which senior leaders �it with espoused values. For example, we designed one organization survey that included the question "Is this company managed well, overall?" to capture employees' opinions on company performance, and the question "Do senior leaders cooperate across the organization to achieve results?" to reveal the extent to which leaders demonstrated the core value of teamwork and collaboration.

Remember to carefully evaluate the company's enabling process—how it attracts, recruits, and selects employees at all levels. For an interesting look at how online shoe and clothing retailer Zappos approaches the interview process and makes hiring decisions, see the following link: http://blogs.zappos.com/blogs/ceo-and-coo-blog/2009/01/03/your-culture-isyour-brand (http://blogs.zappos.com/blogs/ceo-and-coo-blog/2009/01/03/your-culture-is-your-brand) . One thing you will note is a lot of discussion about culture and culture �it, which, given our overall discussion of predictors of success, comes down to how well the candidate's personality is suited for the Zappos environment.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the two most important criteria upon which to make any selection decision? 2. What is the strongest predictor of performance? 3. What are the two personality factors that are the strongest predictors of successful leadership performance?

Summary and Resources

Chapter Summary

In the one-to-one role, leaders build on their self-leadership capabilities and are expected to model how to interact with others. This sets the tone for the organization's climate and culture. Of course, this is extremely important for CEOs and their executive teams to do, because all leaders, managers, and employees take behavioral cues from those at the top, learning what is important and valued to be successful in the organization. In addition, expected behavior is, in essence, cascaded in a series of top-down interactions, from the chair of the board to the CEO, the CEO to his or her direct reports, and so on.

Working one to one can often be challenging, and certain frameworks can be useful for being effective in this leadership role. First, keep in mind that people hold theories of action—espoused and theories-in-use—which guide their day-to-day behavior. Note that their theories might not always align. Being aware of that dynamic can serve to increase the effectiveness of working one to one with others. The ladder of inference, the second framework, serves as a tool that can successfully guide leaders as they advocate their own perspectives and inquire into the perspectives of others.

Performance management is the third framework, one that covers the majority of interactions that leaders have with their direct reports to ensure their successful performance and ongoing development. From goal setting to feedback, development, coaching, recognition, and appraisal, leaders have a myriad of opportunities to be effective role models of best practices, encouraging others to act similarly with their own direct reports. Being competent in the one-to-one role means being competent in executing each phase of performance management. It also means being able to manage con�lict successfully—aiming for the win–win solution—and selecting the right candidate for the job, emphasizing the criteria of cognitive ability and personality factors, particularly when it comes to the more senior levels in the organization.

When leaders understand how to interpret the behavior of others, know how to select the best possible candidates for a given role, are skilled in managing the performance and development of others, and can effectively resolve any disagreements and con�lict that can impede progress and performance, they will be successfully meeting the expectations of the one-toone role.

Leadership Exercise

Instructions: In this exercise, you will consider your own expectations for one-to-one leadership, both as a leader and a direct report.

1. Select an individual direct report. You might choose someone who works for you now or imagine someone who might work for you in the future. Answer the following questions.

a. What challenges do you face working with this individual? Consider the dif�iculty of the person's responsibilities and the individual's strengths and weaknesses.

b. How do you work with the individual to set goals and strategies for accomplishing them? c. Suppose the individual fails to meet a performance target. How do you give this individual feedback? d. What developmental opportunities do you recommend for this person? e. In what ways are you or can you be a coach or mentor to this individual?

2. Now, select a supervisor with whom you have worked or work with now. Or, imagine a supervisor you might work with in the future. Answer the following questions.

a. What challenges do you as a direct report face in working with this leader? Consider your view of the leader's competencies.

b. How do you like to work with this leader to set your goals and strategies for accomplishing them? c. Suppose you fail to meet a performance target. What do you expect your leader to do or say? d. What developmental opportunities do you want to be available to you? e. In what ways can this leader be a coach or mentor to you? How can you encourage this leader to be a coach or mentor to

you?

Web Resources

View this short video interview with Marshall Goldsmith, the most widely known and popular executive coach today, in which Goldsmith discusses �ive critical skills to focus on when coaching future leaders: http://www.youtube.com/watch? v=m0ARtWgAEvs (http://www.youtube.com/watch?v=m0ARtWgAEvs) . Consider checking out the following books about the win–win approach: – Patterson, K., Grenny, J., McMillan, R., & Switzler, A. (2011). Crucial conversations: Tools for talking when the stakes are high (2nd ed.). New York, NY: McGraw Hill. – Fisher, R., Ury, W. L., & Patton, B. (2011). Getting to yes: Negotiating agreement without giving in (2nd ed.). New York, NY: Penguin Group.

Key Terms to Remember

Click on each key term to see the de�inition.

activities (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The next level of logical steps to take to support a tactic, strategy, and goal.

development goals (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Goals set to improve performance in the current job or to enhance or build the skills necessary to prepare for future jobs.

con�lict (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A problem that exists between two or more parties that does not appear to have a mutually bene�icial solution.

empowerment (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A psychological state in which someone feels accountable and responsible to act.

espoused theories (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A type of theory of action; what people say about how they will act or believe they will act to achieve results.

goal measurements (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The processes, tools, or measurements used to provide the evidence or collect the data necessary to show whether success (a goal) was achieved.

goal setting (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The process of establishing mutually agreed-to goals, strategies, tactics, and measures to provide direction for performance and development.

goal statement (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A de�inition of the output or end result.

ladder of inference (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A metaphor for the process by which we often arrive at conclusions; can be used as a tool for understanding, resolving, and improving interpersonal communication and aligning theories of action.

learning (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The process of acquiring new knowledge, skills, or a change in perspective.

measure of success (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The level of performance that describes the results one expects.

performance appraisal (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An evaluation conducted at the end of a performance period, focusing on assessing both the demonstration of critical behaviors and the level of expected results achieved.

performance goals (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Goals that are generally task focused and contribute to higher-level business outcomes, such as increases in customer satisfaction, pro�its, or revenue.

performance management (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A process of leading a direct report that includes goal setting, feedback, development, recognition, coaching, and performance appraisal, built on a foundation of trust and empowerment, with a constant �low of communication.

propensity to trust (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A personality trait that affects the extent to which an individual tends to trust others.

recognition (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A form of feedback that is a positive reinforcer of desired behavior.

strategy (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A description of how a goal will be achieved.

SuperLeadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Style of leadership in which leaders facilitate others' self-leadership capability and practice and make the self-leadership process the central target of external in�luence.

tactics (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The major steps to support and implement a strategy in order to achieve a goal.

theories-in-use (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A type of theory of action; the means for reaching goals, which specify strategies for how people will conduct themselves; the theories people actually use.

theories of action (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Explanations or interpretations of individuals' approach to action.

trust (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The willingness to be vulnerable to the actions of others, regardless of one's ability to monitor or control performance.

The next level of logical steps to take to support a tactic, strategy, and goal.

Click card to see term 👆

Choose a Study ModeView this study set

4 Leading Teams

Learning Objectives

After reading this chapter, you should be able to

Differentiate between a group and a team. Analyze different types of teams and what it takes to lead virtual teams. Describe common challenges for and dysfunctions of a team and how to overcome them. Name three components of a high-performing team. Identify the stages of team development. Describe the leader roles in team development of communicator, trust builder, and facilitator. De�ine 10 roles necessary for effective team development and performance. Evaluate leadership styles for effectiveness for team leadership. De�ine the Big Five characteristics of teams. Discuss four types of trust in the context of team effectiveness. Describe how to to address key team behavior problems Describe the three different types of team learning and how to promote them. Explain the importance of empowering team members and of verifying that there is agreement about organization support. Assess and evaluate teams and gaps in team leadership.

Exactostock-1527/SuperStock

The skills necessary to lead a team involve competencies needed for self- and one-to-one leadership and also prepare leaders for the task of leading an organization.

Hero Images/Hero Images/SuperStock

Introduction

The role of leading teams builds from and capitalizes on the competencies necessary for self- and one-to-one leadership. For example, leaders need to use their metacognitive skills, such as self-monitoring and self-regulation, to ensure they effectively model behavior important to team performance. Leaders will also want to extend their one-to-one performance management skills to help their teams set goals, to provide feedback to the team as a whole, to foster team learning and development, and to recognize, reward, and evaluate team performance. Given this role's focus on collective performance, developing the competency to lead teams will also help prepare leaders for the more complex role of leading organizations, which we discuss in Chapter 5.

We begin this chapter with an overview of teams, clarifying the differences between groups and teams. We then introduce you to six different teams. These case examples, which we will refer to throughout the chapter, will help you to more clearly see and apply the various concepts and ideas we present. For the majority of the chapter, however, we describe an eight-step process for developing and leading teams (London & London, 2007). The �irst four steps are for preparation, or preparing to lead a team, signifying that the leader needs to re�lect on what the team will need to get started and perform well:

Step 1: Identifying the type of team you are leading and challenges the team may face

Step 2: Creating the key elements of a high-performing team

Step 3: Planning your team's development

Step 4: Determining and developing your style of leadership

The second four steps are implementation steps, or actually taking the lead:

Step 5: Getting off to the right start

Step 6: Working smart

Step 7: Helping your team get better through learning, empowerment, and support

Step 8: Assessing your team's progress and achievements and measuring gaps

In particular, these eight steps are for creating and leading a high-performing team (London, 2007). But what does a high-performing team look like? To begin to answer this question, we next apply the Mone-London organization model to understand the characteristics of a high- performing team (see Figure 4.1).

The Mone-London organization model applies to leading teams just as it applies to leading one's self and direct reports. In a high- performing team, leaders play a number of roles, including the overarching roles of team director, facilitator, and developer. Leaders work with team members to clarify and establish the team's purpose and goals, in line with the initial, high-level expectations the organization— usually senior leadership—has set. In a high-performing team, performance is enabled by high levels of trust, the capacity to learn, and team member empowerment and ensuring the team leader and team member roles are executed as necessary. In this chapter, these enablers will be addressed within the appropriate steps in the eight-step process.

Figure 4.1: The Mone-London organization model applied to leading teams

The Mone-London organization model can be applied to team leadership: The team leader plays a number of different roles and, inspired and directed by organizational expectations, helps to shape the team's purpose and goals. Trust, learning, empowerment, and the proper execution of leader and member roles enable performance, and the team leader produces results by effectively preparing to lead and then taking the lead. The results, in turn, in�luence team leadership. All of this takes place in the context of the environment.

Before reading further, consider watching this video of leadership consultant Ray Jorgensen describing how to recognize the resources you have in a team and tap into those resources to make the most of the team you have. Jorgensen tells a humorous story of a small team of �ire�ighters who went above and beyond the call of duty: http://www.youtube.com/watch?v=cMBxj6N�ipE (http://www.youtube.com/watch?v=cMBxj6N�ipE) . To see another example of a team making the most of its resources, consider watching a New York City news station's coverage of yet another �ire-�ighting team that—years after the terrorist attacks on the World Trade Center on September 11, 2001—used the lessons learned from the tragedy to be even more effective: http://pix11.com/2015/09/10/fdnys- hazmat-team-shows-us-changes-made-after-911-and-how-it-trains-for-potential-catastrophic-events/ (http://pix11.com/2015/09/10/fdnys-hazmat-team-shows-us-changes-made-after-911-and-how-it-trains-for-potential-catastrophic-events/) .

In Case 1, the Emergency Room Lab Test Quality Improvement Team is assembled to help speed up the results received from the emergency room's lab.

Hero Images/Hero Images/SuperStock

4.1 Teams: An Overview

Steve Jobs, one of the founders of Apple, made the following statement during an interview on the television show 60 Minutes in 2003: "Great things in business are never done by one person. They are done by a team of people" (as cited in Beahm, 2011, p. 100). Jobs then explained that he was one of four people working together in a team, and they supported each other's strengths. The whole was greater than the sum of its parts.

Groups vs. Teams

A group is two or more people working together to produce a product or deliver a service. In contrast, a team is "a small number of people with complementary skills who are committed to a common purpose, performance goals, and approach for which they are mutually accountable" (Katzenbach & Smith, 1993, p. 45). Team members have distinct roles and work in tight coordination to achieve a common goal. In a group, members may have different reasons for participating. In a team, members are uni�ied by a shared goal, one that surpasses their individual goals. In a group, the leader delegates tasks to the members. In a team, the leader coaches the members individually to sharpen their motivation, abilities, and roles and, as a unit, to practice their coordinated interactions. Over time, the team becomes expert in applying these transactions and adapts as the situation changes. A high-performing team is one in which members understand their roles, have practiced their interactions, and coordinate to vary these transactions to meet changing and uncertain (sometimes unpredictable) conditions. Overall, a team, particularly a high-performing team, is more highly developed than a group, relying on tight integration and coordination among its members (Katzenbach & Smith, 1993).

Most certainly, teams possess characteristics that groups do not. When considered along a continuum of development and performance, teams are more advanced than groups. In this chapter, we will discuss teams rather than groups. Teams, however, can take on various forms. Some teams operate tightly, with all members having well-de�ined roles and working in close coordination with each other. Other teams can be a looser amalgam of members. They share a goal, but members do not even meet each other. They communicate electronically in real time (synchronous online meetings and chat rooms) or over time (asynchronous through email, blogs, listservs, and other means made possible by advanced Web technology). All teams have to work hard to be high performing.

Cases: Six Teams

The following are six examples of teams in different situations. We will refer to them throughout the chapter to demonstrate key points about team leadership. The cases are summarized in Considering Six Case Examples: A Summary at the end of this section.

Case 1: Emergency Room Lab Test Quality Improvement Team A new emergency room physician at a local hospital is concerned that the emergency room is not as ef�icient as it should be. She feels that lab results are not being received fast enough, and, because of that, decisions about patients are being made too slowly. Her experience at her former hospital suggests that lab processing could be improved, but she doesn't know what the problem is. This hospital is larger, and the emergency room handles many more patients than her former hospital did. The ER physician asks the medical chief to form a quality improvement team to examine the issue. The chief agrees and asks the hospital's internal audit staff to appoint one of the hospital's organization development specialists to facilitate the team. The team will follow a standard approach that the hospital has used frequently. The team will outline the process, collect data on the �low of samples and results, identify barriers and bottlenecks in the process, suggest improvements, implement the best suggestions, and track improvements.

The team consists of representatives from each department that has a role in lab processing. This includes representatives from the physicians who order tests, the nursing staff and medical technicians who draw the samples, the orderlies who move patients, the information technology staff who program the medical information system, the technicians who process lab samples, and the physicians

who read the tests and enter results into the medical system. The medical chief and the ER physician ask the assistant director of medical laboratories, John Pate, to lead the committee. He agrees but thinks the hospital is already very ef�icient in processing lab specimens for the emergency room and that there will be little room for improvement.

Case 2: Appliance Store Chain Anniversary Celebration Planning Team The owner of a chain of 35 appliance stores in three Midwestern states wants an event to celebrate the chain's 20th anniversary. The owner asks the vice president of marketing, Marisa Hernandez, to plan this event. It needs to include ads, sales, employee celebrations, bonus opportunities, and a new logo. With input from the owner, Marisa forms a team consisting of a district manager from one state, two store managers, the account manager from the chain's public relations �irm, and the chain's director of human resources. The owner then calls

In Case 5, Caitlin Smith organizes a community action team to push for a neighborhood park to be built instead of a big-box store. What challenges might she face?

Hero Images Inc./Hero Images/SuperStock

each team member to inform her or him of being assigned to the team. Marisa decides that the team will meet once a week, which means that the district manager and store managers need to drive 2 to 3 hours to the company's headquarters for the meetings. The store owner does not have any de�inite ideas about what the celebration should be like. He says he will leave that to Marisa and her team. He recognizes that they need a budget, and he sets aside $250,000. He tells Marisa that he expects this investment will increase sales by 10% during the celebration period, increasing the chain's pro�it to more than $1 million, more than covering the cost of the celebration.

Case 3: Museum Expansion Feasibility Analysis and Planning Team The board of a small-town museum wants to raise funds to build an addition for a hands-on exhibit that will attract more patrons. The museum is run by a director, Dorothy Chen, who works 20 hours a week and receives a small salary paid for by contributions, a small admissions charge, and pro�its from the gift shop. The museum is staffed totally by volunteers. The board members, several of whom have been on the board for more than 15 years, are people who have made major contributions to the museum in the past.

The board votes to ask its fundraising committee—which includes three board members and �ive volunteers—to consider the viability of raising enough money for the expansion. Dorothy thinks this is such an important initiative that she decides to set up a special subgroup within the fundraising committee to commission a design for the expansion, determine costs, and consider whether the committee can raise the money. Because local shops and restaurants would enjoy the bene�its of increased museum traf�ic, Dorothy invites the president of the local chamber of commerce to join the team.

Case 4: Newspaper Website Redesign Team The editor of a regional newspaper has asked the director of information technology to update and expand the newspaper's website. The editor wants an appealing, easy-to-use, state-of the-art website that will attract new readers online and as a result bring in more ad revenue and online subscriptions. The information technology (IT) director, Frank Goral, forms a team with a representative of the ad sales department, the editorial page editor, the Sunday magazine editor, a staff writer, and a graphics designer from the IT department. The editor does not provide a timeline or budget but says that he will follow the team's progress and react to any recommendations as they arise.

Case 5: Community Action Team Caitlin Smith, mother and PTA member, has been growing increasingly concerned during the past few years about the increased congestion in her town. Two new housing developments have been built, bringing more than 300 new families to an already overcrowded school district. A new strip mall, self-storage business, and big-box appliance store opened recently, bringing increased traf�ic along with their tax dollars. The two-lane roadway through the middle of town is being widened by the state. Now, a home supply store, part of a well-known chain, is in negotiations to purchase one of the last large parcels of land on a prime corner.

Caitlin thinks this corner would be an excellent space for a town park with soccer and baseball �ields, a track, and a playground. She speaks to a few friends, and they agree with her that the last thing the town needs is another large hardware store. There are two already, less than 8 miles away. She invites some friends to a meeting in her home to discuss what they can do. This leads to a larger meeting in the high school cafeteria. To Caitlin's surprise, more than 200 people attend the meeting. They discuss the issues and what they can do to lobby the zoning board, which will hear the store's application in 6 weeks.

Case 6: Regional Bank C-Level Team Samir Gupta, CEO of a regional commercial bank with 128 branches in three states, holds biweekly meetings with his immediate team, which consists of the vice presidents of �inance, human resources, marketing, branch management, business development, public relations, information systems, and loan management. The bank's pro�its have been on a roller coaster the past 4 years. The bank was riding high up until the crash in 2008. Samir had resisted the temptations of investing in the credit default swaps that brought down much larger institutions, but, as the economy dipped, the bank faced more bad loans as businesses struggled and more home mortgages went into default. Some tough decisions were made. The bank closed 28 branches and laid off more than 800 employees.

Currently, the bank is starting to see a positive bottom line, but employees are still worried about job security. The vice president for human resources recommends that the bank administer an engagement survey to measure employees' commitment to the bank, involvement in their jobs, and feelings of being challenged by their jobs. Also, the vice president of human resources suggests starting an employee values campaign that would occur alongside a planned advertising campaign highlighting the ethics and sound decisions of the bank.

The vice president for �inance disagrees. She sees no reason to raise employees' expectations, as there may still be cutbacks ahead. The information systems vice president offers to develop software for an online survey, but the vice president of �inance wonders if employees

would doubt the survey's anonymity and see the ethics campaign as lip service and internal marketing, rather than a serious statement about how the bank does business.

Considering Six Case Examples: A Summary

Case 1: Emergency Room Lab Test Quality Improvement Team

Team leader: John Pate, assistant director of medical laboratories Goal: Improve the speed with which lab tests are returned to the emergency room

Case 2: Appliance Store Chain Anniversary Celebration Planning Team

Team leader: Marisa Hernandez, vice president of marketing Goal: Plan an event to celebrate the chain's 20th anniversary

Case 3: Museum Expansion Feasibility Analysis and Planning Team

Team leader: Dorothy Chen, museum director Goal: Determine the feasibility of raising money for an expansion

Case 4: Newspaper Website Redesign Team

Team leader: Frank Goral, information technology director Goal: Upgrade and expand the newspaper's website

Case 5: Community Action Team

Emergent leader: Caitlin Smith, PTA member and mother Goal: Gain support for a new town park

Case 6: Regional Bank C-Level Team

Leader: Samir Gupta, CEO Goal: Address poor employee morale after layoffs

You have probably already noted that, unlike the other cases, Case 5 is an example of an initially leaderless team. Caitlin was the instigator, and she emerged as the leader as the meetings progressed. Case 6 is about an ongoing work team, while the other cases are temporary teams with speci�ic objectives. The goal of the leader in each of these teams is to create a high-performing team.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the four steps for preparing to lead a team? 2. What are the four steps for taking the lead of a team? 3. What is the difference between a group and a team? 4. Why are these case examples considered teams instead of simply groups?

Hollenbeck, Beersma, and Schouten's three- dimensional framework can be useful for analyzing a team's dynamic.

Monkeybusinessimages/iStock/Thinkstock

4.2 Step 1A: Identifying the Type of Team You Are Leading

We mentioned at the start of the chapter that we will be outlining an eight-step process for developing and leading teams. The �irst four steps detail the preparation for team leadership, while the last four steps de�ine the implementation of team leadership. In the next �ive sections (4.2–4.6), we describe each of the four steps involved in preparing to lead:

Step 1: Identifying the type of team you are leading and challenges the team may face

Step 2: Creating the key elements of a high-performing team

Step 3: Planning your team's development

Step 4: Determining and developing your style of leadership

We will �irst discuss the �irst part of Step 1, which involves identifying the type of team you are leading. We will discuss identifying the challenges your team may face in Section 4.3.

Types of Teams

There are many types of teams in organizations, each of which has its own challenges. Hollenbeck, Beersma, and Schouten (2012) created a three- dimensional framework for differentiating teams. The three dimensions are skill differentiation, authority differentiation, and temporal stability.

Team skill differentiation refers to the extent to which a team requires members with different skills to work together to accomplish a task. An example would be a surgical operating team that requires a surgeon, an anesthesiologist, a nurse, and other medical technicians. These skills take considerable time to develop, and they are not easily interchangeable.

Team authority differentiation refers to the extent to which a team has a designated leader who orchestrates the team process and a clear structure that differentiates members' authority. An example would be a team with a supervisor and workers who are expected to follow the leader's direction. Other teams may have members who emerge as leaders at different times as the task requirements change because the team is making progress toward its goal.

Team temporal stability refers to the extent to which the team is ongoing and relatively stable in membership compared to a team that is temporarily set up to accomplish a speci�ic activity and then disbands (for instance, an event planning group).

These dimensions can be used to examine group process and to understand potential barriers to work effectiveness and improving team functioning. For instance, a team that is high in skill differentiation could bene�it from the members informing each other about their respective areas of expertise. A team that is low in authority differentiation might bene�it from the members voting for a leader. A team that is high in temporal stability might need some changes in members to bring in fresh ideas.

Table 4.1 describes 10 common types of teams and their membership characteristics and tasks. The teams vary in the diversity of membership, the extent to which their work is structured (following set procedures or steps designated by the leader or the nature of the work), and stability. As we will discuss in Section 4.3, leaders face dif�iculties often because of external pressures to produce, resource constraints, and disagreements or uncertainties about roles, goals, tasks, and time frames. Note that these types of teams may be at various stages of development. Some may be better called groups, in that members do not have to work closely together or produce a high level of performance. At this point, it is important to understand that teams have different purposes and challenges. Each type's speci�ic challenges will be discussed in detail in Section 4.3.

As you review Table 4.1, think about which types of teams you have participated in and which ones you have led. Then, complete Assessment 4.1 based on what you have read so far and as preparation for the remainder of this chapter.

Table 4.1: Types of teams

Type Description

1. Basic research Focus is on expanding a particular scienti�ic body of knowledge without a particular product in mind Members are scientists or engineers; possibly an interdisciplinary team

2. Research and development

Focus is on developing new products and services Members are experts in various �ields of science and engineering

3. Product development teams

Focus is on taking existing technology to develop new products and services In addition to design and engineering experts, other members are likely to be in various aspects of business, such as market research, �inancing, and production

4. Task forces Focus is on accomplishing only a particular task or objective; task force exists only until goal is reached Members come from different departments and disciplines

5. Committees Focus may be on general goals or speci�ic activities (for instance, to run events or oversee production for the short or long term) Members may represent different departments or functions Leader may be appointed by an executive or be elected by the committee members

6. Advisory boards and advisory councils

Focus is on providing advice periodically Members have expertise and background that is meant to be helpful Members come from different organizations that have little connection to each other or the organization they are advising

7. Boards of directors Responsible to the organization's stockholders or members Members are from different organizations that have agreed to have �iduciary responsibility in guiding the organization Members may be formed into different subcommittees to accomplish speci�ic tasks (e.g., executive compensation committee)

8. Clubs and membership organizations

Focus is on furthering a common interest Members are volunteers Members elect of�icers who serve for a designated term and follow bylaws Leader's role is to assign and coordinate tasks, appoint committee chairs, and be responsible for �inances

9. Quality improvement teams

Focus is on improving the quality of products or services Members represent different parts of a work process and volunteer or are appointed Leader may be elected or appointed by a company executive The group learns and then follows a structured format to identify problems and implement improvements A facilitator trains members in the process and keeps team on track

10. Structured work teams

Focus is on carrying out a speci�ic task, such as in-�light crews, surgery teams, etc. Members have speci�ic roles and responsibilities Members learn their roles and are interchangeable with others who are expert in the same roles

Assessment 4.1: What Has Been Your Experience With Teams?

Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Assessment4.1.pdf) to download this assessment.

Instructions: Think of a team you belong to now or belonged to in the past. Answer the following questions:

1. What type of team was it? 2. What was your role? 3. What challenges did you face as the leader or a member? 4. Overall, was it a positive experience or negative? 5. What was the leader like? 6. What were the members like? 7. How did the leader treat the members? 8. How did the members treat the leader? 9. Were the task and process clear?

10. In what ways did the team become a team? 11. Did the team accomplish what it was supposed to?

We suggest returning to this assessment from time to time to review your answers in the context of what you have learned about leading teams. Hopefully, your answers and analysis will be enriched by your enhanced understanding of team leadership, process development, and effectiveness. These questions will also help you think through the types of teams you are joining in the future and what you, as a leader or member, might do to increase the team's performance.

Given the steady incorporation of technology into the workplace, it is important to discuss the bene�its and challenges of virtual teams.

Hero Images Inc./Hero Images/SuperStock

Virtual Teams

Given the increasing use of technology in the workplace, we feel a special word on virtual teams is warranted. The term virtual team refers not so much to the type of team but to how the team works. What makes a team virtual? Virtual teams communicate electronically. Members send messages by email. They have conference calls, possibly on the computer through voice over Internet protocol (VOIP) with video. They send instant messages to one another. They have websites for sharing information (blogs, discussion threads, chats). Websites and social media allow tracking progress and staying in touch. Moreover, virtual teams use technology to conduct their work. For instance, they use online surveys to collect data, online search to seek information and resources, and aggregators to draw information from different sources. As these technologies become "smarter," they are increasingly useful for speeding up communication, teamwork, and team learning. Members of virtual teams can interact synchronously (altogether at one point in time) and asynchronously (over time through messages and postings).

One challenge for leaders is that virtual teams must learn to work well electronically to be effective. Members have to learn about each other and contribute in different ways than they might if they were face to face. Nonverbal communication becomes dif�icult, and the nuance of direct interaction is diminished, taking members more time to get to know one another and to learn transactions that need to become second nature.

Another challenge is that because all members have access to the technology, they do not have to wait to be told what to do, when to get in contact, or whether an idea is good. Any member can formulate an idea and initiate action by searching for information, contacting other members, and testing solutions. Of course, this is the case with teams that meet only in person. However, electronic media now allow rapid communications. Members do not have to wait for a meeting to discuss issues within the larger team or a subgroup. In fact, Bell and Kozlowski (2002) posited that the challenge for virtual team leadership is to maintain control when members are dispersed in space and interactions are spread across time. Leaders need to realize and accept that software capabilities can be designed to substitute for their traditional leadership behaviors, such as monitoring tasks and processes, recording interactions, retaining suggestions, encouraging participation, and recognizing and acknowledging individual team

members' contributions. Although virtual teams have the same goals and expected outcomes of face-to-face teams, they can be more �lexible, adaptive, and responsive than traditional teams because it is not necessary to coordinate members' presence for meetings or having them colocated for ongoing work.

Karen Sobel-Lojeski and Richard Reilly (2008) coined the term virtual distance, which we introduced in Chapter 1, to refer to the psychological feeling of separation from other team members, which creates yet another challenge for team leaders. Members may feel tangentially involved, uncertain about the team's purpose, and unclear about members' perspectives. As a result, leaders of virtual teams will have to overcome the potential of psychological distance by maintaining communication, helping members to explain their backgrounds and viewpoints, and recognizing individual members' contributions to the team effort.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the different types of teams, and what challenges do they face? 2. What are the key characteristics that make a team virtual in nature?

4.3 Step 1B: Identifying the Challenges You May Face

Preparing to lead is about understanding the challenges you are facing as a team leader. In this section, you will learn how to evaluate the key elements of your team in terms of possible challenges and what each challenge means for your role as a leader.

Before reading further, think about a team you belong to now. Is it a committee, subcommittee, task force, club, board, or some other type of team? Now, answer these questions:

What are the key features of the team? What are the challenges for team members? What are the challenges for the leader?

Assessment 4.2 lists 10 categories of characteristic challenges for teams. Use Assessment 4.2 to identify the challenges your team faces. We will next consider what can be done to overcome these challenges.

Characteristic Challenges

Each of the 10 categories has different implications for leadership. Also, each category represents a continuum, in that there are varying degrees of each element and the situation may change over time. What is not a challenge today may become a problem tomorrow. Conversely, situations that are dif�icult today can be resolved and promote team effectiveness later. Consider each of the categories, the challenges, and how to overcome them. Also consider how these categories apply to the different teams' challenges in Table 4.1 and how each type's challenges might be addressed.

Purpose If the team's purpose is not clear, the team may wander aimlessly in its work. The leader and the members can work together to clarify the team's purpose. This might entail obtaining more information from top executives or other constituents about what they expect from the

It is important for diverse teams to understand their differences so that they can use those differences to enhance rather than weaken the team.

Caia Images/Caia Images/SuperStock

team. Recall the importance of providing direction, which we discussed in chapters 1 and 3.

Motivation If the team members are not motivated, the team will naturally make little headway on its goal. The leader must consider why the team members are not motivated. Perhaps the wrong individuals are on the team. Maybe they do not see the value of the team's work. Maybe they do not trust each other. If not, what led to this? Perhaps they just haven't had time to work together.

Size If the size of the team is large, it may become unwieldy without proper coordination. First, how many members does the team have? Maybe the real problem is that the different members do not have speci�ic roles. Sometimes, teams are formed to represent a variety of constituencies or functions. Or the goal is to have as many people involved as possible. Some boards of clubs and organizations are formed that way, with the idea that if members are on the board, they will be engaged in the club's activities. But do the team members have something speci�ic to do on the team? If not, size may get in the way. Even if they do have speci�ic roles, the more people involved, the more dif�icult the coordination task. This is not necessarily bad. But it does add to the leadership challenge.

Diversity If a team's members are diverse, they will have more dif�iculty understanding each other's perspectives and potential contribution to the team. Diversity may be a function of member characteristics that have little to do with the team's work—for instance, the race, gender, and age of the members. Such characteristics and stereotypes associated with them may shape the members' viewpoints and expectations, and this could in�luence the team process. Other characteristics of diversity may have more direct effects on the team's functioning, such as the professions and expertise that the different members bring to the team. The team members need to gain an appreciation of one another's differences and how these differences can enhance the team's operations. For instance, if members represent different areas of functional expertise and backgrounds, they may not recognize how the different functions can contribute to the team. Also, members may conceptualize the team's goals and tasks differently depending on their professional backgrounds. The leader can ask team members to discuss the different ways they see the team's goals. Making these differences evident early in the team's process can prevent misunderstandings later.

Members may also have different vested interests or reasons for being on the team. Sometimes these different reasons are evident (such as providing a particular type of expertise); other times, this may not be the case (e.g., a member may want to be on the team in the hopes that it will lead to a future promotion). So the reason for membership may be self-serving as much as or more than the shared purpose of the team. This is not necessarily bad unless it causes con�lict. Acknowledging these different reasons early in the team process may be a good idea.

Turnover If team members come and go—in other words, there is high turnover—it will be dif�icult for the

team to work together and make progress. This may occur if members are inconsistent in their attendance, which may result in unproductive meetings. If members withdraw or resign from the team, the remaining members need to pick up the work, or if new members are recruited, they need to be oriented and integrated into the team. Welcoming and indoctrinating newcomers is challenging because they do not have the background or shared experiences of the seasoned members, who know each other well and have developed effective ways of interacting. This often happens when members are volunteers who can come and go as they please. They may have roles and responsibilities and the team may have bylaws or agreed-upon rules, but the members do not have to be there.

Goal Clarity If goals are unclear and not shared among the members (even if they agree on the purpose), member commitment to and identi�ication with the team may become low, and the team is likely to �lounder, accomplishing little. Leaders can use the goal-setting framework presented in Chapter 3 to ensure goals are clear and motivating.

Time Frame Pressure If there is considerable time pressure to accomplish a task, the team will be stressed to work hard, fast, and smart. Team members will need to know what they aim to accomplish and how to get it done, including who does what when. Even when the tasks are clear, time pressure can introduce confusion and disorientation—the feeling that things are not going well or members doubting that the team can be successful. A leader should consider setting a realistic schedule that recognizes pressures and goals. Note that some time pressure may be good in stimulating members to devote time to the team and not procrastinate in meeting their commitments.

Process If the process is unstructured, the team may waste time, not knowing what needs to get done when. This can happen when the team is trying to solve a problem with which the members have little experience. If there is no set script and no steps to follow, the team needs to invent its own method, including the tasks that are needed and the extent to which members need to work together because the tasks are interdependent. Members also may not agree on the methods for achieving the team's goals. The leader can introduce structure or help members experiment with different work methods to see what works best. This may require a focus on the transactional aspects of leadership (that is, a focus on how to get things done), and, perhaps, an adaptive leadership style showing a willingness to try different work methods.

Leader's Role The leader's role can make the leadership experience more taxing or effective for the leader and the members. Being a transformational leader who empowers and facilitates member engagement may have long-run bene�its but may take time for team members to accept. If members expect to be directed because that's what they have experienced before, a more empowering leadership style may cause the members to be dissatis�ied. If the task is clear, the members may prefer to be assigned tasks to get the work done expeditiously without debate among the team. If the task is unclear and members have expertise and experience that can shape the team's direction, then a leader who recognizes the value the members bring to the team and allows them to use their experience will be appreciated by the members. But if the leader tries to control all elements of the task despite the members' abilities to add value, the leader will likely meet resistance. So the leader's role needs to match the needs of the team members and the task. The leader misreading or ignoring the situation can lead to unanticipated challenges.

Leader's Power If the leader's power is low, the members are unlikely to respect the leader's direction, at least initially. Power is a function of several factors—the leader's position in the organization, support from other people in powerful positions, control over resources that are needed for the team to be successful, experience, and personality (e.g., the elusive concept of charisma) (Etzioni, 1964). Recall from Chapter 1 that leaders can draw from �ive sources of power to effectively in�luence others: reward, coercive, legitimate, expert, and referent.

Table 4.2 revisits the types of teams outlined in Table 4.1 and describes possible leadership challenges and possible ways leaders can address these challenges for different types of teams. Considering Six Case Examples: Key Challenges outlines the key challenges faced by each leader in the six teams discussed earlier. Once again, think about a team you lead or of which you are a member. Respond to the following questions to further clarify the challenges your team faces:

To what extent do you and your team members have the talent, background, and motivation to accomplish the team's goals? To what extent does your team have to do something no one on the team has done before? To what extent is the task complex? Does it have many different components, and do these components need tight coordination? Is the work ambiguous and uncertain? Do you have few, if any, models to follow, and do you have the feeling your team is paving new ground? To what extent does the team need resources—time, money, facilities, the help of people outside the team, or other? Are these resources available?

As you will see later in this chapter, having the right people on the team, knowing what needs to be done, and having the time to do it are key elements of a high-performing team.

Table 4.2: Leadership challenges for different types of teams

Type Possible leadership challenges Possible leadership interventions to address challenges

1. Basic research Goals are long range Experimental methods and results may not be clear Members may disagree on research methods or design Members may be frustrated by lack of progress and long-term nature of the research Leader is likely to be a scientist who does not have leadership training Leader will feel pressure from funding agency or organization, especially if positive results are expected Interdisciplinary team may have members from different �ields who have different research methods and variables

Have frequent, honest, and clear discussions about different perspectives, pressures, frustrations, and intermediate goals Agree on goals to achieve along the way to the team's principal goals Analyze results from the perspective of different disciplines and discuss among the team members

2. Research and development Communication may be dif�icult between experts with different discipline backgrounds Goals may be ambiguous Product or service may not be known initially or may change over time depending on trials

Ask members to describe their visions of the outcome(s) they expect, their goals, and methods of achieving them

3. Product development teams Progress may be at a fast pace with expectations to be �irst to market and beat the competition

Work with team members to set a realistic production timeline recognizing pressures as well as goal to maintain quality

4. Task forces Individual member roles may not be de�ined initially Task force may understand the goal but have to determine how to achieve it and then carry out the work Members work for different departments so they do not report directly to the task force leader outside of the temporary task force; leader has little control over members and this is a temporary, part-time portion of each member's job

Work with the team members to gain their input about the roles that are needed and how they can best contribute; jointly establish each team member's roles and responsibilities

5. Committees Committee goals may not be clear Committee may have multiple goals Members do not have speci�ic roles Members may perform different leadership functions when their particular expertise is needed (e.g., directing the group on how to address a particular issue about which they have had unique experience)

Engage all committee members in a process that clearly de�ines each goal and prioritizes the importance of those goals, which will help focus members' motivation and efforts Review the range of team roles with the committee members and develop a rationale for assigning different committee members different roles

6. Advisory boards and advisory councils

Members have no de�inite role Members may be volunteers Members may not know each other well and may have little experience working together Leader may not be sure what to ask the members because, for instance, the leader lacks expertise in the disciplines of the other board members Leader may have formed the board to show involvement from outside the organization but does not have direct responsibility other than to provide advice when asked Member commitment may be minimal Members may not know much about the organization they are advising

Ask team members to describe their reasons for volunteering to serve on the board Ask members to describe how they believe they can best contribute relative to their interests and abilities Provide the team with information and a rationale for why the team needs their input

7. Boards of directors Leader is likely to be president, chief executive of�icer, or chair of the board, and as such has speci�ic responsibilities Leader has to respond to multiple stakeholders including stockholders and members but also employees, employee unions, customers, the community in which the organization operates, etc.

Identify the leader's responsibilities and the stakeholders to which the leader needs to respond

8. Clubs and membership organizations

Leader serves club members and so needs to understand their interests Leader may have little discretion; decisions may be by vote of the board Leaders who are club founders may �ind their control usurped by newly elected leaders Club members may have different reasons for joining or have different viewpoints, causing con�licts Members' and the leader's personalities and egos may create emotional issues

Balance members' vested interests with the mission of the club or organization; be sure all members know what the mission is

9. Quality improvement teams Members represent different disciplines and have different ways of viewing a work process Facilitator may raise issues about how well the group is working together, limiting the leader's role Leader and facilitator need to develop a close working relationship and delineation of their mutual roles Progress may be slow

Establish rules by which the team will operate, explain the step-by-step process that the team will follow, and educate team members in ways to collect data, identify key barriers to more effective outcomes (that is, the reason or reasons for errors), and try ways to overcome these barriers

10. Structured work teams Leader monitors input and output; work process is supposed to be methodical and follow a structure that is similar in all teams A team member may need to be disciplined or replaced Con�lict may occur due to hierarchy of responsibility and authority based on the roles of team members

Explain the structure of the work to team members and explain why it is important Deal with con�lict openly and immediately; allow differences in viewpoint to be aired; explain why the leader may need to be arbitrator

Many factors can contribute to a team's dysfunction. What do you think these factors are, and how can a leader anticipate and, ultimately, avoid them?

Nick White/Photodisc/SuperStock

Considering Six Case Examples: Key Challenges

Case 1: Emergency Room Lab Test Quality Improvement Team. John Pate, the leader, does not perceive a problem and may be out to prove there is not a problem. John needs to be open to hearing others' views and to collecting relevant data.

Case 2: Appliance Store Chain Anniversary Celebration Planning Team. Marisa Hernandez, the team leader, is under the gun to generate a celebration campaign that will be pro�itable and involve employees, essentially rewarding employees while attracting more customers and increasing pro�its. She faces pressure to have everything planned in time for the store's 20th anniversary and to develop a campaign that "works"—it needs to grab customers' attention and pocketbooks.

Case 3: Museum Expansion Feasibility Analysis and Planning Team. Dorothy Chen wants the expansion, but this is a tall order for a small museum. Will big donors come forward? How can businesses and community members become involved? Will they be as excited as she and the board are about the project?

Case 4: Newspaper Website Redesign Team. Frank Goral knows there is no magic formula for an excellent website. Also, for a newspaper, there are multiple perspectives to consider: advertising clients, readers, editors and writers, graphics, and bandwidth. Other considerations include the competition and potential links to other sites, maybe joint efforts with radio stations or community teams.

Case 5: Community Action Team. Caitlin Smith was surprised at the positive reception her initiative received from the community. The challenge is what to do about it—how to harness the early motivation of the community to effect change.

Case 6: Regional Bank C-Level Team. Samir Gupta, CEO, needs to listen closely to his of�icers and facilitate a discussion of the issues, so they can come to an agreement about how they will proceed. He could make a decision unilaterally. For instance, he could heed the warning of the vice president of �inance that this is not the time to conduct an employee survey to measure engagement or to expect more from employees. Alternatively, he could take the advice of the vice president of human resources, conducting the survey and starting a values campaign to encourage employees to see how they are part of the new marketing focus on trust and values and the future of the bank's success. When would the right time be for such an initiative if not now? Can Samir get his team to agree on a strategy?

Other Potential Challenges

Let's continue our discussion of the possible challenges of leading teams by anticipating factors that can go awry and make the team dysfunctional.

Five Dysfunctions Lencioni, in his book The Five Dysfunctions of a Team (2002), identi�ied �ive common problems teams face:

1. Members may not trust each other or the leader, as described earlier in this section and in Chapter 3. They may �ind that members do not meet commitments they have made to the team; the leader may have made a promise but did not follow through.

2. The leader and members may fear con�lict and so avoid discussing issues. The team may ignore problems and let them fester. Members become dissatis�ied, stop coming to meetings, and fail to meet their commitments.

3. The leader or members may lack commitment to the team. They may have been assigned to be on the team, they do not report directly to the team leader, they do not have a strong feeling of attachment to the team, or they may be dissatis�ied with the leader, fellow members, or the team's process and goals.

4. Members avoid accountability. They blame others for failure to meet commitments or accomplish the team's objectives. This may be true of individual members. It may also be true of the leader and the team as a whole. The team members may unwittingly collude to excuse poor behavior or lack of progress by attributing problems to factors beyond their control.

5. The leader and members may not give adequate attention to accomplishing results. The methods and work process may take on a life of their own, focusing members' attention on issues about the process and not progress toward the desired goal.

According to Lencioni, one builds a high-functioning team by addressing all of these �ive dysfunctions. If just one of these problems is present, the team will be dysfunctional. So, team members might trust in each other and the leader, be accountable, and attend to results,

but if they fear con�lict and are not committed, the team will be dysfunctional. Lencioni illustrated the characteristics of a high-functioning team with a pyramid, starting with a foundation of trust (see Figure 4.2). We will discuss building trust in teams later in the chapter, but we recommend watching a short video featuring Lencioni as he discusses the importance of trust: http://www.youtube.com/watch? v=Kj9hw0ngPJU (http://www.youtube.com/watch?v=Kj9hw0ngPJU) .

Figure 4.2: Lencioni's pyramid: Five dysfunctions of a team

Team leadership theorist Patrick Lencioni depicts the �ive characteristics of a high-functioning team as a pyramid, built on a foundation of trust.

Source: Republished with permission of John Wiley & Sons, Inc., from The Five Dysfunctions of a Team: A Leadership Fable by Patrick Lencioni, 2002; permission conveyed through Copyright Clearance Center, Inc.

Note that Lencioni's pyramid stems from his extensive consulting experience. While it is useful in conceptualizing, avoiding, and overcoming sources of team dysfunction, more research is needed to understand just how mistrust, fear of con�lict, lack of commitment, avoidance of accountability, and inadequate attention to results affect team processes and outcomes. Yet, the literature on team interaction, facilitation, and improvement is extensive and ever growing, so if you want to know more about a speci�ic issue or dysfunction, you can search your library's online system or an academic search engine such as Google Scholar. We also cite literature throughout this chapter to support our conclusions.

As you read further, think about what you would do to test the concepts we present. For example, to test Lencioni's model, you could (a) compare successful teams with those that were less successful but had similar characteristics (e.g., similar number of members, background of team members, work goals, and time frames); (b) survey members about their group and compare the results against the team's outcomes, as evaluated by stakeholders; or (c) observe and analyze team processes to identify member and team characteristics that are related to member behavior and team interactions. Of course, Lencioni's �ive dysfunctions are not necessarily the only ways teams can falter. Can you name other problems teams may confront? For the remainder of this section, we discuss the potential dysfunctions of role clarity, member interdependence, and groupthink.

Role Clarity and Member Interdependence Role clarity and member interdependence can be sources of stress and frustration or of change and innovation (Thompson, 1965). Role clarity refers to the degree to which team members have and are aware of their speci�ic jobs or functions on the team. Member interdependence refers to the degree to which members rely on one another. Table 4.3 provides examples of different types of teams with different degrees of role clarity and member interdependence. Factory assembly lines are likely to have clear roles for employees who work independently, but together, they get the job done. Flight teams, surgical teams, musical groups, and sports teams also specify clear roles for members, but the members are highly interdependent. One member of the team cannot do the job alone. Members of boards of trustees and task forces are likely to have independent activities and opinions, but their individual roles may not be clear. Committees and research

and development teams are also unlikely to specify clear roles for members, and members of these teams may be interdependent in that the work of each member depends on the work of the other members.

Table 4.3: Examples of role clarity and interdependence in teams

Roles Low member interdependence (independent) High member interdependence

Clear Factory assembly line Flight team, surgical team, symphony orchestra, sports team

Unclear Board of trustees, task force Committee, research and development team

Unclear roles and the need for member interdependence create stresses on a team and will be especially problematic when members need to agree and work collaboratively toward a common goal. These are indeed potential dangers in our case examples (see Considering Six Case Examples: The Possibilities of Dysfunction). Generally, the team leader's challenge is to help resolve ambiguity and develop and nurture interdependence so members understand their roles and how the roles work together for a common purpose. This may entail training, practicing, reaching consensus about work methods, trying different ways of interacting, brainstorming ideas, and, most importantly, recognizing and respecting each member's contribution to the team.

Some teams function in relatively stable environments. However, many teams function in more unstructured, dynamic, or indeed sometimes chaotic environments. Such conditions might include severe time pressure and resource constraints, no appointed or elected leader, members who have not had experience working on the task before—maybe because no one has—and strong feelings and different vested interests among members. These conditions might occur in a crisis, such as a natural disaster, bankruptcy, or pandemic illness. Lencioni's �ive potential dysfunctions of a team (lack of trust, fear of con�lict, low member commitment, avoidance of accountability, and inadequate attention to accomplishing results) become even more critical under these conditions.

Considering Six Case Examples: The Possibilities of Dysfunction

Case 1: Emergency Room Lab Test Quality Improvement Team. Members may be skeptical of John Pate's desire to make changes.

Case 2: Appliance Store Chain Anniversary Celebration Planning Team. The team members may not feel as accountable or as pressured as Marisa Hernandez to make the celebration a success.

Case 3: Museum Expansion Feasibility Analysis and Planning Team. Dorothy Chen is worried that the members of her team will not be as committed as she is to the expansion. They may think it is a good idea generally, but will they put up their time and money?

Case 4: Newspaper Website Redesign Team. Frank Goral needs everyone on the same page. Team members need to express their goals from their perspectives, agree on a feasible design, and work together to implement it. They may not see how they can help the process and want to leave it up to the IT and graphics experts. Then they may complain that the new site fails to meet their needs. Frank is afraid the effort is doomed before it starts.

Case 5: Community Action Team. Caitlin Smith realizes that the community could become frustrated with a lack of direction. Caitlin needs some organization and structure, as well as concrete goals and steps for achieving them.

Case 6: Regional Bank C-Level Team. Samir Gupta needs a team of bank of�icers who are in agreement about how to encourage and engage employees. Disagreement at the top of the bank would spread quickly, leading the bank to �lounder and further weakening employees' motivation.

Groupthink Finally, another potential team dysfunction is called groupthink. This term was coined by social psychologist Irving Janis to refer to groups ignoring outside opinions, having no clear decision-making rules, and simply going along with a prevailing opinion (Janis, 1972, 1982). As a result, the group makes faulty decisions. Members may have differing individual opinions, but they fail to voice them for fear of being seen as wrong or not being a team player. Manz and Neck (1995, 2004) responded with the term teamthink to refer to ways to avoid groupthink. Teamthink includes using behavioral strategies—for example, goal setting—and reinforcing behaviors with consequences, such as rewards for positive behaviors and outcomes and penalties for dysfunctional behaviors (e.g., being asked to leave the team or remain silent for a period of time). Other teamthink ways include members learning how to regulate and monitor their own behavior during team interactions and how to assess and increase awareness of the role they play on the team—the impact they have on the team members and the team's work. Using constructive thought patterns also promotes positive teamthink. Team members learn to identify dysfunctional and irrational statements and beliefs and call attention to them as well as visualize and describe to each other what they expect constructive group interactions and outcomes to look like.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the 10 elements of a team that can cause challenges for leaders? 2. According to Lencioni, what factors can make a team dysfunctional? 3. What is meant by groupthink? 4. What is meant by teamthink?

High-performing teams require members with talent and motivation, clarity regarding objectives, and time to complete those objectives.

Caia Images/Caia Images/SuperStock

4.4 Step 2: Creating the Key Elements of a High-Performing Team

Katzenbach and Smith (1993) described high-performing teams as being stronger in all the basic characteristics of a team. Compared to average teams, high-performing teams have a deeper sense of purpose, more ambitious goals, better ways of working together, a greater sense of mutual accountability (responsibility to one another), and tighter linkages between complementary skills (knowledge and abilities that work together to accomplish the team's goals). In high-performing teams, members share leadership in that they take initiative from each other depending on who has the knowledge, makes the suggestions, provides information, or in other ways leads the group by taking on the role that is needed at the time.

To be the best a team can be—that is, high performing—there are essentially three key requirements (Ericksen & Dyer, 2004; London & London, 2007):

1. Have members with the right talent and motivation. 2. Be clear about the task. 3. Have time to get the work done and members who have the time to participate.

Of course, these are more easily said than done. Yet keep in mind that they are structural, not interpersonal. That is, you control these factors by virtue of the people you select, the nature of the task (how you de�ine it and outline its components), and the schedule you create for meetings and working on tasks. If you recruit people who want to be on the team and have the time, skills, and experiences you need, the team will be off to a good start. If you and the team members have a clear idea of what needs to be done and who is going to do it, you will have an easier time than if the task is ambiguous. And if you follow a tight schedule and have agendas for meetings, you will proceed expeditiously, if not unhampered.

Once again, think about a team you lead or of which you are a member. Consider the following questions:

Do team members have the skills, knowledge, and abilities needed for the work? Are the members clear about the team's goals? Were they clear about the team's goals from the inception of the team? If not, how did this clarity evolve? Or did it? Do the members feel the group's task is important? Do the members know each other well? Did they get to know each other well enough early on so that they know how each person can contribute to the group? Do the members have the time they need to work on the task? Do the members have a clear idea about their roles, that is, who does what when? Does the team meet deadlines? Does the team accomplish its goals? Are the team members proud of the team's product?

Overall, does your team have the three components needed to be a high-performing team: talent, task, and time? If your team doesn't, you now know the actions and steps the team must take. If your team does, you'll be ready to consider the next step in preparing to lead a team. We end our discussion of Step 2 with a look at each of the six cases in Considering Six Case Examples: Talent, Task, and Time. Consider the questions raised and determine the extent to which each team can be high performing and what critical changes might be necessary to make the teams so.

Considering Six Case Examples: Talent, Task, and Time

Case 1: Emergency Room Lab Test Quality Improvement Team

Does John Pate have the right people on the team—those with expertise in different areas? Will they have the time to devote to the team? Will they understand the need to explore what is going on and consider ways to improve emergency room operations, or will they have preconceived notions about what is needed and not be open to new ideas?

Case 2: Appliance Store Chain Anniversary Celebration Planning Team

Did Marisa Hernandez choose team members who care about the store and are motivated to increase sales and celebrate the store's anniversary?

Case 3: Museum Expansion Feasibility Analysis and Planning Team

Do some members of Dorothy Chen's team believe that they could never raise enough funds for the expansion?

As a result, will they be naysayers and not be willing to discuss possibilities or envision what type of expansion may be feasible?

Case 4: Newspaper Website Redesign Team

Will the people working with Frank Goral be able to collaborate to integrate their ideas and implement a workable and dynamic web design? The expertise each person brings to the team is clear, but Frank needs to work out with them how to work collaboratively.

Case 5: Community Action Team

Does Caitlin Smith really know the background and motivation of the different community members who attended the �irst meeting? Will there be some people who have a community action background? Will some people give up easily, feeling there is no way to "�ight city hall"?

Case 6: Regional Bank C-Level Team

Can Samir Gupta keep the lines of communication open between his top of�icers and between the of�icers and the employees, as everyone is wary about the future, fearful for their jobs, and concerned that they are not appreciated suf�iciently? Do the current vice presidents have what it takes to move the bank into sustained pro�itability? Are they willing to work together effectively? Will they open two-way channels of communication with employees? Would the employee attitude survey accomplish this?

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the three key ingredients to a high-performing team, and how do you de�ine them? 2. How do the three key ingredients reduce the potential for dysfunction and improve the team's chances for success?

In order to build a high-performing team, it is imperative that time is taken to promote development.

Hero Images Inc./Hero Images/SuperStock

4.5 Step 3: Planning Your Team's Development

Teams become high performing over time. This is known as team development, during which the effectiveness of the work group is continually enhanced. True, having the talent, task structure, and time are key ingredients. However, the leader and members need to take the necessary actions at different points along the way to ensure the team is developing and becoming high performing. In this section, we take a look at stage-based models for how teams develop and consider three key roles the leader plays in developing the team over time. Then we present 10 roles, which can be held by either team leaders or team members and are important to overall team development and performance.

Stages of Team Development

Team development can be de�ined as a series of stages that occur over time. One well-known model of team development was outlined by Bruce Tuckman (1965), who described �ive stages: forming, storming, norming, performing, adjourning. The stages do not necessarily happen in a lock-step sequence, and each stage may take different lengths of time. Also, the stages may repeat depending on what is happening on the team. Each stage poses challenges for leadership.

As the team is formed and begins work, the leaders can ask team members to introduce themselves and to indicate how their background or experiences �it the needs of the team. This is called identity negotiation (Polzer, Milton, & Swann, 2002). Identity negotiation allows the team members to know each other better and, as such, know what to expect from others based on their prior experiences and major accomplishments. For instance, it would be valuable to know that a team member previously led a team or successfully accomplished a particularly dif�icult task that would apply to the team's goals. Maybe the team member's expertise is likely to be most useful later, after the team has completed its initial work. When members recognize this from the outset, they will not be frustrated by a team member who participates less during the early part of the team process.

Storming is the almost inevitable process of determining team goals and methods and aligning everyone's understanding of the team. Although the leader may have a concrete idea of the team's goals and methods, the members have differences of opinion about them and want to talk through the goals and methods and consider alternatives—maybe longer time frames to get the work done or different ways of splitting up the work. The leader may facilitate, open, and direct discussion of the issues. Or, the issues may be unstated because the leader and/or members do not recognize them or do not feel comfortable dealing with them directly for fear of hurting someone's feelings or stepping on someone's toes. The leader may also initiate structure during this stage. The structure may be accepted if the team members expect and feel the need for the structure. The structure may be met with frustration and disdain if the team members feel they know better or have a different viewpoint about how the team should proceed.

Storming gives way to norming, or establishing norms: Based on the team discussion, the leader clari�ies the team's goals, the procedures for operating (e.g., setting a regular schedule of meetings), and rules for making decisions (e.g., majority rule). The norms may also include speci�ic behaviors (e.g., electing of�icers, each with a designated role based on the constitution of the team). The leader may establish ways of handling emergencies or unforeseen circumstances (e.g., deciding to develop a website to notify members if a meeting is canceled or the time has changed).

After doing the actual work of the team, or performing, the team moves to adjourning. The leader facilitates a team discussion to assess accomplishments and identify ideas for improving the team's process, which may serve the team well if it stays intact or could be useful for other teams accomplishing similar tasks. The leader can give feedback to the team as a whole, which the team can then discuss, as well as to individual team members privately. The team should celebrate its accomplishments and receive recognition for successes. Individual members may be rewarded for their contributions.

Leaders need to recognize that team stages do not necessarily occur in a neat and clear sequence. Some teams take longer to get started than others. Some teams get started quickly, follow the leader's instructions, and then, after working for a time, begin to see reason to shift work methods or change goals. Members may suddenly disagree with the way things are being done or even about their goals. The leader may need to focus on building or rebuilding trust and commitment and storming then forming new norms, before the members can get on with the work. As a result, leaders can think of team processes as a continuous �low of movement, rather than as a set of stages: a yin and yang of events that progress, revert, jump-start, orient, and reorient team dynamics (Banet, 1976; Minahan, 2006). Nevertheless, these stages are helpful in understanding what is happening at any given time and how one stage can lead to the next.

Earlier in the chapter, we learned about virtual teams. Consider how these stages of team development might play out in a virtual team in Considering the Virtual Team World.

Considering the Virtual Team World

Virtual teams require a new and different approach to team building and teamwork.

A-R-T-U-R/iStock/Thinkstock

Today, interaction among teams may be 100% online or blended online and in person. Most teams today, even those meeting regularly in person, will communicate electronically, share information, and record results using online technology. On a virtual team, however, members will likely need to learn about one another by sharing social media sites and through online discussion boards for synchronous and asynchronous interaction. Of course, more traditional channels of electronic communication can be used as well, such as email, to promote learning. In this way, members begin to recognize each other's talents and how they can contribute to the team.

As work is accomplished, virtual team members use discussion and online bulletin boards, content and document management tools, and videoconferencing. They may create a team website or other forum for online community development. They will hold online meetings as they seek and share information, formulate ideas, implement changes, and track, report, and evaluate results. In the process, they develop norms of interaction, get work done, and learn how they can do better and ultimately improve the quality of their output. Work methods are established and the usual team interactions take place, such as welcoming new members and saying good-bye to those who are leaving the team.

Throughout the life of the team, electronic means can be used to ensure the team is developing and on track and that the team's objectives are being achieved as expected. Cloud sites (vendor-provided, browser-accessed websites) provide

software for data storing, sharing, and analysis and become the repository of the team's collective knowledge. Online, realistic simulations are a way to test new work methods before they are implemented and demonstrate their effectiveness to convince or train others. New insights emerge, and members learn about the work they are doing as well as about themselves and how to interact effectively with others using the wealth of smart technology available to them. The team members develop a sense of self- ef�icacy, believing they can be effective in accomplishing more-dif�icult goals in the future, and the leader can recognize members and the team.

Our one question for you: Are you ready to lead a virtual team?

The Leader's Role in Team Development

The team leader's job is to facilitate the �low or movement between the stages of team development. Here are some ideas leaders might consider for doing so:

List expectations, at the end of the �irst meeting. Outline goals for the team. Ask each team member to list the things that need to be done to accomplish the task and to indicate how much time and effort each will take. Consider whether the team has the resources, knowledge, and skills to be a successful team. Determine the methods and measures the team needs to track the team's accomplishments. Identify factors to keep the team on track (for example, frequent communication, clear minutes, and time to review progress and make adjustments).

Speci�ically, to develop high-performing teams, leaders must take on three roles: communicator, trust builder, and team process facilitator (London & London, 2007). Let's look at each role and the associated behaviors:

1. Communicator. In this role, leaders engage in frequent two-way communication, explain the team's purpose, set goals, track progress, and discuss issues. They raise disagreements and discuss them openly. They also praise the team as a whole and individual members for their contributions.

2. Trust builder. Remember our discussion about Lencioni's (2002) �ive dysfunctions of a team? One dysfunction was a lack of trust between the leader and members and among the members. In the trust builder role, leaders ful�ill their promises to the team and give positive recognition to members who meet their commitments. They provide accurate information and are open and direct about issues. The team members learn that, when the leader says something, the leader is truthful and genuine. We will talk more about how to engender trust later in this chapter.

3. Team process facilitator. In this role, leaders suggest, review, coach, and advise team members individually and as a team.

As the leader engages in these behaviors, the team develops a culture of open communication, mutual trust, and facilitation. Members help each other out. They address issues among themselves and bring them to the larger team. They learn to trust and support each other as they set goals, determine and implement methods to accomplish them, redirect their efforts as needed, and celebrate successes. The leader empowers team members to act in line with the team's purpose, and the leader facilitates the process. Part—but not all—of facilitating is

Naturally, teams are made up of members who have differing interests and skills. These areas of difference can help indicate what role a person should play on the team. Consider which of the following 10 roles would suit you best.

Plustwentyseven/DigitalVision/Thinkstock

directing and monitoring. The leader is both transactional (focused on tasks that need to get done) and transformational (focused on vision and mission—the "big picture").

Key Roles in Team Development and Performance

Most of us will belong to more than one team over the course of our lives. You may be on a soccer team, a sales team at work, or a team to clean up the parks in your town. You may work on multiple teams, and teams have different needs over time. Members' roles change as needed. Members need to learn how to contribute in different ways. Some members will prefer one type of role over others depending on their personalities, capabilities, and interests.

So, for example, suppose you are a member of a quality improvement team tasked with revamping a work process in your company, perhaps on-time delivery of your company's product to clients. You may have the knowledge to mathematically model ef�icient delivery schedules. Or you may have an interest in understanding the attitudes and opinions of the people who drive your company's trucks and interact directly with clients receiving the goods. You may want to speak to the clients themselves. Or you may prefer to study the software systems for taking and conveying orders. Each of these tasks may be a needed part of dissecting the work processes involved in delivery, but your knowledge, skills, and interests may be more aligned with one task than another.

Consider the following 10 roles for members of a team (adapted from Mumford, Campion, & Morgeson, 2006, pp. 326–330; Mumford, Van Iddekinge, Morgeson, & Campion, 2008, pp. 254–255). One member may take on several roles, or only one role. Also, not all the roles are necessary at a given time. As a member of a team, you should be able to describe the role you have been assigned or the role for which you have decided to take responsibility. As you read about these roles, ask yourself: Would I enjoy this role? Do I have the skills required for this role? Download this form (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Member_Roles_Survey.pdf) to record your answers.

1. Contractor A contractor

structures the task-oriented behaviors of other team members. organizes and coordinates the actions of the team by suggesting task allocations, deadlines, task sequencing, and follow-ups and by motivating members to achieve team goals. summarizes the team's task accomplishments to date. ensures that team meeting time is spent ef�iciently by focusing on task issues.

A contractor is needed when there is uncertainty about goals and work methods, the task is complex, or members have little experience on the task or working together.

2. Creator A creator changes or gives original structure to the task processes and strategies of the team by providing innovative or compelling visions of the team's objectives and methods. Behaviors may entail

"reframing" of the team's objective and the means that should be used to accomplish it. looking at the big picture. providing creative solutions to the task's problems.

A creator is needed when there is creative or strategic stagnation, when the team is new, or when the members have little experience.

3. Contributor A contributor

provides critical information or expertise. is assertive when dealing with his or her area of expertise. may involve enough self-promotion to convey his or her credentials to the team. clari�ies team member abilities, resources, and responsibilities. trains individual team members, as well as the team in general.

A contributor is needed when members differ in their expertise and the task requires resources from different types of experts at different times.

4. Completer

A completer executes individual-oriented tasks within the team—work that can be completed by one person. This may involve

doing "homework" to prepare for team meetings. volunteering to take personal responsibility to complete certain tasks, assisting team members with completing their tasks. following through on commitments made within the team.

A completer is needed when team effectiveness depends on performance of behaviors by individuals working alone outside the team environment.

5. Critic A critic

goes against the "�low" of the team. subjects the ideas or decisions of the team to critical evaluation and scrutiny. questions the purpose or actions of the team or ideas proposed within the team, even if a formal leader has sponsored an idea. insists on evaluating worst-case scenarios. points out �laws or assumptions the team is making. must be willing to present negative information to the team.

A critic is needed when the team is approaching consensus on a task without adequate analysis of positive and negative contingencies or when the team is prematurely seeking concurrence and the members have a high degree of trust in each other.

6. Cooperator A cooperator

conforms to the expectations, assignments, and in�luence attempts of other team members, the team in general, or constituents of the team. takes a proactive role where there is critical inquiry into the decision and provision of input. supports the team's decision, once made, which allows the team to move forward. involves acknowledging the expertise of others and supporting their direction.

A cooperator is needed when the team has critically evaluated and clearly established the merits of a particular decision.

7. Communicator A communicator creates a social environment that is conducive to collaboration, which includes

paying attention to the feelings of team members. listening to the opinions and contributions of others. communicating effectively. injecting humor into tense situations.

A communicator does not try to directly in�luence team members, as does the calibrator. A communicator is needed when work is negotiation oriented, the task is socially complex, the context is emotionally demanding or stressful, and the team members differ in their values and attitudes.

8. Calibrator A calibrator

observes the team social processes to make the team aware of them and to suggest changes to these processes that would bring them in line with functional social norms. creates new norms. initiates discussions about power struggles or tensions in the team, settling disputes among members, summarizing team members' feelings, and soliciting feedback.

A calibrator is needed when team processes are not functional, when patterns of social interaction have not been established or have been disrupted, when the team is new and the members have little experience working together, or when there has been a change in membership.

9. Consul A consul works outside the team to collect information and resources from relevant parties in the organization. This involves presenting the team, its goals, and its interests in a favorable light and in�luencing constituent perceptions of the likelihood of team success; it also

requires a willingness to provide resources. A consul is needed when the team depends on external resources, the team does not have needed information or other resources itself, or the team is new and constituents need updates.

10. Coordinator A coordinator

interfaces with constituents outside the team. coordinates these interfaces that span team boundaries. solicits timely feedback about the team's performance.

A coordinator is needed when activities of the team must be coordinated with the activities of teams, customers, and individuals outside the team or when activities of the team are interdependent with activities of other teams.

Consider how and when these roles come about. One team member may shift between multiple roles depending on the moment, the stage of team development, and the people involved. A team member realizes what is happening and the experience (or expertise) he or she has that will help the team at the moment. The leader, of course, analyzes what is happening on the team just as members do and makes adjustments in his or her leadership style. Leaders and members can be �lexible in what they do on the team. They discuss what is happening and the different roles they might undertake to help the team.

Think about which roles are likely to be most important as the teams in our six cases get under way (see Considering Six Case Examples: 10 Key Roles). Which roles will be important for the leader, and which roles will be important for the members of the team?

Considering Six Case Examples: 10 Key Roles

Case 1: Emergency Room Lab Test Quality Improvement Team

Leader's roles (John Pate): Contractor, calibrator (structuring the task, engaging members in measuring work processes) Members' roles: Calibrators (participating in measurement, analysis, and interpretation from different perspectives)

Case 2: Appliance Store Chain Anniversary Celebration Planning Team

Leader's role (Marisa Hernandez): Creator (generating ideas and formulating a plan) Members' roles: Contributors (contributing ideas)

Case 3: Museum Expansion Feasibility Analysis and Planning Team

Leader's role (Dorothy Chen): Communicator (establishing and re�ining a vision, convincing the team that this vision is valuable for the museum and community and is achievable) Members' roles: Consuls, contributors (providing advice and ideas)

Case 4: Newspaper Website Redesign Team

Leader's roles (Frank Goral): Coordinator, creator (exploring design alternatives) Members' roles: Contributors, creators, critics (contributing and evaluating design ideas)

Case 5: Community Action Team

Leader's roles (Caitlin Smith): Creator, communicator (advocating for her idea and convincing others) Members' roles: Contributors, consuls (elaborating and re�ining, providing advice and support)

Case 6: Regional Bank C-Level Team

Leader's roles (Samir Gupta): Communicator, calibrator, coordinator, creator (expressing changing conditions and encouraging team members' collaboration) Members' roles: Consuls, critics, calibrators (expressing different views, communicating with each other clearly, and working toward agreement on strategy)

You can see from the feature box that different roles are likely to be needed by different teams depending on the purpose of the team and the nature of the work. As we pointed out, the abilities and interests of the team members as well as their motivation are likely to in�luence the roles they take or that are assigned to them by the leader. Think about a team you were part of and consider these questions: What roles did your leader carry out? What roles did you carry out? Was the leader effective in these roles? Were you effective in your roles? Why or why not?

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the three major roles of a team leader? 2. What team roles (contractor, contributor, creator, completer, critic, cooperator, communicator, calibrator, consul,

coordinator) are likely to be important at each stage of team development? Complete the following chart and indicate why you chose the roles you did. Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Key_Roles_Survey.pdf) to download this form.

Stages of team development Team leader and member roles Why are these roles likely to be important?

Forming

Storming

Norming

Performing

Adjourning

It is important for team leaders to �ind balance in their chosen leadership style.

sayhmog/iStock/Thinkstock

4.6 Step 4: Determining and Developing Your Style of Leadership

Another step toward preparing to lead a high-performing team is to determine and develop the appropriate leadership style or strategic approach to leadership. As you will recall, we described a range of leadership styles and strategic approaches in Chapter 1. While one style or another may prove useful in different circumstances, we focus here on a team leader who achieves balance— for instance, the balance between the goals of the team and the needs of its members—and the difference between transactional and transformational styles of leadership when leading teams.

Balanced Leadership

Recall from Chapter 1 that, when exercising balanced leadership, leaders need to try to achieve balance in four dimensions. When it comes to teams, leaders need to balance

1. individual members' strong interests with the team's common vision and shared set of goals.

2. controlling the team with encouraging members to participate in the team process.

3. the need for exploration and sense making with the need to analyze and conceptualize what was learned.

4. the need for re�lection with the demands for taking action and meeting deadlines.

To balance individual team members' vested interests with members' shared goals, leaders should do the following:

Give members time to express their individual concerns (vested interests). Talk about the common goal(s).

To balance the desire to control the team process with the desire to give members a chance to participate and feel empowered (Quinn, 1988), leaders can do the following:

Formulate an agenda for each meeting. Ask members for agenda items beforehand and if they have any additions prior to starting the meeting. Establish a means of calling on members during a meeting by, for instance, asking them to raise hands when they want to be heard, jotting down their names, and calling on people in order. Other processes can be used for speci�ic purposes. For example, to generate ideas, use brainstorming techniques. Encourage all members to participate equally. Do not let just a few people occupy the meeting time. Stick to the topic. If someone raises an ancillary issue, write it on a �lip chart that is kept aside for issues to which the team will return later.

To balance exploration with consolidating, summarizing, and conceptualizing ideas, leaders can do the following:

Assign members to research information and return to the next meeting with their results. Designate a trial period for new ideas and then hold a session to assess outcomes and identify areas for improvement. Then decide if the team will proceed with the idea or move on to something new. For example, a team might hold a new event and determine attendance and participant reactions. Review and integrate data. Ask each member to write his or her perceptions of an event or an issue and then share them with the team. Identify common themes to make sense of differing perceptions.

To balance the team's desire to take action with the desire to take time for re�lection about how well everyone is working together, leaders can do the following:

Set aside time to talk about team processes and relationships within the team. When unexpected events occur, take action to respond as needed. Start with a review of the events. Take action. Then, assess outcomes. Re�lect on how well the meeting went and ideas for improvement. This might become an agenda item at the end of each meeting. This is a chance for members to recognize if they took too much time on a topic, for instance, and remember that they need to avoid this in the future. Ask for feedback about their leadership. Ed Koch, former mayor of New York City, was known for asking his constituents, "How am I doing?" Team members can do the same. This could be in the form of an upward feedback survey. (See the discussion in Chapter 2

What can you do to develop your team leadership skills?

Blend Images/Blend Images/SuperStock

of upward feedback and 360-degree feedback.) Or feedback can be informal—talking to individual members after a team meeting, or addressing feedback in the team meeting by asking how the team process can be improved. Listen closely to hear when members are suggesting ways that they may want you to change your leadership style.

Transactional and Transformational Leadership

In Chapter 1, we noted that leaders often engage in full range leadership, using both transactional and transformational behaviors as needed. In the context of leading teams, transactional leadership involves structuring the team's tasks by planning, organizing, delegating, monitoring, and evaluating. The transactional leader makes decisions and �ixes problems, usually without asking the members for help. Now, recall the four key dimensions, or behaviors, of transformational leadership (Bass, 1985; Bass & Avolio, 1990):

1. Charisma (also called idealized in�luence): The extent to which followers hold the leader in high regard, identify with the leader, and emulate the leader

2. Inspirational motivation: The extent to which the leader motivates and inspires followers by articulating a strong vision for the future

3. Intellectual stimulation: The leader's ability to expand the followers' use of their potential and abilities 4. Individualized consideration: The extent to which the leader is attentive to the followers' needs for achievement, growth, and

support

Transformational team leaders envision goals and outcomes and communicate them to the team members in ways that engage members' imaginations. Transformational leaders foster open discussions among team members, involve them in problem solving and decision making, and empower them to �ind solutions to problems.

In chapters 1 and 2, we suggested that, to some extent, leadership style is a personal preference and capability. Nevertheless, leaders can learn ways of behaving that are not a part of their natural predilections. The type of leadership required should depend in large part on what is needed at the particular time. If team members have the capabilities to do the task, need to be committed to the work, are highly motivated, and are willing to take responsibility for the �inal product, then you are likely to adopt a transformational, participative approach. If team members do not quite have the capabilities needed to get the work done, do not seem to be committed to the work or highly motivated, and are not willing to take responsibility for their results, then you are likely to adopt a more transactional, autocratic approach that directs, controls, and monitors their work step by step.

Leaders need to decide on the style of leadership that will work best for the team, and this depends on a number of factors, some of which we discussed earlier. However, choosing the most effective leadership style also depends heavily on how the team members perceive the leader. Leaders who have a higher status are likely to be perceived more positively and able to use their personal power to in�luence the team members and manage the team effectively. Leaders who have a lower status are likely to be perceived more negatively and will need to be more directive to gain the attention of the team members (Sauer, 2011). If the team leader has a high status (for instance, has a record of success or has a positive reputation in the organization), the team members may be more inclined to respond positively to a participative style of leadership (Amabile, Schatzel, Moneta, & Kramer, 2004). If the team leader has a low status (for instance, little experience or a lack of—or a poor—reputation in the organization), team members may require a more directive style.

How Can Leaders Develop Their Team Leadership Skills?

Here are a number of ways in which you can start to develop your team leadership skills:

List your overall strengths and weaknesses. Ask one or more colleagues (preferably people with whom you have worked before) to describe your strengths and weaknesses. Think about what your team wants or needs from you. What are the key characteristics of your team that pose challenges for you as a leader? Keep a journal of your behaviors and actions in each team session. Include the following: – New ideas you introduced – Whether you talked more or listened more – Whether you were able to keep ideas �lowing – Whether there were times when you felt the discussion was going nowhere Record your team meetings (with the prior permission of your team members) and listen to parts of the recording after the meeting. Review how you interacted with team members and see if there are ways you can improve. Do some members of your team have more power than you do in other settings? Work on building an enabling team culture that meets the following conditions: – All team members feel they own the team's problems. – You demonstrate your trust for team members by giving them assignments and holding them accountable for accomplishing them on time.

– Members do not hide problems from you or each other. – You and your team members solve problems by breaking them into smaller, more manageable pieces. – You foster a constant drive to improve teamwork. – You make decisions by consensus. – You demonstrate respect for your team members and others outside the team. – You highlight the members' shared purpose, drive, and dedication.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are two ways leaders can achieve balance? 2. What are the four dimensions of transformational leadership? 3. What are at least three ways you can develop your team leadership skills?

In going through the stages of team development, a well-functioning team can develop a shared mental model, which fosters trust between them and helps them decide what their goals are.

Monkeybusinessimages/iStock/Thinkstock

4.7 Step 5 and Step 6: Getting Off to the Right Start and Working Smart

After you have followed London and London's (2007) four steps for preparing to lead, four more steps are necessary for developing and maintaining a high-performing team. These steps include the following:

Step 5: Getting off to the right start

Step 6: Working smart

Step 7: Helping your team get better through learning, empowerment, and support

Step 8: Assessing your team's progress and achievements and measuring gaps

In this section, we provide some practical advice about what you can do at the �irst team meeting to set the stage for the team and the importance of deciding on your leadership style given your organization status. Then, we present advice for how to work smart, effectively leading the team through its life cycle and addressing problem behaviors.

Step 5: Getting Off to the Right Start

At the �irst team meeting, what often works well is for leaders to do the following:

Distribute a written agenda at the start of the meeting. Review the purpose, intended product, and importance of the task. Give all members a chance to introduce themselves. Start with an icebreaker or a fun game, or ask members to interview each other and then introduce the person they interviewed. Decide how to decide. Have a discussion about alternative decision-making strategies.

Step 6: Working Smart

A survey of the research on teamwork reveals that team effectiveness can be distilled into �ive core components, dubbed the "Big Five" characteristics of effective teams (Salas, Sims, & Burke, 2005):

1. Leadership. This includes such leadership behaviors as supporting team members, coordinating tasks, and ensuring all members share the team's overarching goals.

2. Mutual performance monitoring. This is the extent to which members look out for each other, track progress toward the goal, and give each other feedback.

3. Backup behavior. This happens when members support one another and know each other's roles and commitments so that if one member falters or if unanticipated tasks need to be done, one or more members can help to get the work done.

4. Adaptability. Adaptable teams can change direction and members can change activities to accommodate changing situations, such as demands on the team or changes in members' abilities to meet their commitments.

5. Team orientation. When team orientation is high, members support one another and value their membership on the team. Also, high team orientation occurs when team goals are as important to members as their personal goals. Another term for this is collective orientation—the feeling that your teammates' input is valuable (Driskell & Salas, 1992).

The Big Five components of a team are likely to be present when the team members have developed shared mental models of how to operate and the goals they need to achieve. When members share a mental model, they agree about the team's goals and the way the team should operate, they communicate on an ongoing basis, and they trust one another. They have a common way of thinking, also referred to as team cognition (Hutchins, 1996; Gutwin & Greenberg, 2004). Teams use cues in their environment to establish a common way of understanding and thinking about what they see. They monitor what is going on within and around the team, noticing what others say and how they say it. For instance, they may know that when the leader stops taking notes and looks up from her computer that it's time to listen to what she has to say. Or when data need to be analyzed, the members turn to the team member they know is most adept at data analytics and statistical analyses and that team member readily volunteers for the task. Members learn to communicate with each other nonverbally, having to say little in order to make their views known. This happens as members get to know each other well and their work is tightly interdependent.

Note that fault lines can emerge within a team. Team fault lines refer to divisions within a diverse group. These fault lines might be strong or weak and can emerge due to demographic differences (race, gender, and so on). However, subgroups

can splinter off because the members have similar attitudes or ways of doing things that are different from those of the rest of the team. For instance, members who are analytically inclined may start side conversations about technical analyses that they know others do not understand. This can be off-putting to the other members, and the leader may need to ask members to continue their discussion outside of the team meeting and to bring their analysis back to the team when it is ready with interpretations that everyone can understand and use.

Before we discuss strategies for working smarter as a team, let's return to our cases in Considering Six Case Examples: Leaders and the Big Five and examine how each leader is involved in facilitating and supporting the Big Five team components (leadership, mutual performance monitoring, backup behavior, adaptability, and team orientation). What do you see?

Considering Six Case Examples: Leaders and the Big Five

Case 1: Emergency Room Lab Test Quality Improvement Team. John Pate, working with the QIT facilitator, needs to clarify the goals of the team. He does not need to prove a foregone conclusion, but he does need to investigate what is actually happening and accept and review all ideas for change. Members need to recognize how their individual knowledge and experience is valuable to the team.

Case 2: Appliance Store Chain Anniversary Celebration Planning Team. Marisa Hernandez needs to engage the members in coming up with a plan that the team can get behind enthusiastically. This is a temporary team of members who are likely to work together again in the future. So this will give them a shared experience that will have a lasting effect on the company culture.

Case 3: Museum Expansion Feasibility Analysis and Planning Team. Dorothy Chen needs to energize her planning team members. They need to feel that the museum expansion is important to the community as well as to the museum.

Case 4: Newspaper Website Redesign Team. Frank Goral is also leading a temporary team. But the members need to be in sync on the design and how they contribute to it. They may need to adapt from what they think is best, taking advantage of the latest technology and developing a site that can be updated as the technology changes. The site needs to look cohesive to users even though it has different purposes (advertising, news, community interest, links to businesses and community events, etc.).

Case 5: Community Action Team. Caitlin Smith has to recruit members and build a sense of team. The people who get involved need to learn to trust each other as they develop a shared mental model of what they are trying to accomplish and how they will go about it.

Case 6: Regional Bank C-Level Team. Samir Gupta needs his vice presidents to communicate well with each other and with their employees. Together, they need to form a clear model of how they will improve the banks' operations as they adapt to the new economic climate and the newly downsized bank structure.

Create Psychological Safety You can be effective and work smart throughout the life of the team and through all phases of the team's process in a number of ways. One of the primary ways is to create psychological safety. This is a team environment in which members respect each other's abilities, are interested in each other as people, are not rejected for being themselves and stating what they think, and believe that other members have positive intentions (Edmondson, 1999).

An important factor in creating psychological safety is engendering trust. When building trust within a team, leaders need to consider that there are four types of trust in an effective team and what they can do to foster each type (Rashid & Edmondson, 2011). The four types are rational trust, relational/social trust, common-cognitive model of trust, and risky trust.

Rational trust occurs when team members make a calculated choice to trust each other. They do so in a way that minimizes expected losses and maximizes bene�its. They make assumptions about what they can lose if they trust each other. For example, a leader who does not trust a member to complete an important task will not assign the task to that member. To build rational trust, ask the member to work on a task. If you have some doubt as to whether the team member can and will accomplish the task, form a contingency plan to get the work done if the member does not complete it properly or on time. Other ways to build rational trust include the following:

De�ine success (create a compelling vision). Articulate important goals. Insist on clear, important, and consistent goals from team members. Meet commitments; do what you say you're going to do. Be decisive.

Relational/social trust is developed through interpersonal friendships and caring among team members, perhaps as a result of working together in the past. To build relational trust, respect members and expect them to take the interests of the team to heart and meet their commitments. Other ways to build relational trust include the following:

Respect the opinions of others. Spend time with team members outside of work.

Problem behaviors can cause teams to become dysfunctional. Leaders may need to employ a gavel or implement certain rules to make sure meetings go smoothly.

Gustav Dejert/Ikon Images/SuperStock

RealChange CEO Sadhana Smiles discusses the importance of examining one's role as a manager to diagnose and address problem behaviors within a team.

Reconsidering Your Management Style

In a common-cognitive model of trust, we share expectations about the way interpersonal interactions should be—the common social order. Societal norms suggest that we follow certain rules and expect others to do so. For instance, we obey traf�ic lights, give up our seat on a train to the elderly, or change a $20 bill for a stranger. So in a team, we expect members to behave civilly and respond appropriately to team rules, particularly after members have discussed and agreed to them.

To build trust based on this common-cognitive model, be fair, not harassing. Follow legal strictures that apply to the team. Share as much information as possible and be sure members understand common practices and the norms of the team (procedures all members agree to when the team begins)—for example, treating information within the team as proprietary. Other ways to build common trust include the following:

Follow procedures, such as formulating and distributing an agenda before the meeting and following the agenda. Determine and arrive at a method for voting or reaching consensus and follow it. Summarize decisions and distribute minutes of the meeting.

Risky trust is the trust that exists between people or teams that are vulnerable to high economic, legal, or reputational risk (Rashid & Edmondson, 2011). Team members know what is at stake and the work processes they are expected to follow. Additionally, they know that some parties will go beyond limits (legal or �inancial) to take risks when there is a lot to gain. Yet they also know that the parties involved may have a lot to lose. They trust each other because that is all they can do if they want to get the job done. They have contracts in place indicating the scope of work, timeline, costs, and so forth. But such contracts cannot cover all contingencies, especially in terms of day-to- day transactions involving scarce and rich resources, including large monetary transactions.

To build risky trust, describe the trust that exists. Point out to members that you value their individual expertise and that members should recognize and value each other's expertise. Acknowledge each member's contributions, meet commitments, take swift corrective action when errors occur, and adapt to solve any problems that arise. Other ways to build risky trust include the following:

Empower team members to act (when they make a suggestion for action, say, "Go ahead," and if the outcome is positive, reward them). Stretch team members beyond their current skills. Make the task fun, actionable, and visible.

Deal With Problem Behaviors Team meetings will not always run smoothly, and teamwork will not always meet or exceed your expectations. Earlier, we discussed possible dysfunctions that can emerge during a team process. Unfortunately, team members do not always work in the interests of the team or its members. Some team members interfere with the work of their teammates, get into arguments, treat others with disrespect, and gossip about others behind their backs (Cohen-Charash & Mueller, 2007). This degrades teammates' attitudes, performance, and mental and physical health and has a negative effect on the team's performance (Lam, Van der Vegt, Walter, & Huang, 2011). Why would a team member behave in such a way? Well, human nature produces envy, dislike, and other negative characteristics. Sometimes leaders can demonstrate these characteristics, perhaps unwittingly.

Now, consider some of the problems that you might observe when leading a team and ways of dealing with them:

Making argumentative statements. Ask members to hold their evaluations or opinions and then give each member equal time to express her or his views. Continually disagreeing, naysaying, being stubborn. Explain that the team needs to understand all viewpoints. Make a list of pros and cons about an issue and give each member a chance to record his or her perspective. Talking loudly. Establish procedures at the outset for proper decorum. Use a gavel to quiet the group. Stop a meeting that is dysfunctional (e.g., when everyone is talking at once) and ask the team to step back, observe what is happening, and refocus (Manz & Neck, 2004). Being interpersonally insensitive—talking over others, insulting others. Again, use a gavel to quiet members. Take the unruly member aside after the meeting or during a break to discuss how his or her behavior is affecting the team. If you feel that the team member simply cannot contribute effectively, ask the individual to leave. Trying to get attention. Give people equal opportunity to speak; ask others who haven't had a chance to get a word in edgewise to express their opinions.

Critical Thinking Questions

1. In what ways does a team leader create or shape team culture?

2. What could a manager do to identify potential problems before they arise?

Cathy Yeulet/iStock/Thinkstock

Banding together to disagree with a team initiative. Establish a team norm early in the team process that details how the team will review alternatives and make decisions (see the next section, on establishing decision-making rules). For instance, the team can agree to make decisions by majority vote after discussion, and that when some members disagree with the outcome, they will still support the team's decision. Excluding others by creating cliques. You may not be able to avoid this happening; however, have a clear and fair process for expressing opinions, stating alternatives, and making decisions (e.g., following parliamentary procedure with motions, time for discussion, and majority rule votes).

Establish Decision-Making Rules As we suggested, team leaders should work with the team to establish decision-making rules. The leader may do this by �iat—that is, by specifying how the team will work (e.g., "We will vote on all major decisions and majority rules").

Consider different types of consensus decision making (Hartnett, 2011; also see Hartnett's website http://www.consensusdecisionmaking.org (http://www.consensusdecisionmaking.org) ):

Inclusive. The team seeks input from all team members and other stakeholders who may be affected by the decision. Participatory. Every team member is allowed a chance to contribute to the discussion. Collaborative. The leader encourages team members to submit proposals for the team to consider. Agreement seeking. The leader tries to garner as much agreement among team members as possible, even if a majority vote will do. Cooperative. The leader asks the team members to keep the good of the whole team in mind. Team members can express their individual preferences so that they can be duly considered; however, individuals' vested interests should not obstruct the team's process.

When brainstorming, list ideas without evaluating them. Then, multi-vote to prioritize ideas or suggestions for goals, priorities, or work processes. For example, provide each member with three or four stickers. Ask each member to distribute them among each of the suggestions, which have been posted. Members can put all their stickers on one suggestion or distribute them any way they like. The suggestions with the most stickers are the top priorities of the team (Osborn, 1963).

When �inalizing a decision, a team can use several methods. The team can try to achieve unanimous agreement or unanimity minus one or two votes. A simple majority is another, easier approach. Yet another approach is to require a supermajority—two thirds of the team, for example—for a decision to pass. Still another possibility is to select a subset of team members to be an executive committee. In a club or corporation, this might be a committee of the top of�icers. The team leader can also reserve the right to decide, especially if there is considerable disagreement. However, by invoking the privilege of position, the leader risks creating distrust if the team agreed to achieve consensus or discuss the issue and hear all voices �irst.

Build a Positive Team Climate As you can see, a transformational leader who builds a culture of psychological safety, engenders trust among team members, empowers them to act, and sets clear procedures will go a long way toward preventing or minimizing the occurrence of problem behaviors. Problems can also be avoided or mitigated when the three elements of a high-performing team are in place: having the proper talent, clear tasks, and adequate time (if necessary, review Step 2 in Section 4.4).

However, leaders may also be the source of some problem behaviors. For instance, leaders may compare teammates with each other, intending to motivate performance. But from the team member's perspective, being compared with a higher-performing team member can be demoralizing. The result is less cooperation among team members and ultimately lower team performance, even though the leader's intention was to increase performance.

The leader can curtail the negative implications associated with such comparisons by convincing the lower-performing team members that they have the ability to match the higher-performing team member's performance (Lam et al., 2011). The leader can further strengthen the lower-performing team member's expected future performance by offering additional support, such as training, more resources, and coaching. Promoting goals of cooperation within the team is another strategy, which allows all members to have a sense of shared purpose and a common identity while simultaneously diverting attention away from performance differences toward ways of overcoming these differences.

Reconsidering Your Management Style From Title: The Problem of Nightmare Staff (https://fod.infobase.com/PortalPlaylists.aspx?wID=100753&xtid=93385)

© I f b All Ri ht R d L th 01 07

 0:000:00 / 1:06 / 1:06 1x1x

Through their leader's facilitation and support, team members learn to trust each member, create shared goals, and work together in the different roles each individual ful�ills.

Team leaders can also work smart to improve team performance by knowing what mechanisms trigger process gains. These include social support from team members, emphasizing how important members are for achieving the team goals, developing team members as experts, drawing on multiple perspectives, and helping the team members to re�lect on what they have learned (Hertel, 2011). Social support also includes social recognition (members saying how

much they appreciate other members' efforts) and social encouragement (appeals of trust, sympathy, reassurance, and cheering), which increase motivation. Leaders can express their appreciation by, for example, thanking team members for their suggestions and views.

Members and the leader can also promote more effective team processes by helping members understand and carry out task requirements. This includes information-related task support (providing information or advice) and behavioral task support (giving time or skill assistance) (Hüffmeier & Hertel, 2011). It might also include asking for volunteers and delegating work to team members.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. Describe the Big Five core components of teams. 2. What are the four types of trust important to teams? 3. What are shared mental models, and why are they important to high-performing teams? 4. What are at least three actions a leader can take at the team's �irst meeting? 5. What are at least two ways leaders can work smart with their teams? 6. What are at least three problem behaviors team leaders can encounter, and how can leaders address these behaviors?

What can be done to contribute to team learning?

Ozalp/iStock/Thinkstock

4.8 Step 7A: Helping Your Team to Get Better Through Learning

In the next two sections, we address several key areas for helping team members work together and for improving performance. First, we address team learning and describe its various forms. In Section 4.9, we stress the importance of empowerment and a shared perception of organizational support.

Team learning is the set of behaviors (patterns of interaction) that team members acquire as the team proceeds to do its work. Team learning happens when members share their own knowledge and expertise, generate new knowledge, and evaluate and combine this knowledge.

Team learning can be de�ined more formally in a number of ways:

"The acquisition of knowledge, skills, and performance capabilities of an interdependent set of individuals through interaction and experience" (Kozlowski & Ilgen, 2006, p. 86) "Activities through which individuals acquire, share, and combine knowledge through experience with one another. Evidence that team learning has occurred includes changes in knowledge, either implicit or explicit, that occur as a result of such collaboration" (Argote, Gruengeld, & Naquin, 2001, p. 370). Members share knowledge, develop mental models of the way things should be, and form memories of transactions that were effective and that can be repeated (Kozlowski & Bell, 2007; Kozlowski & Ilgen, 2006; London, 2014). "An informal process by which team members attempt to create effective social structures and work processes on their own" (Kozlowski & Ilgen, 2006, p. 105) When members learn to adjust to each other and to changes in membership as team members come and go (Chen & Klimoski, 2003)

Team learning is important to embrace. Things may be going well, but the leader wants to maintain momentum and be able to apply the team's prior successes to future goals. Learning should be explicit, meaning that the team members should recognize that they have learned how to work well together and be able to repeat or improve on processes that worked best in the past.

There are three types of team learning: adaptive, generative, and transformative (London & Sessa, 2007a). We will de�ine and discuss each in this section. In the meantime, use Assessment 4.3 to help you better understand team learning and the obstacles to it. In terms of stimulation and support for team learning, consider the following set of actions leaders can take:

1. Create learning triggers (pressures and opportunities). Team members are more motivated to learn team processes when they feel the team is under pressure to produce and be successful. The leader (like a football team coach) energizes the team by explaining the bene�its of success and emphasizing that others are depending on them and want them to be successful.

2. Increase readiness to learn (e.g., openness to new ideas). Team members who enjoy learning and trying new things are ready to learn. A leader can increase team members' readiness to learn by teaching them new work methods and letting the team see how these methods made them more successful. This will lead the team to be even more willing to learn new methods in the future.

3. Support the ways people learn. This means recognizing that people learn by making small changes in the way they behave and work with others (adaptive learning), discovering new ideas and work methods for themselves (generative learning), and adopting new goals, strategies, and procedures that are radically different from anything they have done before (transformative learning). Leaders can reinforce these different ways of learning when they occur, facilitate them (e.g., coach and encourage team members when they try a new way of doing a task), and give team members freedom to experiment with new ways of working together, even if the initial result fails or costs time and money that could have been saved.

Assessment 4.3: What Has Been Your Team's Experience With Learning?

Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Assessment4.3.pdf) to download this assessment.

Instructions Part I: To understand team learning, think about a team you know or are on. Now answer the following questions:

1. What is the purpose for the team? 2. Where is the team in accomplishing its goal—just getting started, midway, almost through? 3. What forces trigger change (pressures and/or opportunities from outside or within the team)? 4. Is the team open to new ideas? Give an example.

5. Is the team content with its progress? Are the team members satis�ied with being part of the team? 6. This team could be (could have been) more successful if ________.

Instructions Part II: Now consider the stimuli and barriers to change and learning in the team. Answer the following:

1. What did the team learn? 2. What stimulated this learning? 3. Were there factors (barriers) that made team learning dif�icult? 4. What facilitated team learning? 5. Did learning capacity change over time for members, the team, or the organization? Are they better learners as a result of

the team experience?

In fact, teams learn continuously, but some more rapidly than others. Members may resist learning and change because they are not ready for it. However, external forces may prod learning. These are learning triggers. They may be changes in goals, obstacles to achieving goals, or new opportunities. So, for example, in Case 1 (the Emergency Room Lab Test Quality Improvement Team), in which a new physician saw that test processing times were hurting patient outcomes, the quality improvement process might act as a learning trigger. The collection of data and the analysis of work processes could overcome John's skepticism and open his and his team members' eyes to ways the team could in fact introduce changes that would improve ef�iciency.

Consider the conditions in Table 4.4. Think of a team as a system of inputs, processes, and outputs. The system is in�luenced by its components (members) and by the external environment. When there is little or no pressure in the environment for change and the leader or members are not ready to change (Box A), nothing much will happen. The team will continue with the status quo. If the leader or members are anxious to bring about change but the environment doesn't require or support it (Box B), the team may still succeed with enough persistence. But the team may also become frustrated trying to initiate change when others do not expect or want it. If the pressures or opportunities in the environment are strong but the team is not ready to change (or not enough people on the team are ready for change) (Box C), the team risks failure from not responding to the environmental pressures. It must learn to adapt to survive. However, if the environmental pressure is high and the team leader and members are ready for change (Box D), the team is ready for generative learning and possible radical change—that is, transformative change.

Table 4.4: Readiness for team learning

Environment's need for learning and change

System readiness to learn

Not ready Ready

Low A Status quo, stagnation

B Potential for generative learning, requires persistence, could be frustrating

High C Learn to adapt or risk failure

D Potential for transformative and generative continuous learning

Adaptive Learning and Ways to Promote It

Adaptive learning is making small responses to pressures and changes in the environment. Think of adaptive learning in terms of team processes and outcomes. Leaders and their teams are willing to adjust the way they interact. They shift their mode of operating or making decisions. For example, a team member may complain that the leader is making decisions unilaterally without consulting team members. So the leader may discuss decision making with the team and agree to abide by a majority rule on issues that involve allocation of resources. As another example, say a top executive changes the team's goals, perhaps requiring that the team achieve a certain objective earlier than the leader and members anticipated. So the team needs to work longer hours to accomplish the objective within the new time frame. As yet another example, consider a team that was successful in planning an event or improving a work process at one time; team members can follow similar procedures to plan another event or improve another work process. They have learned team procedures that they can adapt and how to adapt the procedures to be more effective and ef�icient in similar situations in the future. The work process comes to have standard elements that the team applies in different situations, changing the elements slightly as conditions (e.g., resources and constraints) change.

Teams that are adaptive learners may do the following:

Respond automatically—that is, without much thought Make small changes or incremental improvements to work routines, interactions, protocols, or procedures Build from current capabilities, skills, and knowledge Acquire and apply new bits of information Make changes by trial and error (make a small change and see if it works; if not, adjust or try something else)

Teams need to be adaptive because organizational requirements and environmental conditions change rapidly, indeed sometimes dramatically. Being adaptive means recognizing critical changes that the team needs to address, understanding what the team can do about these changes, adjusting priorities, and adapting team strategies. Teams that do this well are said to have "adaptive capacity" (Kozlowski, Gully, Nason, & Smith, 1999; Kozlowski, Watola, Jensen, Kim, & Botero, 2009; Randall, Resick, & DeChurch, 2011).

Leaders help teams be adaptive by helping members make sense of their environment. They motivate team members to �ind information, discuss and organize knowledge, and form a similar and accurate understanding of what is happening. Leaders provide direction, foster integration of the information, and shape the team members' understanding of the changes and what they can do about them. They explain the rationale that underlies various events, the logic for various strategies that other teams have implemented, and what might work under present conditions. For instance, if a sales team has a dif�icult sales goal and is using cold phone calls to gain new customers, and the CEO of the company wants to sell a newly developed product and use mass mailing, the leader of the sales team will not only describe the new product and new sales strategy but also explain the reasons that underlie the CEO's thinking. Team leaders who explain the rationale for such changes clearly prompt the team to discuss the issue, see things similarly, and take appropriate action in light of the new situation (Randall et al., 2011).

Generative Learning and Ways to Promote It

Generative learning is the process of being purposefully proactive. Generative teams go beyond adaptation to make marked changes in the way members interact and in the goals they try to achieve. Initiatives come from an organic need within the team, and members learn how to be proactive to �ind new resources (money, technology, information, ideas) and experiment by applying these resources in new ways to do their work. There are no standard procedures to follow and no right way to do things. In the process, the members learn how to work with each other to be generative in the future—that is, to address problems that do not have clear paths to obvious solutions but rather impose uncertain conditions, potentially con�licting goals, and complex interactions. The team members learn to accept this ambiguity, remain open to new concepts, and be willing to discuss, conceptualize, and experiment and in the process reach unexpected conclusions and new directions for action. This is the process of invention and entrepreneurship.

The generative learning process might include observing competitors and trying out new skills, knowledge, and behaviors on the team. Other generative learning experiences might include identifying best practices and then modifying and adopting them as needed. Initiatives might involve exploring alternative methods when current approaches to the team's goals are not effective. Generative learning means that team members try new behaviors and interaction patterns and evaluate the effects of these changes. Some of the new behaviors and patterns become common practice; others are held in reserve until needed.

Generative learning can occur at the individual, group, and organization levels. For instance, in considering new technology, individual team members can learn and use a new technology, maybe a new software system to track work. The team can learn and put the technology into use so that the team can be more effective. The organization can adopt the technology for other teams and integrate it with existing technologies (for example, combining the tracking system with a product delivery system).

Leaders can encourage and support generative learning in a variety of ways. For example, they can hold team strategy sessions to generate ideas for new work strategies. They can identify and share ways other teams have achieved successful outcomes. They can share new means of operating. They can change members' roles to give them fresh perspectives. Such leadership interventions can produce generative outcomes. As members learn more about each other, particularly how they can contribute to new and unanticipated situations, the members will be more open to new ideas and con�ident in their ability to face an uncertain or ambiguous future. They will be willing to seek and implement new ways of operating in the future. In short, they develop what we would call an "entrepreneurial orientation."

Transformative Learning and Ways to Promote It

Transformative learning is redirecting the team's purpose and goals. Transformative teams create radically new ways of doing their work or adopt new missions and objectives. For example, a team not only may be facing a dif�icult problem for which there is no clear path forward, but also may need to totally redirect its efforts to design new ways of working together. It becomes a different team altogether, as when a social club decides to open a business, when members of a local sports team raise money to support a cause in the community, or when a manufacturing and distribution company becomes a systems service and consulting company (IBM is a principal example). Team members (or company executives and managers) need to change their focus, goals, and ways of working with one another. They may need new work structures (positions, roles, responsibilities) and methods of interaction (working from remote locations instead of a single headquarters) as well as different expertise.

Leaders of transformative teams are adept change agents who guide their team members to commit to new reasons for being. Members learn to be transformative, changing their own behavior or being ready to move from one team to another when their talents can best be utilized by other teams or organizations. The team is proactive in giving up old behaviors and interaction patterns. Members experiment with new work methods. They choose new modes of operation based on results. They go beyond generative learning by creating and implementing major (frame-breaking) changes in purpose and expected outcomes. The team will establish very new and different outcomes (for example, new products or services, new markets for these products or services, and new alliances with other teams and organizations). The team may form new team structures (e.g., a new organization chart for the team, new roles for team members, and new expectations of the leader). The team learns the value of creative ideas (accepting ideas without being critical) and the value of re�lecting on the team's process, not just constantly working to produce outcomes but thinking about how things are working and how they can improve. The team generates a sense of excitement (or nervousness) in the discovery process. Team members gain comfort in dealing with uncertainty and ambiguity. They are able to welcome and integrate newcomers onto the team. They feel ready for changes in the future, and they welcome and demonstrate �lexibility. They are capable of doing more and accomplishing different goals in different ways. In

In transformative learning, teams must be ready to discover and create new pathways toward their goals. As a leader, how would you promote transformative learning?

Caia Images/Caia Images/SuperStock

addition, they are able to change in the face of emergencies and unexpected demands.

Leaders promote transformative learning in a variety of ways. They bring in new members, teach members new work routines, formulate and share a new vision for their teams, and discuss with members their discomfort with uncertainty and change. Leaders may point out other teams that have made radical shifts in their mission, work methods, or outcomes and help team members learn from these examples. The leaders may point out failures and successes and help their teams analyze and learn from the experiences of others. Leaders may use role-playing exercises, business games, or challenging outdoor experiences to help members break their old and shared frames of reference and consider new ideas from different points of view.

Leaders help their teams learn to be adaptive, generative, and transformative depending on what is needed (the pressures and opportunities that trigger learning) and the members' capability and openness to change. Some teams need only to make adaptive changes in operations and goals. Others bene�it by being more generative—proactive in making more major changes in operations and outcomes. Still other teams need to transform the purpose, goals, and modes of operating. Adaptive learning is slow. Generative learning is likely to be faster. Transformative learning is likely to be sudden.

So far, we have described what leaders do to bring about adaptive, generative, and transformative team learning. Table 4.5 suggests how these learning patterns emerge depending on triggers in the environment, the team's readiness to learn, the team's goals, and what the leader does to promote learning. Before continuing, consider what you as a leader can do to bring about change and learning on your team. Then, in Considering Six Case Examples: Adaptive, Generative, and Transformative Team Learning, explore which type of learning might be evident in our six cases.

Table 4.5: Emergence of learning patterns

Learning trigger

Readiness for learning Team goal Leader's interventions

Learning pattern

Triggers create mild pressure.

Low Maintain level of performance

Helps the team members recognize pressures they are under Asks members for input about how to deal with these pressures

Adaptive

Triggers are viewed as learning opportunities.

High Increase mastery

Gives team members a chance to voice their ideas Involves the team in planning and organizing work processes

Generative

Triggers are strong. High Renew identity

States opportunities that are available to the team— opportunities for training, new work methods, or more ambitious goals Discusses with team members differing viewpoints and identi�ies ways to integrate them when possible

Transformative

Source: From "The Development of Group Interaction Patterns: How Groups Become Adaptive, Generative, and Transformational Learners," by M. London and V. I. Sessa, 2007b, Human Resource Development Review, 6, p. 369. Copyright 2007 by Sage Publications. Reprinted with permission.

Considering Six Case Examples: Adaptive, Generative, and Transformative Team Learning

Case 1: Emergency Room Lab Test Quality Improvement Team. This is an adaptive process to �ind incremental ways to improve as team members learn to engage in quality improvement. This could result in some generative, and possibly transformational, changes.

Case 2: Appliance Store Chain Anniversary Celebration Planning Team. The team learns to be adaptive as members work with the team leader in a collaborative way.

Case 3: Museum Expansion Feasibility Analysis and Planning Team. This is an adaptive process. This could result in a creative (generative) landmark design and substantial fundraiser if members become suf�iciently engaged and committed to the project. There may not be suf�icient pressure or readiness to learn to make this happen.

Case 4: Newspaper Website Redesign Team. This could be a generative process. Members are versed in high tech and like to make frame-breaking changes. They are open to new ideas if they do not get stuck in their individual areas of expertise.

Case 5: Community Action Team. This could be a transformative process for the community and the leader. The impetus for the change is there: Avoid further congestion and erosion of the community way of life. Caitlin will realize she has leadership potential that she never knew she possessed. The townspeople who come to support the idea and become engaged learn the power they have and their ability to in�luence change in their community. This could lead to more community activist efforts.

Case 6: Regional Bank C-Level Team. This is likely an adaptive process as the bank hobbles forward slowly in a dif�icult economy. It could be generative if the bank opens new avenues for business and develops strong commitments from remaining employees.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the differences between adaptive, generative, and transformative team learning? 2. What are three ways leaders can support and stimulate team learning? 3. What are some ways, in speci�ic, that leaders can promote adaptive, generative, and transformative team learning?

Leaders who micromanage closely monitor behavior and discourage team members' autonomy; this works against creating an empowering environment.

OJO Images/SuperStock

4.9 Step 7B: Helping Your Team to Get Better Through Empowerment and Support

In addition to learning, another way to help team members work together and improve performance is to ensure that team members are empowered and that there is agreement about the degree of organizational support for the team.

Empowering Team Members

Chapter 3 examined how leaders empower direct reports. Leaders also empower team members by increasing their autonomy, control, self-management, and con�idence (Chen, Sharma, Edinger, Shapiro, & Farh, 2011). More speci�ically, empowering leaders delegate authority to team members, hold them accountable for achieving their goals, involve the team in making important decisions, encourage the team members to manage their own work, and express con�idence in the team as a whole and in the individual members. As a result, members feel they have autonomy and the competence to perform meaningful and impactful tasks. Also, members feel a sense of emotional attachment to, and identi�ication with, the team (Chen et al., 2011). So, for example, the empowering team leader will state explicitly to the team members that they are able, have the knowledge they need, and can do what they think is necessary to achieve their goals.

In contrast, leaders who are not empowering their team members are leaders who micromanage the team's activities, monitor behavior, discourage members from acting on their own, and convey having little faith in the team's ability to accomplish the challenging tasks ahead. Such a team leader will express doubt about the team's ability, actually stop the team members from making important decisions without her input, monitor all work closely as it happens, and let the team know that the organization will likely rely on her recommended decisions, declining to ask or care about the ideas and recommendations of the team members. As a result, members feel they have little autonomy and low con�idence. They will not be motivated to act on their own. This will be especially detrimental because it makes any con�lict within the team worse and generally demotivates members from using their skills and knowledge to their best advantage.

In addition to empowering individual team members, leaders can give the team as a whole a sense of empowerment. This is the notion that the team members understand that the team has the authority to make decisions and create change, not only within the team, but also in relation to the team's objectives and the team's contribution to the organization. For instance, the C-level team in Case 6 is empowered to make decisions that will create new business opportunities. A C-level team is empowered by virtue of its organizational level. The emergency room quality improvement team in Case 1 is empowered by the nature of the task. The team can implement and test new procedures. Others may protest, but unless initiatives are stopped by top executives, the team is empowered to act.

Team leaders can give a team a greater sense of empowerment, even if authority is not embedded in the team's purpose. The leader can encourage team members to express their ideas and develop work methods on their own. By doing so, team members will recognize that they can make a signi�icant contribution to the team and their organization and that their participation on the team is worth their time. For instance, a team member who is able to come up with an idea from an Internet search and then allowed to develop the idea into an innovative team process or output will likely feel a greater sense of empowerment.

Agreeing About Organization Support

Organizations provide a range of support to help work teams. This includes forming teams with talented people, particularly the talent needed for the work at hand; providing information and training; measuring performance and giving feedback; and implementing a system of rewards (Kennedy, Loughry, Klammer, & Beyerlein, 2009). If both the team leader and the team members perceive high support from the organization, the team members are likely to feel con�ident that the organization cares about them, and their mutual recognition of this support reinforces their positive feelings about the team and the organization and increases their effort and performance.

If the team leader feels there is considerable support but the members believe that support is lacking, team members will feel negatively about the team and the organization, and their performance will suffer (Chen et al., 2011). This can happen if a leader fails to listen to team members' needs for support—for instance, for training, information, data, or rewards for performance. The leader may think everything is �ine, yet the team members may have a different view. This will erode team members' motivation over time, as team members increasingly believe that the leader, like the organization, doesn't care about them. A leader who listens to the needs of the team members, anticipates these needs, and works with the departments in the organization to secure resources will be more closely aligned with the team and help team members accomplish their goals. If, however, the leader has blinders on and becomes increasingly removed from understanding the team members' needs, team performance will diminish.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What can leaders do to empower their team members? 2. Why is it important for the leader and team members to agree about the level of support they receive from their

organization?

Assessment is important to the development and achievement of a team. How can team assessments also bene�it individual team members' professional development?

Imtmphoto/iStock/Thinkstock

HR consultant Peter Wallbridge discusses the uses of performance appraisals for individuals and for teams.

Individual and Team Assessment

Critical Thinking Questions

1. How might individual assessment contribute to assessing the team as a whole?

2. How often should managers perform team assessments, and why?

4.10 Step 8: Assessing Progress and Achievements

Assessment is critical for self-analysis, one-to-one leadership, and team leadership. The goal of team assessment is to gather information about the team's processes and performance, determine the team's progress and level of achievement, and discuss it with members of the team, presumably together.

Reilly and McGourty (1998) suggested that a team leader appraise the team's performance by

1. identifying and de�ining behaviors that are important to the organization and that are known to relate to effective team performance.

2. measuring each team member's competencies and collecting team members' perceptions of each other's contributions and of the overall team functioning and performance.

3. being clear about the purpose(s) of the assessment. 4. using the assessment for team and individual development only, at least

initially, for describing desired team behaviors and ensuring rater con�identiality.

Team assessment can be conducted at various points in the team's history, and so the assessment should take into account the stage of the team's development (Wageman, Hackman, & Lehman, 2005). During the initial stages, the assessment should examine the team members' capabilities and motivation to determine if the right people were selected and if more people should be added or some asked to leave the team. As the work of the team gets under way, interactions among team members can be assessed to determine if team members are working collaboratively or if some interventions may be needed to resolve con�licts or promote better coordination. As the team completes its work, the assessment can focus on outcomes achieved and expressing what the team has learned.

Over time, the team will learn to conduct its own assessment as the leader and members re�lect on their process and look for ways to improve (London, 2007). As such, team assessment becomes part of the team's culture—the way the team works and learns.

One set of survey measures to assess team development is called the Team Diagnostic Survey, developed at Harvard by Wageman et al. (2005). The survey addresses issues of whether the team is stable, has a compelling direction, has a structure and membership that enable work to get done, has organizational support, has expert coaches (including the leader), and has effective processes—for instance, for generating innovative work methods and outcomes.

The following are examples of the survey items that an observer, the leader, or members can check off or rate to indicate the extent to which they apply. (Note that the survey is actually more extensive and can be viewed in Wageman et al., 2005, pp. 382–389.)

Team stability:

Team membership is quite clear—everybody knows exactly who is and isn't on this team. The team is quite stable, with few changes in membership. Members of this team have to depend heavily on one another to get the team's work done.

Compelling direction:

The team's purposes are speci�ied so clearly that its members should know exactly what the team exists to accomplish. The team's purposes are so challenging that members have to stretch to accomplish them.

Enabling structure:

This team is just the right size to accomplish its purposes. This team has a nearly ideal mix of members. Everyone on this team has the special skills that are needed for the team's work. The team's work is inherently meaningful. Members of this team agree about how members are expected to behave.

Individual and Team Appraisal From Title: Performance Appraisals (https://fod.infobase.com/PortalPlaylists.aspx? wID=100753&xtid=93370)

© I f b All Ri ht R d L th 01 56

 0:000:00 / 1:56 / 1:56 1x1x

A. Team members' con�idence in their capacity to perform well 1. To what extent do you believe that this team can be (was) very productive? 2. Are you con�ident that this team can (did) accomplish its goals? 3. Would you say that no task is (was) too tough for this team? 4. Is (was) this a high-performing team?

B. Team unity and trust 5. Does (did) this team have a strong sense of togetherness? 6. Do (did) the team members trust one another? 7. Is (was) there a sense of team spirit? 8. Do (did) the team members agree on goals?

C. Team pro�iciency 9. Is (was) the team accomplishing its goals? 10. Does (did) the team meet deadlines? 11. Does (did) the team produce high-quality work? 12. Does (did) the team solve con�licts and other problems?

D. Teamwork 13. Are (were) team members committed to helping each other? 14. Do (did) the team members participate actively during team meetings? 15. How well do (did) the team members communicate? 16. Does (did) the team seem to waste time? 17. Do (did) team members value each other's expertise?

Supportive organizational context:

Excellent team performance pays off in this organization. Teams in this organization can get whatever information they need to plan their work.

Available expert coaching:

Teams in this organization have access to "coaches" who can help them learn from their successes and mistakes. The team leader helps the team build a high shared commitment to its purpose. The team leader helps the team sustain the motivation of all members. The team leader provides positive feedback when the team behaves or performs well. Regular team members tell other members what to do and how they should do it.

Process criteria of team effectiveness:

Our team often comes up with innovative ways of proceeding with the work that turn out to be just what is needed.

The questions in Assessment 4.4 combine to form an assessment a team leader can use to evaluate his or her team as its leader; team members can complete it as well. The answers to the questions, whether from the leader or from the team members, can provide a leader with feedback as well as a basis for discussion about how the team can do better in the future (if it is going to continue) or how the members can improve their contributions to other teams they are on now or will be on in the future. We suggest trying out these questions to assess and evaluate a current or recent team experience you have had. The questions deal with team members' con�idence, unity and trust, pro�iciency, and teamwork.

Assessment 4.4: How Does Your Team Measure Up?

Click here (https://ne.edgecastcdn.net/0004BA/constellation/PDFs/MGT460_2e/Assessment4.4.pdf) to download this assessment.

Instructions: Ask the members of the team to think about the questions, and then talk about your viewpoints.

Source: From First-Time Leaders of Small Groups: How to Create High Performing Committees, Task Forces, Clubs, and Boards (p. 227), by M. London and M. M. London, 2007, San Francisco, CA: Wiley/Jossey-Bass. Adapted from "Teams' Female Representation and Perceived Potency as Inputs to Team Outcomes in a Predominantly Male Field Setting," by R. R. Hirsch�ield, M. H. Jordan, H. S. Field, and A. A. Armenakis, 2005, Personnel Psychology, 58, 893–824.

When can this assessment be used? This assessment was designed to be used most any time during the team's life. The leader or facilitator can ask members for their responses and then review them with the team. Or each area can be a topic for discussion as the leader directs the team members to take a break from work to re�lect on how they are working together. For example, consider the following.

A discussion about team members' con�idence can reveal doubts, misunderstandings, or ideas to make the team more productive. If the members feel that the team is at risk in not accomplishing its goals, the members should discuss this, discover why, and �ind ways to do better. Perhaps the goals or timeline are too ambitious. Perhaps some members have misgivings that are unfounded—for instance, because they haven't had the experience that other members have had in working on similar tasks.

A discussion and assessment of team unity and mutual trust between members and the leader and members can help to determine team dysfunction. The leader can guide the team through a discussion about the extent to which members feel camaraderie and team spirit as well as shared goals. Note that this can be relevant to teams that work virtually as well as teams working in person, as virtual teams develop a sense of identity and strong relationships even when members don't meet in person.

Issues of team pro�iciency and teamwork are the other topics for discussion based on this assessment. Evaluation of these topics focuses on objective information about whether deadlines are met and expected goals are reached. Some topics, such as quality of work, are a matter of opinion. Members can collect information from those outside the team who use their work (the stakeholders who commissioned the team, or the customers who use the team's output). The members can also re�lect on their interactions—for instance, how well they resolved con�licts and what they would do differently the next time con�licts arise. Topics such as members helping each other, their participation during meetings, and their mutual respect can also be discussed openly to reveal problems that may fester and cause dysfunction if not addressed.

Now, consider what you should do as the team reaches its end point, or stage of adjournment. Here are some possibilities (London & London, 2007, p. 225):

Make a checklist of all �inal arrangements, with dates and who is responsible. Call or get a report from each team member. Remind members of the importance of the goal, its visibility, what the organization has to gain, and what they each have to gain. Seek feedback from and give feedback to the team as a whole. Thank each person. Remind each one how much the team and the organization is depending on her or him. Remember that burnout is likely; you probably will feel it yourself. Maintain accountability.

We would like to highlight that this team assessment can be used to measure gaps in team leadership in the organization, much as we discussed other instruments and approaches for measuring leadership gaps in the earlier chapters.

Considering Six Case Examples: Approaches to Steps in Team Leadership

The team leader needs to get the team off to the right start, work smart, help the team learn and improve, and assess the team's progress and achievements. The following summarizes how the leaders of the six cases we described throughout this chapter could approach each of these steps. Read through each case and consider what you would do if you were the leader of each team. Can you think of some other leadership strategies given the teams' challenges and opportunities, their membership and goals, and how they can bene�it from learning together?

Case 1: Emergency Room Lab Test Quality Improvement Team

Get off to the right start Work smart Help the team learn Assess the team's progress and achievements

Explain opportunities for improvement and the value it will provide.

Establish procedures for the quality improvement process, such as reviewing work �low, identifying frequency of different problems, identifying reasons for most frequent problems, brainstorming ideas for improvement, testing improvements, implementing changes, and monitoring to hold the gains.

Members may not be open to new ideas because they are steeped in their technical knowledge and expertise. Show some examples of how emergency rooms at other hospitals have improved.

Review with the team how well people are working together, evaluating outcomes and identifying changes members would like to make in the team process.

Case 2: Appliance Store Chain Anniversary Celebration Planning Team

Get off to the right start Work smart Help the team learn Assess the team's progress and achievements

Discuss possible initiatives, agree on what will be done, assign roles and responsibilities, and monitor implementation and outcomes.

Maintain structure and assignments; hold members accountable for meeting their commitments.

Learn to work together to accomplish a special initiative, and support a positive, collaborative work climate among employees.

Review outcomes. Discuss with the team members what worked well, what didn't, and what they will do differently for the next campaign.

Case 3: Museum Expansion Feasibility Analysis and Planning Team

Get off to the right start Work smart Help the team learn Assess the team's progress and achievements

Discuss design possibilities, giving everyone chances to voice their opinions.

Set a regular schedule of meetings to be sure all members will be available and have the time to participate; recognize that all members have a stake and an ego invested in their contributions to the museum; focus on the value of the planned expansion to the community, thereby taking into account a range of stakeholders.

Learn how other museums with tight budgets raised money for an expansion and developed an attractive, useful, and costeffective design.

Use this initiative to generate board and community commitment to the museum as a valued quality-of-life asset. Members who feel this is a signi�icant, long-lasting initiative will feel more engaged and be ready to contribute their time and money to future endeavors in support of the museum.

Case 4: Newspaper Website Redesign Team

Get off to the right start Work smart Help the team learn Assess the team's progress and achievements

Develop a structure that includes arriving at a concept, structuring a design and implementation plan, and collecting feedback on prototypes from online readers.

Be sure assignments are clear and that everyone has a chance to contribute their expertise. Hold a team- building session early on during which members share their prior experiences so that everyone on the team will see each other similarly and know how they can all contribute to the new website.

Identify other newspapers with a strong online presence and other types of websites that harness the power of the Web to deliver information and build loyalty. Suggest that members of the team take each other's roles in a short role-playing exercise, especially if they are out of their area of expertise, so they will understand the pressures and perspectives of other members.

Hold periodic review meetings to examine progress, determine whether team members have met their commitments midway into the design phase, and discuss any barriers that occurred that hindered collaboration.

Case 5: Community Action Team

Get off to the right start Work smart Help the team learn Assess the team's progress and achievements

Discuss alternatives for the site and the options for a park to determine uses and alternative costs depending on the design. Arrive at a tentative design that will be the banner that the community action group will wave as an alternative to more commercial or residential development.

Collect and analyze data on traf�ic patterns and the degree to which a community park would hinder further congestion. Ask members who have strong communication skills to develop a campaign, thereby using the expertise of community members to best advantage. Determine the town's decisionmaking process and who has the most in�luence, and brainstorm ways to in�luence decisions. Match expertise to roles.

Learn from other community action teams. Invite a community activist to address a future meeting of the group. Listen to everyone's ideas about goals and process and have patience with people who care about their community but have little experience with being a community advocate.

Survey community members about their attitudes; have a campaign with visible signs of support (e.g., yellow ribbons on trees), and count those signs. Examine member roles and whether they are meeting commitments. If they are not, change assignments, giving people roles for which they are better suited.

Case 6: Regional Bank C-Level Team

Get off to the right start Work smart Help the team learn Assess the team's progress and achievements

Hold open discussions at regular (weekly) meetings of the C-level team.

Suggest trying different strategies for collecting information from employees and communicating to employees about plans and the honest prognosis of the bank's prospects. The CEO can create and describe a realistic yet optimistic vision for the future and the stability of employment.

Hire a team facilitator or coach to work with the vice presidents, perhaps collecting 360-degree feedback data on them so they can better understand how they are perceived by their employees, peers, internal and external customers, and the CEO.

Hold a retreat for the vice presidents and their immediate subordinates semiannually to discuss pro�itability, initiatives, and collaboration.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is the purpose of a team assessment? 2. When can leaders conduct team assessments? 3. What are four possible areas of team assessment?

Summary and Resources

Chapter Summary

We began this chapter by considering the difference between groups and teams. Teams are groups of individuals who are working in sync to accomplish a shared goal. As such, we focused this entire chapter on team leadership challenges and ways leaders overcome them. Team leaders are directors and facilitators. They prepare to lead by recruiting talented members (those with the knowledge, skills, and experience to accomplish the team's goals). They structure the task while empowering members, involving them in setting goals and making decisions in light of both external and internal constraints, such as limited resources or tight timelines (external) or member differences in professional background (internal). Given advances in communication technologies and cross-organizational and cross- cultural teams, leaders and members need to learn to be effective in virtual (online) as well as in-person environments.

We outlined steps for preparing to lead (identifying challenges; ensuring talent, time, and task structure; planning the team's development; and determining your style of leadership). We also outlined steps for taking the lead (getting off to the right start, working smart, helping the team get better, and assessing the team's progress). We described each of these steps throughout the chapter, giving examples from six sample teams. Leaders should anticipate possible team dysfunctions and consider how to overcome them, such as by building trust and resolving con�licts. The leader and the members support each other by taking on different roles, such as contractor, contributor, creator, completer, critic, cooperator, communicator, calibrator, consul, and/or coordinator. Teams develop through stages of forming, storming, norming, performing, and adjourning (re�lecting on accomplishments and ways of improving team processes). Team leaders engage in a balancing act, balancing members' vested interests with working toward a common vision and shared goals, balancing controlling the team with empowering members to act on their own, balancing exploration with reaching conclusions, and balancing taking action with taking time for re�lection. At different times, leaders need to pay attention to transactions (the logistics of getting things done) and transformation (communicating and engendering members' commitment to a single vision for the team).

Leaders help the team learn to be adaptive (making incremental changes), generative (being proactive in creating new ways of doing things), and in some cases transformative (making radical changes in purpose and methods). Teams are likely to be more generative and trans-formative when the team needs to respond to pressures and opportunities that trigger learning and when the members are open to new ideas and value learning for its own sake. Finally, leaders need to assess the team's progress and provide feedback to individual members and the team as a whole as a basis for understanding how well the team did, why, and what the team can do in the future to improve.

Leadership Exercise

Instructions: Select a team that you want to analyze. This can be a team you are a part of now or a team you were involved with in the past as a team leader or a team member. Or this could be a team you have observed. Think about the team you belonged to or observed. Then, address the following questions about team leadership:

1. What were the greatest challenges faced by the leader? 2. Did this team have the components for a high-performing team? 3. Were there signs of dysfunction at different times? What were these, why did they occur, and how were they (could they be)

overcome? 4. Did the members trust the leader? Did the members trust each other? Why or why not? 5. What roles did the leader play, and how were these roles related to what was happening on the team at the time? 6. Did the members and the leader share a common vision? 7. Did the leader balance members' vested interests with establishing a common goal? 8. Did the leader empower members to participate while structuring the task suf�iciently to get the work done? 9. Did the leader provide time for the team to re�lect on how well it was doing and what could be done to improve team performance?

10. What did the team members learn about being on a team? 11. What outcomes did the team produce? Were they adaptive, generative, and/or transformative?

Web Resources

Listen to education consultant Rick DuFour talk about the difference between teams and groups, using Michael Jordan and Tiger Woods to emphasize the importance of team member interdependence: https://www.youtube.com/watch?v=0hV65KIItlE (https://www.youtube.com/watch?v=0hV65KIItlE) In a series of talks, NASA engineer Adam Steltzner describes the skills he needed to lead a high-performance team—one that would land a rover on Mars: https://www.youtube.com/watch?v=p1rTY5KlF0E (https://www.youtube.com/watch?v=p1rTY5KlF0E) Check out this simple, animated example of a team practicing consensus decision making when it comes to picking an ice cream �lavor: https://www.youtube.com/watch?v=9SjUjXkyWBw (https://www.youtube.com/watch?v=9SjUjXkyWBw) Educator Shirley J. Caruso outlines steps and tips for reaching consensus: https://www.youtube.com/watch?v=eRAkBXdNHng (https://www.youtube.com/watch?v=eRAkBXdNHng)

Leadership development consultant Paul Mitchell outlines a step-by-step approach to translating values to action when leading teams: https://www.youtube.com/watch?v=U5yshOu5SN4 (https://www.youtube.com/watch?v=U5yshOu5SN4) This Microsoft blog post features business professor and anthropologist Linda Hill and her thoughts on developing a team of innovators: http://blogs.microsoft.com/work/2015/06/25/how-to-lead-a-team-of-innovators-set-the-stage-for- genius/#sm.00018tib5q43fdn3sn21k5gri65lq (http://blogs.microsoft.com/work/2015/06/25/how-to-lead-a-team-of-innovators-set- the-stage-for-genius/#sm.00018tib5q43fdn3sn21k5gri65lq) Watch this inspirational video about the power of teamwork and shared values, inspired by the U.S. Navy's �light demonstration squad, the Blue Angels: https://www.youtube.com/watch?v=VhnylkfKUH4 (https://www.youtube.com/watch?v=VhnylkfKUH4)

Key Terms to Remember

Click on each key term to see the de�inition.

adaptive learning (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Making small responses to pressures and changes in the environment.

collective orientation (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A tendency for team members to support one another and value their membership on the team.

fault lines (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Divisions within a diverse group.

generative learning (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The process of being purposely proactive to make marked changes.

group (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Two or more people working together to deliver, for example, a product or service.

groupthink (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Group behavior characterized by ignoring outside opinions, having no clear decision-making rules, and simply going along with a prevailing opinion.

high-performing team (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A team in which members understand their roles, have practiced their interactions, and coordinate to vary these transactions to meet changing and uncertain (sometimes unpredictable) situational conditions.

identity negotiation (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A process that involves team members introducing themselves and indicating how their background or experiences �it the needs of the team.

member interdependence (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The extent to which each team member's work depends on that of other members of the team.

psychological safety (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A condition or state in which team members can be characterized as respecting each other's abilities, being interested in each other as people, not being rejected for being themselves and stating what they think, and believing that other members have positive intentions.

role clarity (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The extent to which members of a team know what they are expected to do.

shared mental model (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A mutual understanding and vision of how things operate or work, such as how a team will solve problems or set goals.

team (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A group in which members have distinct roles and work in tight coordination to achieve a common goal.

team authority differentiation (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The extent to which a team has a designated leader who orchestrates the team process and a structure that differentiates members' authority.

team cognition (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A common way of thinking; part of the development of a shared mental model.

team learning (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The process of team members sharing their own knowledge and expertise, generating new knowledge, and evaluating and combining this knowledge.

team skill differentiation (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The extent to which a team requires members with different skills having to work together to accomplish a task.

team temporal stability (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The extent to which a team is ongoing and relatively stable in membership.

teamthink (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Any way or strategy used to overcome groupthink, such as using constructive thought patterns.

transformative learning (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The process of making fundamental change in purpose, goals, or structure.

Making small responses to pressures and changes in the environment.

Click card to see term 👆

Choose a Study ModeView this study set

5 Leading Organizations

Learning Objectives

After reading this chapter, you should be able to

Explain three areas of focus for organization leaders: ef�iciency and process reliability, adaptation and innovation, and human resources and human relations. Apply strategic approaches to team leadership, speci�ically collaborative and adaptive leadership. Explain the leader's role in creating the key components of the organization's strategic plan. Discuss organization change and the leader's role in managing change efforts. Discuss organization culture and how leaders create cultures that embody employee engagement, innovation, ethics, and a feedback focus. Describe succession planning and leadership development and what it takes for leaders to make those processes effective. Analyze the challenges facing leaders today.

Tomohiro Ohsumi/Getty Images News/Getty Images AsiaPac

The hierarchical approach to organization leadership empowers from the top down. The "emergence" approach involves empowering employees to organize at every level.

denis_pc/iStock/Thinkstock

Introduction

There are two general ways to frame leadership at the organizational level. One is a top-down hierarchical approach. This is the way we commonly think about organizational leadership. Executives at the top of the organization, led by the CEO, chairman of the board, member of the executive team, or head of a business unit, create the vision, make decisions, and set action strategies. Heads of smaller organizations make similar decisions and set actions in motion, even though they might not necessarily have the whole support structure of a Fortune 500 company.

Another way to view organizational leadership is from the perspective of emergence, where the leader acts by enabling employees to self-organize at every level. From this perspective, leaders provide organizational members with the resources and authority to act (Burnes, 2005; Smith & Graetz, 2011). Morning Star, a large tomato processor and food manufacturer, works this way. Employees at Morning Star manage themselves, initiating communications and coordinating with their colleagues without management control. They establish personal mission statements and negotiate commitments with the associates who are most affected by their work, so everyone knows what is expected of him or her (Hamel, 2011). These statements and commitments change from year to year as employees accept more responsibility and shift their job assignments to match company needs and their career interests. Morning Star business units operate the same way, with employees negotiating customer-supplier agreements with each other, paying attention to the unit's pro�it and loss.

Of course, the preferred leadership model is not one or the other. Remember our discussion of balanced team leadership in Chapter 4. Leaders balance creating the vision with recognizing team members' vested interests. Leaders balance maintaining control with engaging team members to act. And leaders balance acting with taking time for re�lection about what is working well and what can be improved. Organizational leaders engage in a continuous balancing act because

organizations are in an ongoing state of action, reaction, and accomplishment, and organizational routines constantly undergo adjustments to better �it changing circumstances (Weick, 2001). The hierarchical approach must be balanced with emergence.

So we begin this chapter with the following question: What does it take to be an effective leader of organizations? In this chapter, we discuss a number of considerations for effective organizational leadership. First, we provide an overview of three broad areas effective leaders focus on to help ensure organization success. Then, we discuss strategic approaches to leadership that are particularly relevant to leading organizations. Recall that Chapter 1 introduced you to three strategic leadership approaches: full range leadership, balanced leadership, and principled or ethical leadership. Our discussion in this chapter will add two more approaches to your repertoire.

The majority of this chapter, however, will be devoted to the four key competencies that leaders must demonstrate in the role of leading organizations:

1. Leading the strategic planning process and knowing how to create the organization's mission, vision, strategies, goals, and core values

2. Leading organization change 3. Leading culture change and knowing how to create cultures that embody employee engagement, ethical behavior, innovation, and a

feedback focus 4. Leading succession planning and development processes to identify and develop the next generation of leaders

How well do you understand each of these competencies? How well prepared are you to demonstrate them when the opportunity arises? Each competency will be discussed, in turn, in the following sections, providing you with insight and how-to suggestions for using these competencies as you consider your role in leading organizations.

Note that the focus of this chapter will be on both emergent and assigned leadership. We will, of course, touch on the competencies speci�ic to C-level executives, but we will also observe how lower-level organizational leaders or the leads of business units and small businesses can contribute to leading organizations. After the competency discussion, the chapter will close with a look at two timely and relevant leadership challenges—leading a multigenerational workforce and leading in times of crisis and adversity.

Although this chapter is about the role of leading organizations, you will �ind that it reinforces the themes established for this book:

Leaders need to lead themselves, other individuals, teams, the organization, and networks of associates within and outside the organization. Leaders need to assess their own skills, knowledge, and abilities and those of others and determine the gap between these competencies and the competencies needed to be effective in their organizations. Leaders create the culture in their organizations; as such, they can inculcate the kind of culture needed to ensure organizational success. Leaders need to use technology to communicate effectively across cultural boundaries. Leadership is a balancing act.

Ethical leadership is critical at all times.

Before we begin, we must �irst lay some groundwork. As in previous chapters, the Mone-London model will be used to depict and explain the leadership role. We applied this general model in previous chapters to conceptualize how leaders lead themselves, their individual employees one to one, and teams. In this chapter, the model describes the relationship among the leader, the direction the leader sets for the organization, and the leader's role in creating, developing, and managing performance (see Figure 5.1).

Figure 5.1: The Mone-London organization model applied to leading organizations

The Mone-London organization model illustrates the cyclical process of organizational leadership: The senior leadership, at the top of the �igure, strives for innovation, growth, and pro�itability and determines the direction-providing components (mission, vision, goals, strategies, and core values) through the strategic planning process. These direction-providing components then drive decisions for the role- performance components (strategic planning, organization and culture change, leadership development, and sound relationships), using key performance enablers. The organization and its members produce results, which, in turn, in�luence the senior leadership in setting future goals and strategies. All of this takes place in the context of the environment.

As depicted in the Mone-London organization model, the leader's role in leading organizations and striving for innovation, growth, and pro�itability is to use the strategic planning process to provide direction: creating a clear mission, vision, set of strategies and goals, and core values to support the organization's success and its ability to adapt to changes in the environment. The results of the strategic planning process provide the guidance for how the strategic business units and different functional departments in the organization stay aligned and contribute to the organization's overall success. These strategic plans are then interpreted by executives and managers at lower organizational levels and used to direct actions and behaviors (performance) that ultimately produce results. Situations in the environment within and outside the organization affect all of these components.

The components of the leader's role performance in an organization include the action-based leadership competencies we will discuss in this chapter. Today, these competencies may be used to support a global enterprise, to recognize the value of a diverse workforce at home and abroad, to act ethically and in a socially responsible way for long-term viability, and to deliver on the promise of both employee and customer satisfaction. In addition, these competencies give rise to a leadership that produces innovation, sustains organizational growth, and plans for the future.

In an organization, factors that can enable performance include key performance measures that are communicated and cascaded throughout the organization (as discussed in Chapter 3). In addition, the organization has policies and programs that enable leader and employee performance, thereby helping leaders to successfully carry out their roles. One example is a performance management system, which typically includes goal setting, feedback, development, and performance appraisal processes. The human resources and training departments may develop these systems, but it is up to individual managers to implement them. As discussed in prior chapters, leaders review performance, provide feedback to direct reports on a regular basis, and create a climate in which their direct reports can discuss performance issues with them and together identify ways to improve.

Having an engaged workforce is another factor that enables the leader to produce results. Of course, the leader produces and supports an engaged workforce through performance management methods, a respectful and considerate leadership style, and mentoring and coaching.

For more perspective, consider watching at least the �irst 5 minutes of this video on leading industrial organizations: http://www.youtube.com/watch?v=4zUq7tnKeD8 (http://www.youtube.com/watch?v=4zUq7tnKeD8) . The video is from INSEAD, a leading European business school located in France, and it contains an interview with Henri-Dominique Petit, CEO of Bacou-Dalloz, a multinational company that manufactures industrial safety equipment. In the interview, Petit describes characteristics that are needed for leaders today at all levels of an organization, not just at the CEO level. One key characteristic he mentions is the importance of building bridges across the organization and with other organizations, especially in our increasingly global environment.

This clip discusses why it is necessary for leaders to have a vision that can be shared by those who follow them.

Adapting to Change

Critical Thinking Questions

1. What might happen if a leader neglected to get others on board with his or her vision?

2. As a leader, how would you help to incorporate your vision into the culture of your organization?

5.1 Performance Dimensions for Organization Leaders

To enhance organizational effectiveness and ensure organization-level success, leaders at all organizational levels in large and small organizations tend to focus on three major areas, or determinants of performance: ef�iciency and process reliability, adaptation and innovation, and human resources and human relations. This idea is based on a theory developed by Yukl and Lepsinger (2004) called �lexible leadership theory, in which leaders are able to alter behavior and action as necessary in these three broad areas to drive organization effectiveness.

The importance of these areas will vary by organization and time, and these areas are affected by the external environment. They also interrelate, so efforts to enhance effectiveness in one organization factor will affect the others. Flexible leaders need to carefully monitor and evaluate these three performance dimensions to determine when and where to intervene and to understand the impact of that intervention on all performance dimensions. Leaders should recognize that their direct task and relationship behaviors will have a positive effect when used appropriately within a performance dimension, and that those leaders' behaviors can be reinforced and enhanced by virtue of the implementation of various supporting programs, processes, and systems. Each of the performance dimensions is discussed in the following sections.

Ef�iciency and Process Reliability

Ef�iciency is the use of people and resources to perform work in the organization in the most cost-effective manner, avoiding waste and unproductive activities. Being ef�icient becomes more strategic when the organization decides to compete on price. Leaders can enhance organization ef�iciency in a number of ways, such as restructuring the organization by reallocating personnel, redesigning processes to eliminate redundancies, and improving coordination between team members. Leaders also enhance effectiveness through the use of task- focused behaviors and styles (see Chapter 1). Further, leaders can in�luence ef�iciency through the types of organization programs, systems, and processes they implement and support (for example, Six Sigma and outsourcing).

Process reliability refers to consistency in quality or performance. It is necessary to ensure there are no delays in service, product defects, or production errors. Process reliability becomes most strategic when unreliable processes could result in signi�icant harm to employees (e.g., on-the-job accidents), harm to customers (e.g., Volkswagen's scheme to override emission testing equipment, making its cars seem more ef�icient than they actually were), or a major negative impact on the bottom line (e.g., requiring costly recalls or reducing sales). Leaders can enhance process reliability by ensuring quality and product standards are maintained and by emphasizing a task focus. Leaders can also introduce programs, such as goal setting and recognition (see Chapter 3), that emphasize safety and process improvement.

Adaptation and Innovation

Adaptation is a response to the environment that typically requires changes in the organization's mission, strategy, overarching goals, products, processes, or services. These changes may be due to the identi�ication of important threats or opportunities in the environment; adaptation may also be proactive, as an outcome of the organization's strategic planning process, or reactive, as a response to major organizational change. Leaders can help position their organizations for greater adaptation by promoting organization learning, knowledge sharing between team members, and �lexible work processes, such as �lexible work schedules to accommodate employees' personal needs.

Innovation is a form of adaptation that involves modifying or creating products and services to better meet current or evolving needs or, in some instances, to give birth to entirely new markets (e.g., Apple's iPad). It involves both continuous improvement and breakthrough change. Sometimes this requires being inef�icient, at least for a time. Often, a leader may need to be temporarily inef�icient in order to facilitate innovation, and then buckle down to turn innovation into ef�iciency.

Innovation is most important in turbulent, uncertain markets. For example, consider how manufacturers of �lat-screen televisions sought to survive increased competition by debuting various innovations, particularly with an emphasis on large screens and 3D technology. Innovation is often driven by signi�icant technological change or the entrance of new competitors and is used to differentiate the company from its competitors. Leaders can drive innovation through the implementation of creativity and innovation programs and setting goals for innovation that can be tracked through performance management systems. For instance, a business unit might set up a research and development team to review the competition and new technology and

Adapt to Change From Title: Nurturing Leadership (https://fod.infobase.com/PortalPlaylists.aspx? wID=100753&xtid=65018)

© I f b All Ri ht R d L th 02 05

 0:000:00 / 2:05 / 2:05 1x1x

Apple's iPad is an example of innovative change. Can you think of any other products that exemplify innovative change?

Westend61/SuperStock

design product innovations. A leader might aim to bring a new product, or a substantially revised product, to market within a designated period of time, similar to how Apple introduces new iPhone models or how it sought to develop a smart-watch. We address how to build a culture of innovation in Section 5.5.

To better understand innovation, watch Carl Bass's TED Talk about how innovation is taking risks and breaking the rules and how this happens in companies—which by nature are risk averse—by hiring the right talent. Bass is president of Autodesk, a leader in 3D design, engineering, and entertainment software. He talks about how innovations create new products and services that respond to what people want and how organizations are doing business differently: https://www.youtube.com/watch?v=YKV3rhzvaC8 (https://www.youtube.com/watch?v=YKV3rhzvaC8) .

Human Resources and Human Relations

As we stated earlier, leaders at all organizational levels, in both large and small organizations, tend to focus on three major determinants of performance: ef�iciency and process reliability, adaptation and innovation, and human resources and human relations. As the repeated use of the word human suggests, the third determinant of performance focuses on how well people in the organization work together to accomplish the organization's goals.

Human resources refers to the skills and experiences of organization members that can help the organization achieve its goals. Knowing what work needs to be accomplished and knowing how to accomplish it is strategically important to the performance of all organizations. Leaders can build effective human resources through effective selection, training, and employee development.

Human relations refers to the levels of cooperation, trust, commitment, and engagement in an organization. When team and collective efforts are required for success, more effective human relations result in higher levels of performance. Leaders can strengthen human relations by building trust and empowering others (see Chapter 3), creating a culture of engagement among the people in an organization (see Section 5.5), and using a measure for evaluating those efforts.

Human resources and human relations skills are most important when the work requires complex skills, when the skills are dif�icult or take signi�icant time to develop or acquire, and when the requisite skills and knowledge are not readily available or prevalent in the labor force. An organization that has a competitive strategy primarily based on the knowledge and skills of employees, such as a consulting �irm, demands strong human resources and human relations.

Leaders can demonstrate relationship-focused behaviors and styles to increase the effectiveness of human resources and relations (see Chapter 1). Leaders can also build talent and enhance cooperation through performance management practices, as well as through leadership development and succession planning programs.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the three broad areas of leadership focus? 2. When is innovation most important? 3. Is process reliability important only in manufacturing organizations? Why or why not? 4. What kinds of situations might demand strong human resources and human relations?

Leaders are more effective when they use in�luence, rather than power.

Blend Images/Blend Images/SuperStock

5.2 Strategic Approaches to Organizational Leadership

Let's take a moment to consider the difference between power and in�luence. In Chapter 1, we de�ined power as "a person's capacity to in�luence others" and observed that power can stem from various sources: Power can be described as reward, coercive, legitimate, referent, or expert, and certain types of power tend to be more effective when leading others. While the word in�luence is used to de�ine power, the word refers more to referent power. A leader who uses in�luence instead of power to direct followers' behavior is able to inspire and motivate without forcing or imposing her or his will or manipulating others. Leaders will be more successful when they focus on in�luence over power and recognize the value of their followers expressing their opinions and in�luencing decisions. This is true especially when followers' commitment and expertise are needed for an organization to be successful as a whole. (For more perspective on this, see Spotlight: Bing Gordon and In�luence.)

The importance of in�luence over power is increasingly evident as leaders move upward in an organization's hierarchy and must focus on leading over managing, as we noted in our discussion of Hunt's framework in Chapter 1. Why? When attempting to shape the hearts and minds of thousands of people, leaders are most effective when they use transformational behaviors, such as idealized in�luence and inspirational motivation (see Chapter 1). It is almost impossible to motivate an entire organization of employees through the use of contingent rewards. The following is a list of tactics that leaders at all levels can use to in�luence others (Yukl, 2010):

Use rational arguments based on logic or facts. Show how taking an action is a positive step for the person. Appeal to the values and ideals held by the person. Be inclusive and participative regarding plans and decisions. Provide an appropriate "quid pro quo." Make a personal appeal (for example, "Do it for me as a favor"). Offer sincere praise that recognizes the other's ability to carry out a dif�icult task. Rely on the support of others to persuade the person to take action.

Spotlight: Bing Gordon and In�luence

According to Bing Gordon, a graduate of Stanford Business School, the former chief creative of�icer at video game company Electronic Arts, and now a partner at venture capital �irm Kleiner Perkins Cau�ield & Byers, leadership is about being a teacherconsultant more than a wielder of power:

There's a cost to having power, which is that the people you have sway over actually own you, especially if you're in a business where there are more jobs than there are good people. I like having in�luence. I like being with interesting people and helping them become better and being part of the �low of ideas. And that's a little bit uncomfortable as a boss. It doesn't make sense to people that the boss, who is kind of a �igurehead and maybe a con�idence-giving parent �igure, just wants to be an experienced helper. (Bryant, 2011a, p. BU2)

Of course, Gordon is a venture capitalist, which is a different sort of leadership role, one that requires nurturing good ideas and the people who develop and implement them. A venture capitalist needs to be a "guide on the side" for those he or she invests in, rather than someone who directs their performance. However, the people who work in the venture capital �irm for Gordon also have their own ideas, contacts, goals, and strategies. Gordon recognizes that these characteristics bring value to the �irm and need to be tightly integrated with the �irm overall. However, these ideas, contacts, goals, and strategies depend on individuals' drive, intelligence, and insight. Thus, Gordon aims to in�luence and shape their direction, as opposed to exerting power.

Re�lection Questions

1. What can leaders do to be teacher-consultants to their subordinates? 2. How can leaders at the top of their business unit or organization encourage all leaders in the organization to be teacher-

consultants? 3. How does being a teacher-consultant as a leader add value to an organization?

Discussing power and in�luence demonstrates how organization-level leaders must sometimes take a different approach to leadership or account for different factors. Recall how we talked about strategic approaches to leadership in Chapter 1, speci�ically full range leadership, balanced leadership, and ethical (principled) leadership. Unlike leadership styles, which describe what leaders should do, strategic

In order to collaborate successfully, partners must have chemistry.

Westend61/Westend61/SuperStock

approaches to leadership provide a higher-level framework for considering how to approach the problems and challenges leaders face in organizations. In this section, we discuss collaborative and adaptive leadership, two strategic approaches that are particularly applicable to leading organizations.

Collaborative Leadership

Collaborative leadership is an approach that emphasizes using leadership skills across functional and organizational boundaries. The goal is to create, through collaboration, more value than one could create acting alone. Business leaders often form alliances in response to the competitive business landscape in the United States and globally. Leaders at all levels need to have a collaborative mindset and always be on the lookout for potential partners. At the executive levels, collaboration can eventually lead to mergers, buyouts, or closely knit customer-supplier relationships (see, for example, Spotlight: Chris Viehbacher and Collaborative Leadership).

Anyone can be a collaborative leader by promoting close working relationships. At the lower levels, collaboration can build relationships between leaders and between units and teams, both within the organization and between organizations (e.g., customers and suppliers). Collaborative relationships at any level of the organization can increase the likelihood of shared goals, clear communication, and avoiding misinterpretations or assumptions that lead to costly mistakes.

Finding a Partner The �irst step in successful collaboration is to �ind a good partner. Note that a good partner is not simply someone who wants to collaborate with you. David Archer and Alex Cameron, in their book Collaborative Leadership: How to Succeed in an Interconnected World (2008), speci�ied that leaders should recognize that there are some people or organizations that they just can't partner with. Instead, leaders should have the courage to act for the long term. In other words, partnership is a two-way street. Leaders should �ind people who want to collaborate. If the prospective business partner is not responsive, move on, just as you would in a personal relationship. The individual may not see the value or may have other goals to accomplish that are different from the shared goals that could result from collaboration. Or, at least, the prospective partner fails to see the bene�it of collaboration at the time when the leader suggests a partnership.

Rosabeth Moss Kanter, whose 1994 Harvard Business Review article about collaborative leadership is now a classic, has indicated that there are three key ingredients to a successful collaborative relationship. First, the partners need to know themselves and, if they are high-ranking executives, their industries. They need a clear and accurate self-analysis to know what they are capable of accomplishing. Second, the partners need chemistry—rapport that makes them

believe they can work together. As Archer and Cameron (2008) noted, leaders should �ind the personal motive for collaborating. Having common personal and social interests can help build this rapport. Third, the partners must be compatible: They must have common experiences, values, and principles, as well as shared goals for the future. At the organization level, it is of course of utmost importance that the partners have �inancial compatibility, which is often determined by the companies' �inancial analysts. Executives usually need to focus on evaluating the less tangible aspects of compatibility.

For Kanter, a business or corporate collaboration is much like a romantic partnership. "Relationships between companies begin, grow, and develop—or fail—much like relationships between people," she wrote (1994, p. 98)—and it is true that couples' patterns of courtship and engagement are not unlike those of organizational partnerships. In her article, Kanter outlined eight characteristics of an effective collaboration—"eight I's that create successful we's" (1994, p. 100):

1. Individual excellence. Both partners are strong and have positive reasons for entering into the alliance. 2. Importance. The leaders recognize the strategic advantages of the alliance. 3. Interdependence. The leaders need each other. 4. Investment. The leaders are willing to invest in each other. 5. Information. Both partners engage in ongoing communication and information sharing. 6. Integration. The partners share ways of operating for smooth interaction of work processes. 7. Institutionalization. The responsibilities of each party in the alliance are clear. 8. Integrity. The leaders are honest with each other (they do not mislead or misuse information).

Implementing and Integrating Like a newly married couple, partners must set up housekeeping after entering into a collaboration. In other words, there needs to be operational integration, meaning ways to carry out the collaborative work on a daily basis. This requires explaining and involving others in the organization who need to be committed to the alliance, understand its purpose, and envision its potential to create future value for all the parties involved. Employees or direct reports on both sides usually will need to collaborate, sometimes merging or sequencing work processes, sometimes relinquishing responsibilities in favor of one partner or the other. For instance, in an international alliance, employees may need training and support in communication skills and cultural awareness to bridge differences and gain an understanding

and appreciation of language and cultural differences. Employees can be empowered to do what is necessary to make the partnership a success, but they also need resources for learning support and cross-functional teamwork. Perhaps due to the multitude of ways we communicate electronically, there are also more chances for miscommunication and more ways for employees to undermine the collaborative effort if they are not fully on board. Archer and Cameron (2008) recommended that leaders �ind ways of simplifying complex situations for their people, prepare for how they are going to handle con�lict well in advance, and actively manage the tension between focusing on delivery and focusing on building relationships, including strong personal relationships at all levels.

In short, collaboration requires elements of transactional and transformational leadership. Any collaboration, especially a complex corporate merger, has thousands of details large and small to orchestrate. These details are all part of a backdrop of cultural differences— national culture, language differences, and corporate culture. Success also depends on overcoming uncertainty, fear, and resistance to the status quo. People at all levels need to accept the challenges, be fully engaged, and work willingly with others. Leader behaviors need to be transformational in nature to help employees to ultimately see the value in the alliance, to be committed to the overarching goals, and to be highly motivated to achieve them. Archer and Cameron (2008) suggested leaders inject energy, passion, and drive into their leadership style, have the con�idence to share the credit generously, and continually develop their interpersonal skills, in particular empathy, patience, tenacity, the ability to hold dif�icult conversations, and the ability to build coalitions.

What have you seen, and what is your experience with collaborative leadership? Consider the following questions:

Have you ever been in an organization that was involved in an acquisition or merger, or a strategic partnership? How would you characterize the behavior of the senior-most leaders during that change? Was their behavior effective? Have you ever led a team, or been on a team, that acquired new members? What leadership skills did you draw on, or did you see the leader draw on, to make everyone feel comfortable?

Some leaders may fear that building cross-organizational alliances will weaken integration of work processes within each partner organization. Kanter believes otherwise. She discovered that alliances can strengthen the local unit, as they prompt employees to acknowledge between-unit differences, respect local norms, and communicate frequently and clearly within each partner organization at all organizational levels (Kanter & Dretler, 1998). For example, the partnership may stimulate employees to analyze their work �lows within the organization to understand how they can best interface with those associated with the alliance.

For further perspective on the bene�its of collaboration, consider watching the following video featuring former Cisco CEO John T. Chambers: http://www.youtube.com/watch?v=9WX7BNnYTf8&feature=relmfu (http://www.youtube.com/watch? v=9WX7BNnYTf8&feature=relmfu) . Chambers explains how abandoning "command-and-control" leadership enabled this dynamic and pro�itable company to innovate more quickly, using collaboration and teamwork, as the Internet evolved.

Spotlight: Chris Viehbacher and Collaborative Leadership

In February 2011, Chris Viehbacher, the then-chief executive of Paris-based drug maker Sano�i-Aventis SA, announced that his company was purchasing Genzyme in Cambridge, Massachusetts, for $20.1 billion. Genzyme is the world's largest maker of biotech drugs for inherited diseases. This was the biggest drug acquisition since Merck & Co. agreed to buy Schering-Plough Corp. for $47.1 billion in 2009. Viehbacher explained that Sano�i was paying a premium price for Genzyme because the company wanted access to the best researchers and leading products.

This was the 29th and largest deal made under Viehbacher's relatively short tenure at Sano�i; he had joined Sano�i in December 2008. However, in just 2 years, Viehbacher made a wide range of acquisitions, including Gold Bond medicated powder, Chinese cough remedies, and an Indian vaccine maker. This was part of his plan to expand the �irm's revenue base, a strategy Viehbacher viewed as critical because Sano�i's bestselling pharmaceuticals, including its blockbuster blood thinner Plavix, faced generic competition (Mullin, 2011). Viehbacher understood the critical nature of collaboration. To make this collaborative venture successful, his board of directors, executives, and employees throughout the �irm, as well as their counterparts in the acquired �irms, needed to understand it as well. In fact, Sano�i's board members felt that Viehbacher had acted without them and further objected to Viehbacher initiating layoffs in France and moving his own of�ice to Boston. As a result, Viehbacher was ousted from Sano�i in 2014 (Herper, 2014) and in 2015 was hired to head a health care fund to invest in biotech and life science �irms.

Re�lection Questions

1. What do you think was required of CEO Viehbacher as a leader to convince his many stakeholders—from stockholders to executives within Sano�i and his merger partners—that this aggressive merger and acquisition strategy made sense? His experience shows this isn't always easy.

2. What leadership skills are needed to make these complex collaborations successful?

Adaptive Leadership

Adaptive leadership is an approach that engages and empowers followers to own and solve problems collectively, as a community, and to tackle problems that are hard to de�ine and have no clear, available solutions. For example, consider a community in which water is being

Adaptive leadership requires the ability to adjust to changing circumstances.

Hofred/iStock/Thinkstock

polluted by local industry, though the community heavily depends on the jobs that the industry provides (Heifetz, 1994). Or consider Social Security in the United States, in which there is con�lict between those who feel entitled to receive bene�its and those who are anxious about the growing de�icit. Both of these examples are complex, nonroutine situations that reveal the importance of adaptive work, in which having all parties involved and engaged in the solution is essential to �inding resolution.

Thus, adaptive leaders often avoid using their own authority to solve the problem because the problem itself is not sharply de�ined and no ready, clear solutions are available. Instead, leaders energize and mobilize followers, helping them to engage in and face the realities and con�licts necessary to resolve these dif�icult problems. This might involve motivating organization members to face dif�icult situations, such as making the necessary trade-offs to bring closure to the situation, addressing con�licts in values, or mitigating the gap between the values they hold and the reality they face in the organization. Leaders might need to evaluate the failure of the organization's culture to address problems, which might stem from the organization's own culture and values. Adaptive leaders become expert at provoking learning by asking dif�icult questions and by creating the expectation that the followers will develop their ability to create a solution. According to Heifetz (1994), who �irst put forth this adaptive leadership model, "In situations that call for adaptive work . . . social systems must learn their way forward" (p. 87). In the end, leaders and followers share a joint responsibility for success.

Heifetz (1994) offered �ive strategic principles for the work of adaptive leadership:

1. Identify the adaptive challenge. 2. Keep the level of stress and discomfort at optimal levels so the adaptive work can continue. 3. Maintain the focus of attention on engaging issues and not on distractions that may arise. 4. Ensure the work is absorbed by the people involved at a rate they can manage. 5. Provide protection for those without leadership authority who raise the hard questions and challenge the status quo.

Essentially, adaptive leadership is knowing what to do, when. As we noted in Chapter 1, full range leadership is adaptive leadership: A leader must know when it is more appropriate to use transactional behaviors and when to use transformational behaviors. Flexible leadership, discussed in Section 5.1, is also adaptive: Leaders must know what behaviors and actions to implement to support the three broad areas of focus. Adaptive leadership provides leaders with a framework for thinking about how and when to exercise their authority. When problems are routine and can be solved by current methods and technologies, leaders can more effectively rely on their legitimate power. However, when problems are hard to de�ine and clear solutions are unavailable, leaders need to engage and empower followers to own and solve the problems collectively, as a community, an effort that is more transformational in nature. When goals are clear, all parties agree to them, and the method for achieving them is determined by the available technology, then leaders should use a computational approach to decision making. In other words, they should calculate the best alternative choice from the methods available. However, if goals are clear and agreed to but methods are complex and uncertain, leaders will need to exercise their judgment.

As an example, consider a newly appointed chief information of�icer (CIO) who wants to upgrade the technology throughout her organization by introducing an enterprise-wide system that integrates key aspects of the organization's operations, including budgeting and �inance, human resource systems, and project management. She meets resistance from department heads who have invested in their own systems and do not see the value of a single system that allows relating these different aspects of operations. As an adaptive leader, she can allow the department heads and their people to discuss opportunities for system integration, observe how it works in other organizations, and consider how they might improve their existing systems to accomplish some of the same goals if possible. The CIO not only listens to concerns, but also engages these stakeholders in the process of evaluating what is needed, designing customizations that could make them more ef�icient now and assessing whether an enterprise-wide system is indeed right for the organization. Although she believes such a system is the best solution, she is willing to adapt by recognizing different perspectives, expertise, and needs and empowering the stakeholders to arrive at their own solution with her and her staff's guidance and support.

Measuring the Gap in Strategic Leadership

A leadership approach must be effective in producing the desired outcomes. For example, a collaborative leadership approach is useful when faced with mergers, acquisitions, or joint ventures. What determines the effectiveness of collaborative leadership is the extent to which the given partnership produces the desired results. If the results are not achieved, there is a gap in leadership. Measures, such as �inancial measures, market share measures, and others, are helpful for determining business results. Other measures, such as employee survey-based measures, can help to determine the extent to which the new organization culture is positive and includes a spirit of cooperation.

Adaptive leadership is useful at all organizational levels when faced with differences of opinion or resistance to change. What determines the effectiveness of adaptive leadership is the ability to recognize other points of view and ways others can contribute, as well as the ability to be �lexible enough to not just consider others' ideas but be willing to implement them. This shows trust in others, recognition of others' expertise, and a willingness to compromise. However, the adaptive leader does not just give up in the face of opposition. Rather, the leader

may use a variety of strategies to allow others to express their opinions, test their ideas, and consider alternatives. The gap in adaptive leadership can be measured by the extent to which organization problems are resolved to the satisfaction of all parties.

To be successful overall, leaders need to establish a map for guiding the organization, which also establishes the requirements for using one or more of the various leadership approaches. This map is the organization's strategic plan, which is the result of the organization's strategic planning process. Leading this process is discussed in Section 5.3 and is one of the key competencies in the leading organization role.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. How would you de�ine collaborative leadership, and when is it most effective? 2. How would you de�ine adaptive leadership, and when is it most effective?

The strategic planning process must include the organization's goals, its core values, and its mission.

amanaimagesRF/Thinkstock

5.3 Strategic Planning

Regardless of whether leaders are in a changing or a relatively stable environment, the direction for the future of the organization should be driven by the organization's strategic planning process. We introduced the idea of a strategic plan in Chapter 1 and discussed the fact that the plan should include the following components:

Statement of the organization's core values The organization's mission The organization's vision Strategies for achieving the mission and vision Overarching goals Long-term objectives critical to organization success, based on core values and derived from the mission and vision

In this section, we brie�ly describe the important components of a strategic plan and describe what it takes to create each component. Knowing how to develop each of these components is a leadership competency for the role of leading organizations. For the entire enterprise, leaders take a hands-on role in developing the strategic plan, although outside consultants may also be utilized in various stages of the strategic planning process. Most large organizations will schedule and track the process and timeline for plan completion in the corporate calendar, which includes key actions and events for the organization such as executive team meetings and budgeting. Regardless, senior leaders in most organizations, such as those heading large functional groups or business units, are almost always expected to carry out the strategic planning process for their direct organizations, in alignment with the overall enterprise direction.

How Core Values Are Developed

Core values are the deeply held beliefs that characterize and de�ine the behaviors necessary to ensure organization success. Some leaders need to be convinced that it is important to identify and communicate the company core values, while others invest in cascading a 360- degree feedback process, along with professional coaching, to managers throughout the organization to ensure that the managers' actions are aligned with the company's new core values. In fact, core values serve a speci�ic role in helping to shape the culture of the organization. Schein (1987, 2010) described core values as espoused beliefs—what leadership says about how employees will work and act together. Ideally, these espoused beliefs will be consistent with leadership's underlying and taken-for-granted beliefs and assumptions. According to Schein, core values are the deepest level of culture, meaning that they underpin the entire organization and will be expressed in all visible aspects of the organization, from its structure to its systems, processes, and policies.

Strategic planning starts with articulating the core values and behaviors that will underlie the organization's mission and how it is accomplished. Leaders start by discussing what they think their core values are or should be. As a result, the core values will be based in part on the leaders' cultural background and in part on the leaders' beliefs and conception of the type of company or business they want to lead. For example, Western culture emphasizes the values of individualism, creativity, and equality (Hofstede, Hofstede, & Minkov, 2010; House, Hanges, Javidan, Dorfman, & Gupta, 2004). Values emphasized in Eastern cultures include team-above-self (collectivism), respect for authority, and delaying grati�ication. Corporate values may incorporate such culturally based values and integrate values from different cultures, especially in a multinational corporation.

Once leaders have determined a proposed set of values, they can choose to further engage others for feedback by sharing and discussing them with their direct report teams or by engaging HR to conduct focus groups with employees about the appropriateness of the values. Being as inclusive as possible when soliciting input on the proposed draft of values and behaviors will go a long way in making sure employees commit to them.

Table 5.1 shows an example of one global Fortune 500 company's core values and samples of de�ining behaviors. Note how the company— one of the companies we worked with as consultants—chose to incorporate values from different cultures (e.g., the values innovation and working with others).

Table 5.1: Fortune 500 company core values and related behaviors

Core values Sample behaviors

Innovation We are constantly looking for ways to innovate and improve. We embrace change as an opportunity.

Challenges current ways of doing things and offers creative, alternative approaches Identi�ies opportunities and takes the initiative to create new products, services, systems, processes, etc. Anticipates and looks for creative ways to meet customer needs

Pursuit of quality We have a passion for pursuing continuous quality improvement and strive for excellence in all we do. We measure our progress and take fact-based action.

Maintains an optimistic outlook and demonstrates a high energy level Delivers results with ef�iciency and effectiveness in all areas of job performance Focuses on ensuring a quality customer experience that exceeds expectations

Working with others We communicate actively and openly and build trust by keeping our commitments. We respect and value diversity.

Collaborates effectively within and across departments to accomplish shared goals Communicates openly and clearly with people at all levels in the company Shows respect for others and their ideas regardless of department, position, or background

Acting with integrity We are honest in all interactions. We earn our reputation by adhering to the highest standards of ethics and integrity.

Is open and honest in dealing with others Makes decisions and acts responsibly, considering short- term and long-term results Operates within the letter and spirit of the law

Performance above expectations We strive for, recognize, and reward outstanding performance. We hold ourselves and each other accountable for achieving our goals.

Provides feedback to others to improve performance Sets clear performance and development goals and assesses own performance against those goals Owns, takes accountability for, and achieves results

Articulating these values is the start of developing a values-driven strategic plan. Not articulating these values at the outset of the planning process can contribute to disagreements among the leaders or owners of the business. Even for individual proprietorships, not recognizing the values that underlie what they aim to accomplish may lead to goals and decisions that are confusing or con�licting. In addition, articulating the values helps leaders to be clear about what outcomes are of utmost importance to them and what types of decisions and behaviors determine how they will go about accomplishing their goals. See Considering HR's Role in Developing Core Values and Behaviors for a look at how HR professionals can play a role in developing a company's core values and behaviors.

Considering HR's Role in Developing Core Values and Behaviors

HR professionals are called upon to re�ine the core values and further clarify and develop the de�ining behaviors. This is typically done because those in HR will normally be expected to use the values and behaviors as the basis for 360-degree feedback processes, performance appraisals, and leadership development programs. Through statistical analysis, HR professionals can ensure that each core value and its respective behavior set align effectively, providing a valid and reliable base upon which to build the performance management and development processes and programs, as well as others.

Once re�ined and clari�ied, the set of core values and behaviors is reviewed, analyzed, and discussed again by the executive team to ensure agreement with and commitment to the values. This is an extremely important step because the values need to be accepted by people in senior leadership positions. Employees will look to them to see if their behavior is consistent with the values, or in Schein's framework, to determine if the basic assumptions and visible behaviors of those in leadership are consistent with their espoused values. This is how employees determine the integrity of the leadership within the organization. In other words, do the leaders do what they say is important to do?

How the Mission Is Developed

Mission is what the organization does to make the vision a reality, or what it strives to create. In Chapter 1, we de�ined mission as "the fundamental purpose of the organization, or its reason for being—the business that it is in." As Abrahams (1995) wrote, "Every company, no matter how big or small, needs a mission statement as a source of direction, a kind of compass, that lets its employees, customers, and even its stockholders know what it stands for and where it's headed" (p. 33).

Mission statements may come in a variety of forms. For example, a mission statement might be a short statement, such as A�lac's: "To combine aggressive strategic marketing with quality products and services at competitive prices to provide the best insurance value for consumers" (MissionStatements.com, n.d., para. 8). (For more mission statements, see https://www.missionstatements.com/fortune_ 500_mission_statements.html (https://www.missionstatements.com/fortune_500_mission_statements.html) .) Or, a mission statement might be a short statement followed by a number of qualifying statements, which are often about the nature of the company's employees, its customers, and the marketplace. Mission statements may also include statements related to the company's shareholders, communities they serve, business partners, and society as a whole. At one point, for example, the Baldor Electric Company's mission statement read as follows:

An organization's vision re�lects the drive and direction of its members and, in particular, its leaders.

Culture Limited/Cultura Limited/SuperStock

This clip discusses why it is necessary for leaders to have a vision that can be shared by those who follow them.

Leading with a Vision

Our mission is to be the best (as determined by our customers) marketers, designers and manufacturers of electric motors and drives. To achieve this we must: provide better value to our customers than any of our competitors; attract and retain competent employees dedicated to reaching our goals and objectives; produce good, long-term results for our shareholders. (Funding Universe, n.d., para. 1)

Who should have input on writing the mission statement? Mission statements should be considered individually by each executive team member in preparation for a detailed discussion with the full executive team. The full team will usually set aside time to brainstorm elements of the mission statement and then leave the drafting of the statement to one of the team members. Alternatively, some executive teams go through arduous discussions and then draft several versions for the team to review and decide upon. Often during the process, the executive team will solicit input on the drafts from their direct report teams to test the meaningfulness of the mission statement. Some organizations may do something similar to what was described by Hempel (2006) as a "values jam" at IBM, with the top executive involving the entire employee population in an interactive, online dialogue to vet the mission statement. This latter technique can also be used for soliciting input on the vision statement, which we discuss next.

How the Vision Is Developed

In Chapter 1, we de�ined vision as the organization's "picture of the future, which clari�ies the direction for the organization in a high-level, general way." The vision addresses future aspirations and desired outcomes and often re�lects the emotions and passion that organizational members feel, especially the leadership (Burke, 2008). In addition, visions typically have a horizon of 3 to 5 years and act, in some ways, as a stretch goal for the organization.

Drawing on Kotter (1996), consider the following as characteristics of an effective vision:

It should be imaginable. It should convey a picture of the future— what it will look like. It should be desirable. It should appeal to all those who have a long-term interest or stake in the organization (employees, industry analysts, investors, bankers, customers, business partners). It should be feasible. Although it should pose a challenge or stretch for the organization, it still needs to be realistic and attainable. It should be focused. Along with the mission and other components of the strategic plan, it should be clear and plain enough to provide guidance to employees, managers, and leaders when making decisions. It should be �lexible. As a high-level guidepost, it should not be constrictive, as it needs to allow for employee autonomy and initiative across the organization. It should be communicable. It should be easy to describe and understandable to those outside the business, as it needs to be discussed and shared over and over again.

One good example of a short vision statement is the following: "To revolutionize the way IT powers business agility." Similar to the mission statement, the vision statement is generally discussed by the senior executive team and drafted by one of its members, and additional input is often sought from direct reports and employees.

How Strategies Are Developed

At the organization level, strategies answer the question "How will we achieve our mission and vision and lay the groundwork for setting organizational goals?" You may recall from Chapter 3 that goal statements de�ine the end result and strategies de�ine how the goals will be achieved. At the organization level, the mission and vision act as high-level goal statements, which then require the crafting of an initial, high-level strategy. Once that high-level strategy is determined, establishing more speci�ic goals, strategies, tactics, activities, and measures of success (as we discussed in Chapter 3) will follow. Strategies are determined at the overall corporate level for the entire organization and also at the level of its strategic business units; however, business unit strategies must complement one another and be congruent with and supportive of the corporate strategy.

Managers and leaders are often confused about what a strategy is, as well as how to construct one. An effective strategy is neither too abstract nor all encompassing; it should be speci�ic and clarify the major priorities for the organization. For example, a company that wishes to achieve its vision by having the right people and organization in place might de�ine its

Critical Thinking Questions

1. What might happen if a leader neglected to get others on board with his or her vision?

2. As a leader, how would you help to incorporate your vision into the culture of your organization?

Cirque du Soleil is an example of an organization that adopted the blue ocean strategy. Besides Apple and Google, can you name any other organizations using blue ocean strategic planning?

Wael Hamdan/age fotostock/SuperStock

initial, high-level strategy as "Build a talented, global workforce and an organization with the capability to learn and grow." From that statement, high-level goals would be developed and the unique, speci�ic strategies put in place. Essentially, the leader is working backwards by developing these strategies from the organization's overarching goals, which is the topic of the following section.

Strategies are usually derived as a result of discussion among the organization's leaders based on the analysis of data (e.g., available market share), number and size of competitors in a product area, market needs, and the like. The discussion would focus on de�ining the current business, performing external and internal audits of how well things are working now and where they are working better (e.g., competitors), and formulating a new direction (Dessler, 2011). There are a number of strategic areas for companies to consider as they develop their strategies. For example, Tregoe and Zimmerman (1980) presented nine basic strategy areas, grouped into three major categories:

Products/markets: products offered, market needs Capabilities: technology, production capability, method of sale, method of distribution, natural resources Results: size/growth, return/pro�it

However, these and most other current strategic planning processes revolve around industry boundaries. A boundary for the fast-food industry, for example, is that fast food is sold largely through fast-food restaurants; you won't �ind a Big Mac on the menu at a Four Seasons Hotel. These boundaries are de�ined and accepted as the status quo, with known rules of engagement, or how companies will compete with each other. So, for example, the fast-food industry competes on price and speed of service. Companies will try to win from each other a "bigger piece of the pie" or market share, which becomes increasingly harder to accomplish. Kim and Mauborgne (2005) referred to this approach as the red ocean strategy (working in a red, or limited, body of water). Although it is important to compete in a red ocean, Kim and Mauborgne suggested pursuing a blue ocean strategy, where companies focus on untapped market space (blue, unchartered waters), where they can create demand and the opportunity for highly pro�itable growth. Companies following a blue ocean strategy are often outgrowths of expanding red ocean industry boundaries. For example, consider Cirque du Soleil, which does not compete against Ringling Brothers and Barnum & Bailey in the strongly held market for children. Cirque du Soleil revamped the standard circus offering and now successfully serves the adult and corporate client market. Apple and Google are two other �irms that have been successful in blue ocean strategic planning.

How Overarching Goals Are Developed

At the organization level, overarching goals de�ine the high-level results the organization and business units and departments within it commit to and expect to achieve. These are established at the top of the organization and begin the process of empowering others at all levels of the organization through goal setting, which we discussed in Chapter 3.

The head of human resources may contribute to drafting the organization's overarching goals. The goals typically include the �inancial targets, and the board of directors ultimately approves the goals with or without some modi�ication. Recall the four goal statements for a top executive presented in Chapter 3:

Ramp up growth Delight all customers Become a thought and technology leader Develop employees and the organization

Once these goals are in place and communicated by the CEO and the leadership team, the entire process of cascading the goals and aligning the efforts of all employees with the strategic direction of the business can be successfully achieved.

Measuring the Gap in Strategic Planning

The ultimate success of a company's strategic plan can be measured by the extent to which it was achieved. However, senior leadership is also accountable for the overall effectiveness and logic of the strategic plan.

Vision From Title: Nurturing Leadership (https://fod.infobase.com/PortalPlaylists.aspx? wID=100753&xtid=65018)

© I f b All Ri ht R d L th 01 10

 0:000:00 / 1:10 / 1:10 1x1x

To evaluate whether the plan itself was successful, it is important to validate the logic and alignment of the core values, mission, vision, strategies, and goals. This is helpful to determine whether the fault lies with the plan or with the execution of the plan. To determine this logic and alignment, one might ask questions such as the following:

Are the strategies aligned with achieving the vision? Are the goals aligned with the strategies? Are the goals focused on what it takes to be successful? Are the core values helping to guide appropriate and necessary behavior?

Plan success is typically measured by objective �inancial results. However, the goals of the organization must go beyond the �inancial, and the achievement of all the goals should be measured. Therefore, all metrics, even more subjective ones such as a company's annual employee opinion survey, should be identi�ied in the strategic planning process.

One outcome of the strategic planning process can be a need for organization change or a change in the organization's culture. Organization change is addressed in Section 5.4, and a speci�ic discussion of organization culture change follows in Section 5.5.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is the primary purpose of strategic planning? 2. What role do an organization's core values serve? 3. What is an organization's mission statement? 4. What is the purpose of an organization's vision? 5. What is an overarching goal?

Leading change is embedded in the history of industry; therefore, the ability to effectively manage change is crucial to leading an organization.

Hero Images/Hero Images/SuperStock

5.4 Leading Change

Leading and managing change in organizations was not always a high priority, but it became much more of one beginning in the late 1970s with the onset of global competition and major structural changes to various industries, such as the telecommunications and auto industries. Today, the business world is growing increasingly complex, with a global economy and an often turbulent environment across most industries. Indeed, leading change is probably the most critical competency necessary for the role of leading organizations.

Change in an organization can run the gamut from a modi�ication to one small system, such as the processing of customer invoices in the sales department, to changes in the organization's mission, vision, leadership, or culture, which are more signi�icant in that they affect the fundamental way things are done across the entire organization. Just consider the impact on the United States when a new president is elected—a change in leadership—and the widespread rami�ications experienced not only in the United States, but around the world.

Types of Change

Change can be planned. Apple's iPad is certainly the result of a planned change to introduce an exciting new product to the marketplace. According to Burke (2008), planned change is de�ined as a deliberate, proactive, conscious decision to change. Unplanned change is an organization's response to unanticipated external events. For example, the introduction of the inexpensive digital watch in the 1970s with ongoing changes up to the smartwatch of today radically reshaped the Swiss watchmaking industry. Swiss watchmakers, known for expensive watches such as Rolex and Breguet, eventually had to change their strategy and instead successfully market their complex, mechanical watches as heirloom luxury goods that are passed down from generation to generation. We focus in this section on leading planned change, given that the signi�icant task when leading organization change is ensuring that the entire organization is aligned around the change and that the necessary mechanisms are in place to support and drive the change to a successful conclusion.

The challenge of leading and driving planned change has been an important topic in the organization development (OD) literature for some time. In fact, one of the founders of the OD �ield, Dick Beckhard, wrote in 1969, "A universal preoccupation of enterprise managers is to develop and adapt their organizations to better cope with and shape the environment in which the enterprise operates" (p. 2).

When planned change efforts focus on modifying existing characteristics in an organization, such as changing the sales commission process or offering leadership training, it is considered to be incremental change, or transactional change. Fundamental or transformational change is a radical planned change in the organization's mission, vision, strategy, culture, or leadership. Table 5.2, adapted from Burke (2008), depicts the various descriptions of change based on the type of change (incremental or fundamental) and whether it is planned or unplanned.

Table 5.2: Types of organization change

Type of change Planned change Unplanned change

Incremental Transactional Evolutionary

Fundamental Transformational Revolutionary

Source: Adapted from Organization change: Theory and practice (2nd ed.), by W. W. Burke, 2008, Thousand Oaks, CA: Sage Publications.

The Change Process

Change involves altering or radically modifying some aspect of the organization, from its processes and systems to its more fundamental direction-providing components described in the Mone-London organization model. However, change also needs a process—a way for it to be planned, implemented, and sustained by the leaders of the organization. Figure 5.2 is a model that simpli�ies the overall change process.

According to Beckhard and Harris (1977), leaders begin the change process by determining the future state, or the vision, as discussed in Section 5.3. The vision should clearly de�ine the direction for the organization; it is the outcome or the result leadership wants to achieve after the change is completed. Once the vision is de�ined, leaders need to turn their attention to the present state of the organization to determine what aspects of the organization need to change to make the vision a reality. For example, a vision that focuses on expansion into global markets may require strengthening the competency cultural intelligence (the knowledge necessary to interact effectively across cultural situations) throughout the organization's middle management ranks. Finally, and this is where the majority of the change effort is required, leaders must manage the transition from the current state to the future state. The

Figure 5.2: Basic model of change management

The change process can be simpli�ied into three steps.

transition state is characterized as the period of time it takes for the organization to successfully make the change. For transformational change, success may take a minimum of 3 to 5 years.

How does a leader "lead" the change process? Kurt Lewin (1958) provided the essential three- step framework that many have discussed and enhanced (e.g., Burke, 2008; Schein, 1987) or expanded (Kotter, 1996). We will review �irst Lewin's seminal framework and then Kotter's eight-step model for leading change efforts in organizations.

Lewin on Leading the Change Process Kurt Lewin proposed that change involves unfreezing the organization (helping employees to let go of the past), moving or changing the organization (helping employees to learn new ways of thinking and acting), and refreezing the organization after the change (reinforcing the new ways of thinking and acting).

Unfreezing involves creating the motivation and readiness for change. Change usually involves the need to alter, radically change, or at least unlearn or let go of currently held perspectives, attitudes, values, or behaviors, so employees must feel a sense of disequilibrium or pain to prompt the change. One way of helping to unfreeze the organization is for leaders to create a sense of urgency, a "do or die" feeling about the need for the change. Employees must believe the organization may not be able to survive without undergoing the proposed change. At the same time, it will be important for leaders to share a compelling vision to help pull the entire organization to the desired future state.

Changing is similar to Beckhard and Harris's (1977) transition state and involves making the changes necessary to achieve the vision. During this phase, leaders help employees to see and learn the new perspectives, attitudes, values, and behaviors that are important to achieving the vision. Leaders do this by acting as role models, demonstrating the new expectations, and in particular by demonstrating more charismatic and transformational leadership behaviors, inspiring action by appealing to employees' emotions and values. During this phase, leaders may also see employees in various stages of reacting to the "loss" of what was, stages best articulated by Kübler-Ross (1969) as shock and denial, anger, bargaining, depression, and acceptance.

Refreezing requires reinforcing how the organization will operate in a way consistent with the vision by altering the processes or systems to help sustain the new perspectives or attitudes. For example, the organization can be restructured to ensure a desired enhanced focus on customers. The performance management system can be modi�ied to emphasize evaluating and appraising leaders on a new set of competencies, such as cultural intelligence. The management incentive plan can be changed to tie a greater percentage of an individual's bonus to the ability to work effectively in a new team- and matrix-based organization.

Leaders, therefore, have to be sure they can motivate their employees to change, help them to change, and then sustain the changes in their attitudes and behaviors. This, of course, requires many of the competencies discussed in earlier chapters, including the cognitive ability to deal with complex change and the emotional intelligence to be sensitive to how others feel as they undergo change. Leaders also need to have resilience to deal with obstacles that they might face, including resistance to the change, and the ability to deal with ambiguity as they take their organizations on long-term journeys to new ways of operating and delivering results. Leaders will need the savvy to identify and reward those who are meeting the new expectations, using a variety of methods such as merit increases, bonuses, and promotions to high- level, critical roles. They also need the courage to remove those who are not in support of the change, particularly the most senior leaders who refuse to get on board and whose actions are widely visible to all and potentially quite detrimental to the success of the change.

Kotter on Leading the Change Process John Kotter's eight-stage model (Kotter, 1978, 1996, 2008; Kotter & Cohen, 2002; Kotter & Whitehead, 2010) can be divided into three phases (see Figure 5.3). We now discuss each phase and the stages it includes.

Figure 5.3: Adaptation of Kotter's eight-stage process

Kotter's eight-stage model can be divided into three phases, which parallel Lewin's unfreezing, changing, and refreezing stages.

1. Create a sense of urgency. Leaders need to be sure that as many people as possible within the organization recognize the need for the change.

2. Build a guiding team. Out of the sense of urgency, leaders need to create respected and credible teams to guide the change initiative. 3. Develop a vision and strategy. Leaders need to provide a clear target or vision for the organization's future and to ensure there are

clear strategies that show employees how the vision will be achieved.

4. Communicate the change vision. Leaders need to overcommunicate, using a variety of media, to ensure employees understand the vision, to gain greater commitment to the vision, and to overcome any signs of resistance.

5. Empower broad-based action. Leaders need to remove barriers to implementing the change. Barriers might include formal structures that get in the way of acting, a lack of skills to take needed action, unsupportive managers, and misaligned information systems.

6. Create short-term wins. Leaders need to generate wins to be sure the vision and strategies are on track and to make any necessary modi�ications, to further prove the viability of the change effort, and to create momentum for behaving in new ways.

7. Don't let up. Given the connectedness of various systems and processes across the organization, leaders need to continue to engage their employees in the change and to sustain and broaden the change effort as appropriate throughout the organization.

8. Make the change stick. Leaders need to ensure the change is sustained in the organization, that it becomes a part of the organization's fabric. This is accomplished by making the necessary widespread changes in the organization's structure, systems, processes, and, most of all, norms and values. This will guide how people act and ultimately embed the change in the culture.

Source: Adapted from Kotter, 1978, 1996, 2008; Kotter & Cohen, 2002; Kotter & Whitehead, 2010

The �irst phase involves creating a climate for change. The leader's main goal is to make the organization aware of the need for change and prepare the organization to act. This phase is similar to Lewin's unfreezing stage and includes the �irst three stages of Kotter's change process model:

Once the climate for change is established, leaders begin the next phase, engaging and enabling the whole organization to make the change. This phase is similar to Lewin's changing stage. The leader's main goals in this phase are to ensure all employees understand the vision and direction for the change, feel enabled and empowered to act in new ways consistent with the vision, and see early signs of success for their efforts. Leaders engage the entire organization in stages 4, 5, and 6:

Kotter's last two stages are focused on implementing and sustaining change. Change often fails because people grow tired, give up, continue to resist the change effort, or get distracted with new problems and challenges. Leaders need to �irmly anchor the change in the culture as the new way of doing things. Stages 7 and 8 are as follows:

Table 5.3 offers key questions leaders can ask themselves as they proceed through each stage of the change. Leaders will need to take the necessary action where they can't answer a question with a resounding yes.

Table 5.3: Key leading change questions

Major phase Stage Key questions

Create a climate for change. 1. Create a sense of urgency.

Do we have a burning platform? Can we explain the critical reasons for the change? Are we shaking up the status quo?

2. Build a guiding team. Have we selected a "leading" team? Are the team members committed, focused, and accountable? Do the members work well together?

3. Develop a vision and strategy.

Can we convey a clear picture of the organization after the change? Is the vision inspiring and achievable? Do we have clear strategies for achieving the vision?

Engage and enable the whole organization.

4. Communicate the change vision.

Can we communicate the vision in a concise, heartfelt, and candid way? Are we using a variety of media? Is our communication two-way? Are we addressing concerns? Is our behavior consistent with our message?

5. Empower broadbased action.

Have we identi�ied and aligned efforts? Have we provided bold goals? Have we removed barriers to success? Have we provided the support systems and training necessary? Are we recognizing and rewarding behavior in support of the change?

6. Create short-term wins.

Have we created and communicated short-term wins? Are we rewarding those who make short-term wins possible?

Implement and sustain change.

7. Don't let up. Are we maintaining the sense of urgency? Are we persistent in assessing and monitoring our progress and our goals? Are we improving our processes by eliminating unnecessary work and interdependencies? Are we rewarding and promoting supporters of the change?

8. Make the change stick.

Are we creating new operating norms and practices to support the vision and strategies? Are we continuing to recognize, reward, and promote those who adopt these norms and practices?

Addressing Resistance to Change

As should be evident from the discussion of Lewin's and Kotter's models, leaders typically encounter various forms of resistance to the change throughout the change process. Dealing with resistance is the main focus of both Lewin's �irst phase of change, unfreezing, and Kotter's �irst stage, create a sense of urgency. Based on Burke (2008) and others, resistance can appear in different forms:

A low tolerance for change, or blind resistance. The leader's role is to reassure employees and allow time to pass. A desire not to lose something of value, or political resistance. This is not necessarily resistance to the change itself; the leader's role is to make clear to employees what they receive in return for making the change. A belief that the change does not make sense for the organization, or ideological resistance. This revolves around having honest differences; leaders will need to persuade employees using data and facts. Experiencing a lack of choice, or control resistance. This involves employees reacting to the imposition of change; leaders need to seek input from and engage employees in the change. A misunderstanding of the change and its implications, or uninformed resistance. The leader's role is to educate employees about the change and to communicate more regularly and effectively.

Finally, there are certain "do's and don'ts" for leaders dealing with resistance and promoting change. Use these checklists to be sure your behavior effectively drives change versus creating dissatisfaction and discontent with the change.

Measuring change requires a commitment to seeing long-term plans through.

Westend61/Westend61/SuperStock

As a leader faced with resistance to change, do

Listen to what your employees have to say. Dialogue �irst, problem solve second, persuade last. Connect the vision to the interests of your employees. Reward and recognize early adopters of the change. Provide hands-on experience for employees to be engaged in the change. Honor the past. Don't be too critical of how things were; focus more on the more appropriate vision for the future.

As a leader faced with resistance to change, don't

Discount the feelings employees may express about the nature of the change or their own dif�iculty in trying to make the change. Try to force the change on employees with logic and data. Continue to change your focus and priorities once the change is launched. Ask others to make any changes without �irst asking yourself to make those changes. Ask for the "new" behaviors and efforts but still focus on measuring the "old" ways of doing things.

Measuring the Gap in Change Leadership

When you are leading change, measures for its effectiveness have to take a longer-term focus. The purpose of measuring change is not to achieve short-term results and then alter company direction again because the initial change was not followed through on. This is a common occurrence, but it is not an effective approach.

Kotter's steps can be used to evaluate the progress of a change effort, asking whether leadership was effective at each step and if all steps were addressed. The best measure is one based on Kotter's eighth step—making the change stick. Why? Because this step suggests that the change won't last if the new ways of operating and behaving and the systems and processes to support those new ways are not embedded in the culture. Of course, some might argue that change is successful if the company achieved some stated �inancial targets. While achieving results is important, results can be achieved—to some extent—even if the change is not successfully completed.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the different types of organization change? 2. What are the three steps to change as identi�ied by Kurt Lewin? 3. What are the eight steps to John Kotter's approach to leading change?

Changing the culture in an organization requires strategy and an awareness of the existing culture.

Violetkaipa/iStock/Thinkstock

5.5 Changing the Culture in an Organization

Leaders are likely to invest in strategic planning to develop an organization's mission, vision, strategy, and goals. However, they often pay less attention to the organization's culture, when it is having the right culture that enables success consistent with an organization's strategic plan. If the culture does not support employee engagement, innovation, ethical behavior, and feedback for performance and development, the need for culture change becomes apparent over time, even if the strategic plan is sound and valid. In this section, we address the process of culture change and ways to create and assess a culture that supports organization success. Of course, leaders have a clear role when it comes to changing and building organization culture. Much to the surprise of many managers and leaders however, culture change cannot be mandated; culture change must be modeled. Among other things, culture change requires leaders to ensure that their fundamental beliefs are appropriate, that their values and behavior are consistent with those beliefs, and that the right processes (or cultural artifacts) are in place to drive and sustain the desired culture. For example, if organization leaders want to create a culture of engagement, they must truly believe in employee engagement, discuss its importance in a deeply heartfelt way, and then take action to put the right processes in place to develop an engaged workforce. As Schein (1992, 2010) noted in his comprehensive look at culture, if leaders are unaware of their true, fundamental beliefs and assumptions, it is likely that their behavior will be inconsistent with what they say is important. In other words, there will be a clash between their espoused theories and their theories-in-use (see Chapter 3). In these cases, even if leaders put cultural artifacts in place, such as incentives for innovation or for encouraging feedback, the processes will fail owing to lack of true support.

Approaches to Culture Change

Just as there is an organization change process, there is also a culture change process. As Kotter (1996) outlined in his eight-stage organization change process, changes to culture and behavior come at the end of an organization change process, as part of the eighth step: Make the change stick. (If needed, review Kotter's model in Section 5.4.) For culture change to be successful, the new behaviors, systems, processes, and so on must be embedded in the culture. In order to effectively embed or anchor the new ways in the culture, Kotter suggested the following:

Demonstrate and help people to see that the new behaviors, processes, etc. work better than the old. Communicate the importance of the new practices and support them. Identify and remove those who truly stand in the way and are preventing or stalling the change in culture. Change the appraisal, reward, recognition, and promotion processes to support the new culture.

Cameron and Quinn (2006) and Cummings and Worley (2009) recommended a more step-bystep process for culture change. Table 5.4 presents a summary of their culture change steps.

Table 5.4: Processes for culture change

Cameron and Quinn (2006) Cummings and Worley (2009)

1. Reach consensus on the current culture. 2. Reach consensus on the desired culture. 3. Determine impact of change. 4. Identify illustrative stories. 5. Develop a strategic action plan. 6. Develop an implementation plan.

1. Formulate a clear vision, mission, strategy, and values set. 2. Demonstrate executive-level support for and model

commitment to the culture. 3. Alter organization structure, processes, and systems to

support change. 4. Select and hire those who �it, and remove those who do

not �it the culture. 5. Increase awareness of potential ethical and legal issues.

The two approaches have much in common and bear some similarity to Kotter's recommendations. Here is a brief summary and integration of the recommendations of Kotter, Cameron and Quinn, and Cummings and Worley:

Recognize that leadership plays an important role. As we noted earlier in this section, leaders have a clear role when it comes to culture change. Leadership must be engaged in the change and own the change from the very beginning, deciding on what to change and what not to change. Cameron and Quinn suggested that it is important for the senior-most organization leaders to agree to the desired culture; Cummings and Worley suggested that those in senior leadership positions are responsible for both

developing the vision of the change and demonstrating their commitment by managing the change from the top of the organization and then modeling and communicating the change through their own actions and behaviors. Understand the impact of the change. Cameron and Quinn recommended carefully determining what needs to change and what needs to remain the same. For example, leaders would consider whether employees need to be more customer focused or perhaps more focused on innovation. Cummings and Worley emphasized ensuring that necessary alterations are made to current processes and systems to support the new culture. Point to visible signs of change. Again, leadership must demonstrate its commitment to the change, which also includes taking visible action such as changing out senior leaders. Cameron and Quinn suggested identifying stories about employees' efforts with customers and leaders, and managers' efforts in their organizations that clearly illustrate the new behaviors; Cummings and Worley said that the replacements for those who stand in the way of the change should be visibly touted. Be intentional when taking action. A change and an implementation plan for the change must be developed and communicated to help employees engage in the process. Cameron and Quinn highlighted the need to focus on a few key priorities. They also recommended ensuring that steps for implementing that action plan are identi�ied and in place—this becomes a change management plan. Cummings and Worley pointed out that leaders need to be sensitive when changing values. New values might set certain expectations, and there will likely be a cost if those promised expectations are not met.

Next, we look at how leaders can build cultures that emphasize engagement, innovation, ethics, and a feedback focus, all of which are important to organization success in the global marketplace.

Creating a Culture of Employee Engagement

Research has shown that employee engagement leads to higher levels of productivity and �inancial success for organizations (Storey et al., 2009; Gibbons, 2006). We have discussed engaging employees in earlier chapters, but what exactly is employee engagement? It has been de�ined and measured in many ways; however, a reasonably fair de�inition by Storey et al. is that employee engagement is "a set of positive attitudes and behaviors enabling high job performance of a kind that is in tune with the organization's mission" (2009, p. 302). Mone and London (2010) offered the following research-based de�inition of employee engagement: "when employees are involved, committed, passionate, and empowered and demonstrate those feelings in the workplace" (p. xvi).

As Mone and London (2010) reported, a valid measure of employee engagement can serve as the basis for measuring engagement. In their study, statistical analysis was applied to a highly reliable set of questions from an employee opinion survey to identify the drivers of engagement. The actions (drivers) identi�ied in their study are, in fact, similar to those reported by others (Macey & Schneider, 2008; Gibbons, 2006). According to Mone and London, managers and leaders can take the following actions to build and create a culture of engagement:

Build a foundation of trust and empowerment, promoting effective employee–manager relations. Ensure employees have challenging and meaningful work and clarify its value and importance to the organization. Regularly communicate with employees to help ensure their work is aligned with corporate objectives, helping to make their efforts meaningful and valuable, while encouraging innovation and creativity. Establish clear performance goals for employees that are challenging and aligned with overall workgroup and organization goals. Foster team-level learning and development in support of group-level engagement and performance. Establish clear development goals for employees and help them to understand career growth opportunities available to them. Provide ongoing coaching and feedback to employees to ensure performance and development are on track. Recognize employees for their achievements and successes. Conduct fair and effective performance appraisal discussions and write effective appraisals. Monitor the overall climate and efforts of individuals and teams, ensuring engagement does not lead to burnout.

Note that many of these actions contain the components of performance management discussed in Chapter 3. In fact, when performance management is done well, it serves to build engaged employees (Mone & London, 2010). Use Assessment 5.1 to measure your own engagement—or to build a survey to measure employee engagement at your own organization.

Managers and leaders should create an environment that promotes innovation and recognizes creativity. How would you go about doing this?

Andrew Baker/Ikon Images/SuperStock

Creating a Culture of Support for Innovation

Innovation is more important than ever given the changing global business environment. Recall from Section 5.1 that focusing on innovation and adaptation is one of the three main components of �lexible leadership (Yukl & Lepsinger, 2004). Innovation is also critical for organizations hoping to succeed with a blue ocean strategy (Kim & Mauborgne, 2005). Our discussion here will largely draw on our research and consulting efforts with one major corporation over several years. However, recommendations for measures and actions can be generalized for use in a wide variety of organizations.

The Fortune 500 technology company we worked with needed to understand whether its culture supported its new strategy, which was to create products and services organically rather than through acquisitions. In short, its strategy was to be more innovative. To determine whether the company's culture was supporting its strategy, we had to devise a measure for innovation. After consulting with the organization's technology leaders and experts and reviewing a wide variety of literature (e.g., Chopra, 1999; Christensen, 1997; Kelley, 2001; Hulsheger, Anderson, & Salgado, 2009; Corporate Strategy Board, 1997, 2002), we identi�ied more than 60 possible items that could be used to measure innovation. These items were used in an employee opinion survey along with another series of items to help determine what drives a culture of innovation. When the survey results were compiled (based on a response rate of 71%, with more than 3,000 respondents), statistical analysis was used to create a valid measure of 18 statements, using a 5-point Likert scale ranging from strongly disagree to strongly agree (see Assessment 5.2).

Overall, it would seem important for managers and leaders to not only encourage their employees to be innovative but also support innovation efforts through setting goals for innovation, providing feedback about innovation efforts, and providing rewards and recognition for innovation. Managers and leaders must also take action on the innovative ideas, helping to move them forward in the organization. Being innovative involves risk—risk of failure if the innovation does not succeed. Managers and leaders must be sure that they embrace all efforts for innovation, even those that eventually do not succeed.

Speci�ically, our research demonstrated that there are three primary drivers serving to encourage employees to put forth their innovative ideas:

Employees need to enjoy being creative in their work. Being creative and having supportive job conditions make working on innovation a more positive experience. Employees need to have jobs that are structured to allow innovation in their work. Even employees who are more creative than others will be negatively affected if they don't have the time and resources to focus on innovation. Employees need to believe being innovative is an important part of their jobs. This is demonstrated by managers and leaders when being innovative leads to better performance evaluations and opens up more career and promotional opportunities for their employees.

Finally, Cameron and Quinn (2006) and Chopra (1999) provided managers and leaders with practices that can be used to build a culture of innovation. Cameron and Quinn identi�ied �ive key practice areas: leading innovation and entrepreneurship, leading the future, leading improvement and change, leading creativity, and leading �lexibility and agility. Chopra offered the following eight rules or practices for engaging hearts and minds to drive innovation:

1. Grow ideas; don't mow them down. 2. Manage the ego agenda; don't let it run the show. 3. Practice the art of "hands-on listening." 4. Uncover their assumptions . . . if you want people to change their course. 5. Expose your ideas to criticism before they are fully grown. 6. Involve people, but keep them off your decision turf. 7. Acknowledge contributions to your thinking.

8. Invite ideas only when you're open to them.

Of course, cultural change requires effective leadership, and for employees to accept and embrace the change, leaders need to demonstrate integrity by changing their own behaviors, demonstrating an ethical stance. We turn next to building ethical cultures in organizations.

Creating a Culture of Support for Ethical Behavior

Begin by taking Assessment 5.3, which is based on the De�ining Issues Test (DIT) (Rest, 1979, 1986).

Principled or ethical leadership was introduced in Chapter 1 as a strategic approach to leadership. We de�ined ethical leadership as leading from a set of core values, including trust, honesty, integrity, and caring. More formally, ethical leadership can be described as "the demonstration of normatively appropriate conduct through personal actions and interpersonal relationships, and the promotion of such conduct to followers through two-way communication, reinforcement, and decision-making" (Brown, Treviño, & Harrison, 2005, p. 120). In other words, ethical leadership involves leading the organization in a responsible way, including setting the tone from the top of the organization by modeling ethical behaviors and decision making. Ethical leadership cascades well throughout an organization (Mayer, Kuenzi, Greenbaum, Bardes, & Salvador, 2009); the effects on employees are very favorable. Direct reports who perceive their leaders as behaving ethically are more likely to

exert extra effort on the job, see their leader as effective, and report problems to them (Brown et al., 2005). show citizenship behaviors such as helping their coworkers and going above and beyond what their job responsibilities entail (Mayer et al., 2009). describe having more say in decisions because they feel a higher level of psychological safety; for example, they feel that their jobs will be safe even if they speak out (Walumbwa & Schaubroeck, 2009).

What drives ethical behavior? Ethical behavior largely depends on one's cognitive moral development, or the extent to which one can reason ethically. In a study of leaders, Jennifer Jordan and her colleagues (Jordan, Brown, Treviño, & Finkelstein, 2011) found that those who are more advanced in their ethical reasoning stand out from their peers as ethical role models and have a strong in�luence on creating a culture of ethics in their organizations. Kohlberg's (1969, 1981) cognitive moral development theory divides ethical reasoning capability into three broad stages:

Think of experiences you've had where you've witnessed or drawn upon preconventional, conventional, or postconventional ethical reasoning. Which have you used most often?

Tetra Images/Tetra Images/SuperStock

1. Preconventional ethical reasoning. This is the least sophisticated. Reasoning is egocentric, and those who reason at this stage view morality as a set of rules that are imposed on them by outside authorities. Decisions are based on self-interest, either to seek rewards or to avoid punishment. In organizations, leaders and employees who are preconventional reasoners feel that policies and guidelines don't necessarily apply to them, and their decisions will be based on satisfying their own self-interests— what is best for them.

2. Conventional ethical reasoning. At this stage, reasoning can be characterized as upholding the ethical norms of signi�icant others, such as peers, leaders, family members, and the government. Personal satisfaction comes from ful�illing duties and obligations. In organizations, employees and leaders who reason in a conventional way comply with the rules and demonstrate citizenship behaviors; they tend not to challenge the status quo.

3. Postconventional ethical reasoning. This type of ethical reasoning comes from more independent thinkers. Their judgments are based on what they believe is right considering the greater good and universal principles of rights and justice, not what others think or do. In organizations, leaders who are postconventional reasoners will work adaptively, trying to do what is right. Employees who are postconventional reasoners will generally be inclined to take the initiative. For example, an employee will do what is right for the customer, even if there is no prescribed rule for doing so.

What type of moral and ethical thinking can you typically expect to �ind in an organization of substantial size? Some employees and leaders will be and will continue to remain in the preconventional stage. The majority of employees will be operating in the conventional reasoning stage, and a few employees will have progressed and operate in the postconventional stage. Upbringing, cognitive ability, and the culture in which people live and work in�luence the degree to which they advance in cognitive moral reasoning.

Leaders will need to assess the extent to which they consider their organization's culture to be ethical. Leaders should both examine their own feelings about the organization's culture and assess more broadly whether everyone considers their organization's culture as a whole to be ethical. If their assessment yields negative results, leaders may want to change their behavior and discuss with other leaders in the organization how their actions and decisions are affecting the reputation of the organization, their own reputation, and how the people they lead feel about the organization.

They can accomplish this by evaluating management and leadership behavior, organizational support, and colleague behavior.

1. Management and leadership behavior refers to the extent to which managers and leaders both are ethical and observe the compliance standards established for the organization.

2. Organizational support refers to the extent to which the organization has in place policies and practices that enable ethical behavior.

3. Colleague behavior refers to the extent to which the employees in the organization act in an ethical manner.

Use Assessment 5.4 to evaluate an organization's culture. We recommend using the list of statements, grouped into these three areas mentioned, as a comprehensive measure for assessing the overall ethical nature of an organization's culture.

Creating a Culture Focused on Feedback

Feedback is one of the most signi�icant contributors to the success of any individual, team, or organization—speci�ically, performance and development feedback. Throughout this book, we have described many programs, processes, and procedures that foster learning and development and contribute to creating a feedback-focused culture, which we de�ine as a culture centered on continuous performance improvement.

In a feedback-focused culture, seeking and giving continuous feedback is acceptable and expected, not a once-a-year event connected with a formal performance appraisal. Feedback is meant to be formative rather than evaluative and is targeted to help employees do better each day. Managers and leaders who foster this type of culture in their organizations know how to give constructive feedback. They pay attention to behaviors that employees can change. Also, these managers and leaders know how to be coaches and mentors. They help their employees think about their actions and how others perceive them, as well as alternative ways of acting that may be more effective. These managers and leaders are open to helping employees improve by providing them with resources (e.g., training and special assignments) and the time and opportunities for employees to try these new behaviors in a nonthreatening environment.

The bene�its of employees working in a feedback-focused culture are signi�icant:

Feedback can help to keep employees focused on achieving what is important to the employees' and the organization's success. Positive feedback will help employees know they are appreciated, as well as where they stand—both of which can increase their motivation to do better next time. Employees will be able to monitor and improve their performance as they learn to keep in mind feedback on their performance and the expected standards of excellence. Employees will be better positioned to take control of their own performance. Employees may realize that they can be even more successful than before as they learn about areas and opportunities for improvement. Employees will feel more engaged when they see how they contribute to the department's goals and their efforts are in alignment with larger organizational goals.

Leaders can promote an environment that encourages constructive feedback. Leaders who do this are considered credible: Employees trust them to provide accurate and timely information. These leaders take the time to speak to direct reports about their performance; they

Leaders must have the ability to measure the gap between an organization's existing culture and its desired culture.

Caia Images/Caia Images/SuperStock

do not wait for the annual performance appraisal; they praise positive performance and discuss problems when they occur. Effective feedback-focused leaders provide meaningful, clear feedback about behaviors that are important to performance outcomes and subordinates' career success. When they do give unfavorable feedback, they are careful to avoid blaming subordinates or disparaging their character. Finally, these leaders encourage direct reports to discuss their performance (Steelman, Levy, & Snell, 2004).

As a leader, do you engage in these behaviors to promote constructive feedback? Work on making these behaviors a habit for yourself. Do the leaders with whom you work behave this way? If not, how does this affect the organization? How much better would performance be if leaders fostered an environment of constructive feedback?

Measuring the Gap Between Current and Desired Culture

Today's business environment tends to put stress on the current culture in most organizations. For instance, new technology may reduce personal communication and create the feeling of distance between individuals or departments. More competition or poor economic conditions may make leaders make decisions quickly without consulting others in the organization who are affected by those decisions or may even prompt unethical or even illegal behavior. When examining leadership in an organization, consider the difference between the current culture and the desired culture leadership is trying to create. To measure this gap, �irst of all, examine the extent to which senior leadership followed the steps in the process for leading culture change. Second, use measures like those suggested in the section to assess the evidence of the desired culture. For example, the 10 questions in Assessment 5.1 can be used in an employee opinion survey. The results clarify the effectiveness of the culture change effort, as well as what aspects of engagement still need to be addressed.

Leading change and modeling desired behaviors involves, to some extent, ensuring that the organization is focused on developing and selecting the right leaders—a task that is largely entrusted to the senior leadership of the organization. We address this task in Section 5.6.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What is organization culture? 2. What are the key steps to leading culture change? 3. What is the bene�it of an engagement culture? 4. What is the bene�it of an innovation culture? 5. What is the bene�it of an ethical culture? 6. What is the bene�it of a feedback-focused culture?

Succession planning involves identifying lower-level employees who have the potential to take on high-level leadership positions in the future.

Tetra Images/Tetra Images/SuperStock

5.6 Succession Planning and Leadership Development

"Having the right people, in the right place, at the right time" has become a human resources truism. However, it is dif�icult to overestimate the signi�icance of ensuring the availability of successors for critical positions and of identifying at the lower levels those who demonstrate potential for assuming higher-level leadership roles in the future. Yet, the process of succession planning in corporations today still leaves room for improvement; a recent survey of more than 1,000 board members showed that more than half of them were dissatis�ied with their company's succession plans (La�ley, 2011).

In general, succession planning and identi�ication processes involve the following:

Assessing the strengths and weaknesses of a candidate based on some criteria Discussing all candidates with the appropriate senior-level group of leaders Determining the potential of the candidate to move forward in the business Identifying development opportunities for each candidate Communicating the outcomes to the candidates

We see the top executive as primarily responsible for ensuring the effectiveness of these processes, including actual hands-on involvement in all discussions of talent capability. Leaders at all levels of the organization need to be attuned to who is ready for advancement so that leadership positions throughout the organization can be �illed when they need to be—when people leave or are promoted. Otherwise, there are likely to be leadership gaps. Of course, the organization can recruit talent from outside, which is also valuable in bringing in fresh ideas. Recruitment planning is another part of succession planning, perhaps even keeping track of talented individuals in other organizations who might be recruited for more responsible positions in your organization in the future.

Identi�ication Process

To launch the process of identifying potential leaders, supervisors for all candidates complete assessments or pro�iles that shed light on each candidate's leadership qualities and characteristics. The assessments, in particular, which are typically completed electronically for candidates for non- senior leadership positions, explore these qualities and characteristics in greater depth and detail. The assessments and pro�iles are then used when supervisors discuss succession planning. Supervisors are expected to lead a succession planning discussion with their direct reports. The outcome of that discussion should be the identi�ication of replacements for these direct reports and a clear understanding of the leadership potential of all those assessed and discussed. Mone, Acritani, and Eisinger (2009) offered strategies for making this process and discussion effective: for example, clearly specifying and de�ining those leadership characteristics that are most critical to identifying future leaders. They also suggested identifying the extent to which those characteristics tend to be stable over time or can be further developed—for example, through coaching or training.

At the most senior level, a very formal assessment is not typically necessary, given the level of experience and accomplishment necessary to achieve these organization levels and the experience of those evaluating them. At Proctor and Gamble (P&G), for example, senior-level executives are informally evaluated against 10 criteria (La�ley, 2011):

Character, values, and integrity Proven track record Ability as a capability and capacity builder Level of energy and endurance Ability as a visionary and strategic leader Ability to be inspiring, courageous, and compassionate Productive relationships with internal and external stakeholders Ability to embrace change and lead transformational change Ability to remain calm, cool, and resilient in the face of con�lict and criticism Ability as an institution builder, to focus on the long-term good of the company

Pro�iles for a prospective leader identify background, key strengths, development needs, and possible successors for the role. For example, see the sample pro�ile of Eleanor Rigby in Figure 5.4. In a large organization, the CEO brings the pro�iles of senior leaders to the company's board of directors, which, by statute, are responsible for ensuring a CEO succession plan is in place. (See Considering the Board of Directors for a closer look at the relationships of executives with a company's board of directors.) They will engage in thorough discussion. At the conclusion of the meeting, the CEO and the board will generally come to agreement about the assessment, development needs, and future of all senior-level candidates. The CEO is then responsible for meeting with each direct report to discuss the outcomes of the process and next steps. The same process is followed in small organizations and is especially important in family-run businesses when the founder is approaching retirement age and hopes to keep the business intact rather than selling it.

Figure 5.4: Sample pro�ile: Eleanor Rigby

Eleanor Rigby's pro�ile contains a photo and a brief synopsis of the executive's background, followed by an overall assessment on a nine-box grid, typically used for these evaluations. In essence, the grid positions each candidate based on the combined assessment of performance and potential criteria, and an overall judgment is made. Candidates placed in the upper right-hand box are seen as having the highest levels of performance and potential to succeed. This candidate, Eleanor Rigby, demonstrates high levels of performance but shows some need to further develop her potential.

Photo credit: Victor_69/iStock/Thinkstock

When meeting with the board, the CEO will also generally brief the board on the next level of leadership below the CEO's own direct reports, as well as the level below that. This gives the board a sense of the overall leadership pipeline and insight into the need for possible programmatic action for the development of leaders at the lower levels. The same process can occur at any level of an organization, with the focus on the business unit head or manager of any department. This sets the stage for future leadership throughout the organization.

One factor to keep in mind when identifying the leadership characteristics or criteria for selecting high potentials is the organization's strategy and direction. For example, Fernandez-Araz, Groysberg, and Nohria (2011) stated that if the organization is looking to grow in global markets, then criteria that indicate the candidate's capacity to be �lexible and adaptable in unfamiliar situations should be included. If the goal is to be the industry low-cost leader, then criteria should include being highly disciplined and results oriented.

Considering the Board of Directors

The senior leadership of almost any company—particularly a large, publicly traded company—will likely need to work closely with a board of directors. A board of directors is a group of individuals elected or appointed to oversee the company and its activities and

It is the job of the board of directors to oversee the company's activities and image, and to represent the company's interests.

Shironosov/iStock/Thinkstock

Leaders need to take steps to build leadership capacity in their organizations.

PhotoAlto/PhotoAlto/SuperStock

represent the interests of management and shareholders. Board members are usually highly talented and experienced business, government, or academic leaders.

The CEO is the primary interface with the board and is held directly accountable by the board for overall organization results. Other senior leaders will likely interact with board committees— subsets of the board—based on the areas of expertise. For example, a chief human resource of�icer (CHRO) might interact with a "compensation committee," which may provide oversight for succession planning, leadership development, HR compliance, diversity, bene�its, employee engagement, and compensation.

Fundamentally, the relationship between the board and the CEO is about performance management. The chairman of the board, if not the entire board, takes on the role of "supervisor," helping to ensure that the CEO leads the organization to success (Mone, 2009). In light of corporate scandals at Enron and WorldCom near the turn of the century, boards today are keenly focused on corporate governance and are more proactive. They even need to be wary of possible large-scale public scrutiny of their decisions. Hewlett-Packard, for example, has such a board, which has been criticized for its poor handling of CEO succession (Bloomberg Businessweek, 2011).

When it comes to what the CEO can expect of the board, in general, Brountas (2004) suggested that the CEO and the board members should relate to each other as equals. This requires that they trust and respect each other. Collegiality and cooperation are essential to making this an effective relationship. In addition, the CEO can expect board members to

help in creating an environment that allows for productive disagreement; learn about and understand the company, its industry, and its competitors; be actively involved and engaged in all board and committee meetings; assist in preparing the agenda for meetings, to make them as relevant as possible; and provide frank and constructive feedback, as well as encouragement and praise, when required.

What can boards expect of the CEO? Charan (1998) stated that CEOs must help their boards to understand and focus on the issues that are critical to the business. As a result, boards can expect their CEOs to

provide an understanding of corporate strategy and updates on trends in the marketplace that can affect the success of that strategy; provide opportunities to meet with senior management to not only hear from them on speci�ic issues within their functional areas, but also assess and evaluate future talent; and be open and receptive to board member questions and feedback.

CEOs can either use their boards as a resource to help drive corporate success or attempt to minimize the board's involvement in the overall business. The competent CEO will make the former choice.

Leadership Development Practices

Leading organizations, large or small, at any organization level requires developing employees' capability to do better today and be prepared for the future. Leaders need to assess managers' leadership potential and what these managers need to do to prepare for the future. Some leadership positions will be �illed from outside the organization, bringing in fresh ideas and new ways of leading to �it the changing needs of the business. Yet the strength of the organization lies in having experienced individuals who know the organization well and are outstanding performers. Giving these individuals opportunities for advancement will increase their engagement in their work and commitment to the organization and build the leadership capacity the organization needs for the future. Here are some steps we recommend to make this happen:

1. Conduct a future job analysis. Interview top leaders about their view of the industry's and organization's future and what they think this means for dimensions of performance that should be developed and measured. For instance, if the organization is expanding its business internationally, leaders may need to hire people who are more diverse or have global experience. Leaders can then be measured on the extent to which they have broadened the diversity of their units.

2. Determine a strategy for development that �its the organization. There might be multiple strategies. For example, one strategy might be to develop and promote general managers—those who know all departments of the organization well—while another may be to develop leaders within areas of functional expertise, such as for advancement to higher levels of responsibility in the marketing department.

3. Identify new dimensions of performance that are important at different levels of management. These will inform managers that what they are doing today in their current positions may not be what is needed for tomorrow at higher levels of the organization.

4. Rate managers on current performance and potential to advance. The two types of ratings are not necessarily the same. People may be performing well, but this does not necessarily mean they have the competencies needed to lead in a more responsible position, especially if the organization is changing direction and doing things differently. Use the ratings of potential to identify managers with potential for advancement—those who are ready for promotion now and those who need further development before they are promoted. If managers do not have an opportunity in their current jobs to demonstrate their ability to perform on job dimensions required at higher levels, consider the use of assessment centers (described in Chapter 2).

5. Formulate succession plans and review and revise them at least annually. Take action based on those plans.

We also highly recommend establishing a development program for high-potential managers. The following is a list of primary or key initiatives (drawn from such authors as Conger & Benjamin, 1999; Hatch, 2009; and Weir, 2010) that organizations use to help leaders further develop their performance and potential. Some of these were introduced in earlier chapters:

360-degree feedback assessments provide feedback from multiple sources that leaders can then use to further their development. These assessments are especially effective when they are aligned with the business's strategy and incorporate organization- speci�ic leadership criteria. Action learning involves leaders solving real business problems within a group learning experience. Mentoring is a personalized approach to learning, in which leadership candidates develop relationships with and learn from the expertise and experience of leaders who have already demonstrated the "right stuff." Executive coaching involves one-on-one coaching with an external consultant. Executive coaching is valued for its �lexibility to meet the varying needs of executives in a safe and con�idential manner and provides an excellent approach for facilitating personal behavior change. Psychological and cognitive assessments, typically offered by external consultants, can provide a detailed understanding of the personality styles, behaviors, competencies, or intellectual capacity necessary for successful leadership, helping to chart out a development plan for future growth. Job assignments and special projects provide a rich learning experience from which an individual's leadership capacity can be further developed and evaluated. Internal leadership development programs teach leaders best practices that work within the organization and within the larger realm of leadership. They can also offer better practical applications and learning transfer to solve the problems at hand. These programs are largely classroom based, of varying length, and about varying topics. External executive education programs are typically targeted to senior- and middle-level leaders and offer an opportunity to interact with peers from around the world and from different industries, as well as potentially world-class faculty. This provides great opportunities for challenging and expanding one's perspectives and beliefs. These programs are also largely classroom based.

The senior leadership of the organization, in concert with the head of human resources, will ultimately have to decide on where to invest their leadership development dollars—which levels of leadership—and which programs best meet their leadership development needs. Leadership development efforts should also account for the more global nature of today's world and business. Any and all development for high potential and senior leaders should be adapted to re�lect the cultures in which those leaders will be asked to lead (Weir, 2010). When leaders ponder these questions, they are taking into consideration one of the three broad areas of leadership focus, human resources, as well as a thorough understanding of the strategic direction of the business.

Measuring the Gap in Succession Planning

The simplest way to measure the gap in succession planning is to determine if there is a viable succession planning process in place and the extent to which there are candidates who are ready or near ready to assume the company's most critical positions, including those at the C- level and below. The greater the number of these candidates per position, the better. Ideally, a minimum of two to three candidates should be identi�ied for each of these positions. If this is the case, the outcome of the succession planning process can be considered successful. Of course, the practical and realistic measure of the process is based on the eventual success of the succession candidates. If they take on more senior roles and successfully perform in them, then the process was clearly effective at identifying and selecting future talent.

When it comes to leadership development, it is best to �ind a systematic approach consistent with the company's overall objectives and goals, with various efforts targeted for different levels of leadership. In addition, each leadership development experience, such as 360- degree feedback or leadership training, can be evaluated based on the extent to which the experiences are viewed as effective by both senior leadership and the participants.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What does succession planning mean? 2. What are the major approaches to leadership development?

Leaders today must be prepared to manage people from �ive separate generations.

Angkritth/iStock/Thinkstock

5.7 Challenges Facing Leaders of Organizations Today

Leaders are constantly facing new challenges arising from a changing world. Two signi�icant challenges that today's leaders face are leading a multigenerational workforce and leading during times of adversity.

The Challenge of Leading Five Generations

Longer life expectancies—and perhaps �inancial setbacks from the recent downturn—mean that many people will be working well into old age. Managers and leaders must face the possibility that they will need to lead as many as �ive generations, each of which has its own perspective, life stage, preferences, priorities, and, perhaps, prejudices against one another.

Fox (2011) described the �ive generations as follows:

Traditionalists (born 1925–1945) Baby Boomers (born 1946–1964) Generation X (born 1965–1980) Millennials (born 1981–1995) Digital Natives (born after 1995)

Traditionalists (born 1925–1945) remember the sacri�ices they made during the Great Depression and World War II. Their values shaped the culture of many existing organizations—a culture of commitment to work and loyalty to the company in return for job security and excellent bene�its. Traditionalists may feel the need to stay in the workforce longer than they would ordinarily, given the recent economic downturn, and they may feel disrespected by the younger generations who want them out of the way.

Baby Boomers (born 1946–1964) were called the "me" generation. Unlike traditionalists, who may have been more likely to postpone grati�ication, Baby Boomers focused more on self-realization and self-ful�illment and were known for promoting individual rights and equality in the workforce. Like traditionalists, Baby Boomers generally prefer face-to-face meetings or phone calls when it comes to building relationships.

Generation X (born 1965–1980) is characterized by latchkey kids—both of a Gen Xer's parents tended to be in the workforce. Gen Xers learned early in their lives to be self-reliant; they gained transferable skills that positioned them quite well in the face of eventual corporate downsizing. However, Gen Xers may fear that younger generations will be promoted over them as the Baby Boomers �inally retire.

Millennials (born 1981–1995), also known as Generation Y, were raised by so-called "helicopter parents," who are known for being overprotective and excessively interested in their children's education and activities. Millennials were encouraged to be well rounded and rewarded for everything they did—they were considered "all above average," to borrow public radio show host Garrison Keillor's description of the children in the �ictional town Lake Woebegon. They are naturally optimistic, but many are unemployed and late bloomers, discovering that the world is tougher than they thought. Still, many Millennials do not expect to stay with the same company for their entire careers. They are well aware of the golden handshakes and layoffs that their parents suffered, along with unfunded pensions, forced early retirements, and long periods of unemployment in mid and late careers. Millennials recognize that they will probably not retire early. Moreover, they recognize that their career progress is up to them, as is their perception of career progress, and they take responsibility for their own development and career path. They want challenging jobs that allow them to become more competent and competitive in the labor market and provide for the satisfying, well-balanced life that their parents hoped they would achieve—and in some cases, provided for them during their early adulthood.

The clash between generations largely seems to be between Millennials and the older generations. Perhaps this is always the case, with younger and older generations feeling there is a gap in communication and willingness to understand each other's perspectives. Although both Gen Xers and Millennials prefer emails, Millennials de�ine themselves in terms of technology. Millennials strive to integrate their nonwork lives with their work lives, multitasking and giving as much attention to leisure and family as to work. Millennials are not used to following rules unless they are of their own making. They want to control their time and especially how and where they work. Technology enables this �lexibility. However, Gen Xers may believe that Millennials are arrogant and sel�ish and feel entitled without having a strong work ethic. Baby Boomers may believe that Millennials disregard corporate norms and the value of "paying your dues." In contrast, Millennials may believe that Baby Boomers are rigid, tied to corporate rules, and intolerant of differences or change. Gen Xers and Baby Boomers need to recognize that these new forms of work do not mean less engagement or productivity.

Millennials also expect constant feedback and coaching. Gen Xers see this as neediness, and Millennials may believe that Gen X managers are bitter and abrasive and not interested in them. Gen X managers should be trained in how to give constructive feedback, coaching, and mentoring. Although it often seems incumbent on the older generation to change, workers in the younger generation can bene�it from understanding the perspectives of their older coworkers and supervisors. Workshops with opportunities for Millennials and Gen Xers to discuss these differences might help them work together more productively. Millennials who are put in the position of leading older employees would likely be more successful if they recognized that Gen Xers might not have a natural interest in the Millennials' well-being, and they may need to ask Gen X subordinates to give them upward feedback and demonstrate that they are responsive to the Gen Xers by using the feedback.

The BP oil spill is an example of an intractable crisis. Can you think of any other examples?

Everett Collection/Everett Collection/SuperStock

Digital Natives (born after 1995), also known as Generation Z or the Next Generation, are beginning to enter the workforce. Instead of email, they are more likely to predominantly use instant messaging, Twitter, Facebook, and other apps and social media platforms. They may be especially responsive to other Digital Natives as trends sweep across social media. Digital Natives are likely to have a major advantage over Gen Xers and Baby Boomers and even Millennials in this regard. Digital Natives will be able to use social media more effectively to communicate within the organization and especially to fellow Digital Native customers and others outside the organization. For instance, Digital Natives will be able to formulate marketing strategies and mobile-based technologies that Millennials, accustomed to websites, may not understand or consider.

Although these are broad, sweeping statements, these generational differences have implications for leadership. Understanding the differences and interactions between generations will help the organization hire and develop the employees it needs for today and the future. Indeed, this mutual understanding between generations will help promote harmony in the workplace, with clearer communication and open discussion about what, why, and how decisions are made, especially when these decisions affect the lives of people—for instance, the ease of taking time off for family responsibilities or using technology for meetings (and saving the organization money, by the way) rather than requiring employees to travel frequently. A Baby Boomer leader of a large high-tech company, or the Gen X entrepreneur, needs the Millennial generation when faced with rapidly changing technology and a highly competitive, economically challenging, global world. The Millennials will mature, certainly, but they will do so with a new set of interpersonal skills. The Digital Natives, now entering the workforce, making discoveries, and inventing new uses for emerging technologies, will not only shape the organization of the future but are vital to creating it. The changes ahead are likely to be less in the form of incremental adaptation and more like frame-breaking transformation. Leaders from all generations need to think about what this means for them as they formulate organizational goals and strategies. Leaders who recognize these workforce differences will have an edge over those who do not.

The Challenge of Leading in Times of Adversity

What can create the conditions that lead to times of adversity? Consider some of these potential major changes, crises, and leadership challenges:

A major bank is faced with economic dif�iculties and must cut back costs drastically, laying off at least 10% of its employees. A major retailer is purchased by an upstart online retail company that specializes in offering discounts. The long-time head of a major organization has a heart attack and must resign, leaving the organization without a clear successor, and the board of directors brings in someone new from another industry as an interim replacement. A toxic chemical spill in a manufacturing facility severely injures 10 workers, causes the plant to shut down for 3 months, furloughs 252 workers, and causes an environmental furor. Sales revenues decline by 40%. A nonpro�it agency that provides medical assistance to disabled senior citizens is dangerously low in funds and may have to shut its doors. A software company is found to have engaged in fraud (see Case Study: The New CEO's Challenge). A major national retailer suffers a data breach/hacking and the loss of customer personal information, and the company initially chooses not to inform customers of whose identify information was stolen.

These are just a few examples of dilemmas and disasters that can arise in an organization for a variety of reasons. Sometimes the adversity is of the organization's own making. More often, it is a function of nature, the economy, or other factors beyond the organization's control. Gundel (2005) described four different types of crises:

Conventional crises are predictable—for example, the failing of a company's IT system. There are known ways to in�luence them. Unexpected crises are unpredictable ("black swan" events, to borrow the term used by Nassim Taleb [2010]), making them harder to prevent— for example, a forest �ire raging out of control. However, there are still known ways to in�luence them. Intractable crises are predictable, but the ability to in�luence their occurrence or outcome is extremely limited. For example, consider a volcanic eruption (sometimes with forewarning) or a hurricane. Cities can know that these events occur and be prepared but often are not. Fundamental crises are unpredictable and impossible to in�luence; therefore, leaders who face these crises can never truly be prepared or have enough capability or resources to respond. For example, consider a terrorist attack, such as those in Paris in 2015 and in Nice and Istanbul in 2016.

Corporate crises are hardly new, but their continued reoccurrence suggests that crisis leadership remains an important competency for today's leaders (James & Wooten, 2010). As Collins and Hansen (2011) stated in their book Great by Choice, "Instability in the world is chronic, uncertainty is permanent, change is accelerating, disruption is common, and we can neither predict nor govern events" (p. 193). For the remainder of this section, we consider what behaviors and attitudes an effective leader should embody in the face of adversity, in particular, motivating with inspirational leadership, remaining disciplined and vigilant, and having a

John Swainson speaks at a conference in 2006. Swainson was charged with restoring customers' con�idence and trust at CA Technologies.

AP Photo/Mark Lennihan

positive attitude. In Case Study: The New CEO's Challenge, consider the case of how executive fraud occurred and was managed by leaders at Computer Associates (now called CA Technologies).

Case Study: The New CEO's Challenge

In 2004, software company Computer Associates (CA) admitted to $2.2 billion in fraud based on the backdating of hundreds of sales contracts and altering other related documents. In essence, the company had kept its books open at the end of each quarter—maintaining a so-called 35-day month—so it could include revenue from the following quarter to meet revenue goals and thereby sustain its stock price. The CEO, Sanjay Kumar, and other involved senior leaders (including the head of sales, the general counsel, and a senior �inance executive) resigned and, in some cases, were later incarcerated. To try to repair the damage at the company, the CA board of directors looked for someone who knew software and was considered credible, smart, and honest. The board installed John Swainson, who had spent more than 25 years at IBM.

Swainson began personally meeting with customers to repair relationships and rebuild con�idence and trust in CA. According to an article in Fortune (Varchaver, 2006), the company founder, Charles Wang, and then-CEO Kumar had created a "sharp-elbowed, sales-obsessed culture" (para. 13) rather than a service-oriented culture, thereby alienating its customers. CA's infrastructure software was so dif�icult and expensive to remove that many companies did not bother, causing CA's senior management to arrogantly think there was no need for change. When the

company acquired new products, leadership simply eliminated most newly acquired staff and rebranded the products under the CA logo without updating or investing in them. As long as money was �lowing in, CA leaders did not see the need to help customers who were dissatis�ied or plagued with obsolete products. Such greed was also apparent when Wang, Kumar, and Artzt, another cofounder, chose to split a $1.1 billion stock award, even though the �igure exceeded the company's annual pro�its that year ($250 million was later returned in the face of angry and contentious shareholders).

In addition to working with customers, new CEO Swainson changed the company's name to CA Technologies to disassociate the company from the name Computer Associates, but he also realized that CA needed a cultural transformation, which would take 3 to 5 years. As a result, he launched a number of initiatives, including the following:

Creating a new set of core values, with a strong customer focus and backed by senior leadership commitment Instituting mandatory ethics training for all employees Reorganizing the sales organization to provide customers with designated sales representatives Making strategic acquisitions with a strong commitment to keep the staff and provide continued product improvement and support Creating an organization hierarchy empowered with decision-making ability Installing a companywide enterprise software management system to improve the transparency and ef�iciency of business operations, particularly in the troubled sales and �inancial areas Hiring trusted senior executives who could help lead the transformation

Along the way, however, Swainson ran into several setbacks. First, the company had to restate a number of earnings as problems from the Kumar regime were unearthed. Second, appointed executives bungled the implementation of a new sales commissions plan, resulting in an unplanned cost of $75 million. Third, there was general resistance to the culture change, as many long-time employees and senior executives were comfortable with the old way of doing things. Fourth, faced with earnings dif�iculties, the company conducted layoffs and cut a number of employee perks, including a one-time elimination of a discretionary 401(k) contribution, while Swainson himself still appeared to be enjoying perks, such as helicopter rides from his home in Connecticut to the company's Long Island headquarters of�ice.

Swainson did steer the company through a stormy 5-year period, doing his best to overcome the problems of the past while meeting the challenges of the future. In 2009, after a number of years of �lat to little growth in earnings, Swainson left CA and was replaced by another former IBM executive, Bill McCracken, who was then CA's board chairman. McCracken was expected to lead the next transformation at CA, moving CA, among other things, into the business of supporting cloud-connected enterprises. Today, CA is a thriving company that has rebuilt its reputation. Although it is still selling business software, CA's ads in media portray this new image to the general public, who may be shareholders or customers of clients.

For more detail on the CA story, read the 2006 Fortune article: http://money.cnn.com/magazines/fortune/fortune_archive/2006/11/27/8394334/index.htm (http://money.cnn.com/magazines/fortune/fortune_archive/2006/11/27/8394334/index.htm) .

Re�lection Questions

Which of the core behaviors have you utilized in challenging times?

Blossomstar/iStock/Thinkstock

Many of the issues in this case were addressed in this chapter, in general, as we discussed the complexity of leading organizations:

The importance of ethical leadership and building a culture of ethics, which Swainson set out to do The need to focus on process ef�iciency and reliability, which Swainson did by implementing an enterprise management software system Being innovative, which Swainson did through making acquisitions, and to do so more in a manner that demonstrates collaborative leadership The importance of succession planning and the role of the CEO and the board in selecting the right CEO for the times Creating the right set of core values and ensuring senior leadership embraces and demonstrates those values in day-to-day actions

1. Are there any other actions you would have recommended to CEO John Swainson to transform CA's culture? 2. How are leaders in the �irm likely to be viewed by employees, shareholders, and other stakeholders? 3. What characteristics do leaders need to rebuild an organization's or department's reputation after a loss of con�idence?

Some characteristics may include being open and honest, being a good listener, and being willing to engage others in making decisions. What else can you think of?

Motivate With Inspirational Leadership Adverse or crisis situations cause members of the organization to face ambiguity, fears about the organization's ability to continue, and doubts and anxiety about the future. Leading organizations through adversity requires a host of talents, including the ability to inspire and give hope to employees, reinstate a feeling of psychological safety, work to recoup losses, and �ind ways to redirect and sustain the organization. Leaders also need a well-reasoned strategic plan, but one that is �lexible and farsighted, and they need to judge when to stick to the plan or alter it (Kotter, 1996; Heifetz, 1994). Employees look to the leader for a strong vision, cues on how to deal with the misfortune and their distress, ways to make sense of the situation and focus on common goals, and encouragement. This requires leaders who have a strong combination of charisma, transformational skills, and a values-based approach. Together, these are elements of inspirational leadership (Wilson & Rice, 2004). Inspirational leaders bring vision, challenge the status quo, and value and appreciate employees' contributions to sustaining the organization.

Collins and Hansen (2011) stated that leaders become attractive and motivate others by a form of ambition. In essence, leaders display an ambition that is focused beyond themselves toward, for example, building a great company or changing the world—a common vision for the future, one that engages the hearts and minds of employees. Within the framework of full range leadership, this behavior can be characterized as idealized in�luence and inspirational motivation. As Wilson and Rice (2004) noted,

When inspirational leadership is practiced effectively, a clan-like culture develops in the organization. The leadership's vision and values are internalized. Followers learn which goals to value and how to achieve these goals by following logical administrative processes. They willingly demonstrate their own capability for leading with inspiration and develop deep and productive relationships with colleagues at all levels. (p. 7)

Remain Disciplined and Vigilant Collins and Hansen's 2011 book Great by Choice is based on a long-term study of companies, most of which were in existence for at least 25 years prior to the 2002 close of their study period. Collins and Hansen stated that leaders need to personally demonstrate and ensure their organizations focus on a triad of core behaviors in extended periods of uncertainty, adversity, and change:

1. Fanatic discipline. Action must be consistent over time with the vision, mission, and goals of the organization. This means setting targets and sticking to them—not underperforming in challenging markets and overperforming when the markets allow for it. Progressive Insurance, for example, consistently targets a combined ratio of 96%—the ratio of losses plus overhead to sales, regardless of environmental factors. This target setting is similar in approach to performance management that starts at the top of the organization and is cascaded through the hierarchy, aligning everyone's efforts toward a common purpose.

2. Empirical creativity. When the organization is faced with uncertainty, evidence and learning become the focus. Leaders encourage the search for empirical data—from direct observation, practical experimentation, and direct engagement with tangible evidence. One way organizations do this is by taking small steps, steps that are low in risk and distraction to the overall organization. For example, a major retailer opens just one store in a new region and learns what works and what doesn't before opening others, rather than trying to open too many at one time. This is what is characterized as organization learning, and a demonstration of innovativeness. We refer to this approach as shooting bullets before shooting cannonballs.

3. Productive paranoia. Organizations maintain a hypervigilance of the environment, staying attuned to threats and changes, particularly when things are going well. It involves being prepared for the worst possible conditions to happen, by taking action,

creating contingency plans, building buffers, and creating large margins of safety. In addition, we recommend building large cash reserves and bounding and managing risk. For example, Southwest Airlines has been known to keep a very conservative balance sheet, which has contributed to its long-term success.

Overall, Collins and Hansen's �indings apply to leadership at all times. The core behaviors of fanatic discipline, empirical creativity, and productive paranoia are not only something to emphasize for success in the more challenging and unstable period of time, but also effective practices for leadership under all market conditions. Would you agree with this statement? Why or why not?

Have a Positive Attitude Appreciative inquiry is the leadership philosophy of searching for the best in people and organizations (Bushe, 1995; Cooperrider, 1995; Cooperrider, Barrett, & Srivastva, 1995). It is recognizing the dynamic, vital quality of an individual or company that needs to be nurtured for continuous growth and development. This is what makes people and organizations effective and constructive, particularly in dif�icult and challenging times. Crises can bring out the worst in people or the best. Appreciative inquiry calls on leaders to look for the best to make the most of an individual's or organization's capacity. In fact, leaders should view crises from a positive perspective, as they help leaders capitalize on the opportunities that arise from adversity and, as a result, overcome signi�icant barriers to success. In this way, leaders help the organization gain a competitive edge, using their own inspirational approach as a model that becomes part of the organization's can-do culture.

To engage in appreciative inquiry, leaders need to discover the positive qualities that can be the heart of positive change. For example, leaders can realize the importance of clear communication, involving others in making decisions that affect them or avoiding any appearance of unethical activity. Once positive qualities are identi�ied, leaders can create a clear, results-oriented vision for the individual's or organization's full potential and higher purpose ("What the world is calling us to become"). Instead of �ighting the crisis or continuously solving problems, appreciative inquiry envisions the possibilities that emerge from the crisis. At the risk of oversimplifying, in the words of the Johnny Mercer song, the point is, "You've got to accentuate the positive / Eliminate the negative" (Mercer, 1944; words by John Mercer, music by Harold Arlen, © 1944 Harwin Music Co.).

This might seem like Pollyannaism, but a positive attitude and perspective can make a difference. People who have a positive perspective improve their performance. They are more productive, creative, and engaged (Anchor, 2012). Leaders who cultivate a positive mindset in themselves and the people who work with them perform better in the face of challenges.

We close this section by offering Weiss's eight laws for crisis leadership (2002, p. 28), laws that you should by now have come to know and appreciate as important to leadership in general. Observe how they sum up what we have discussed so far about leading in times of adversity:

1. Maintain absolute integrity 2. Know your stuff 3. Declare your expectations 4. Show uncommon commitment 5. Expect positive results 6. Take care of your people 7. Put duty before self 8. Get out in front—lead by pulling, not pushing

Leadership for the Future: The Leadership Practices Model

More than ever before, organizations—perhaps more importantly, the leadership in organizations—face unprecedented times: uncertain economic outlooks, global competition, geopolitical events, and other forms of adversity. In this �inal section, our goal is to provide some closing thoughts by presenting a simple yet compelling model to consider. Although the other leadership models in this text should inform your approach to leadership, we see this as a practical model that pulls together many of the key aspects of leadership we have been discussing.

The leadership practices model has roots in both transformational and transactional leadership. It was introduced by Kouzes and Posner (1987; see also Kouzes & Posner, 2016). They suggested �ive speci�ic practices for effective leadership, each with two behavioral commitments:

1. Modeling the way. Leaders commit to setting examples of the behavior they expect of others. In other words, you should "walk the talk" and "practice what you preach," demonstrating the behaviors you expect from others. Modeling the way also refers to being clear about principles that guide your behavior and decisions and recognizing and respecting others' values.

2. Inspiring a shared vision. Leaders commit to envisioning the future and enlisting others. This is about describing your dreams of what could be and expressing con�idence that they can come true. You also need to know others' dreams and, together, create a shared vision to which you all commit.

3. Challenging the process. Leaders commit to searching for opportunities and experimenting and taking risks. You should accept challenges, be open to learning, and try new things. Recognize and create innovative ideas for transforming the status quo.

4. Enabling others to act. Leaders commit to fostering collaboration and strengthening others. This is about promoting cooperation, providing resources for learning, and helping others do a good job.

5. Encouraging the heart. Leaders commit to recognizing individual contributions and strengthening others. You should celebrate others' values and accomplishments and appreciate their commitment and dedication, especially when they go above and beyond expectations. Encourage a team identity, and provide guidance when the going gets tough.

One �inal piece of advice: Consider watching the following short Harvard Business School video titled The Biggest Mistake a Leader Can Make, which features leadership experts discussing behaviors that leaders should avoid. Think about how their advice relates to everything you have learned so far: http://www.youtube.com/watch?v=iiorMUkqqDY&feature=related (http://www.youtube.com/watch? v=iiorMUkqqDY&feature=related) .

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What are the challenges of the different generations in the workplace today? 2. How do you de�ine inspirational leadership? 3. What are four types of crises? 4. What are the �ive leadership practices recommended by Kouzes and Posner?

Summary and Resources

Chapter Summary

This chapter examined the challenges of leading organizations, whether departments, business units, or complex organizations. Leaders need to �ine-tune their skills as they balance a host of concerns—including the three dimensions of ef�iciency and process reliability, innovation and adaptation, and human resources and human relations—to meet challenges for today and the future. Today's leaders need to recognize the multiple roles they need to play, determine and guide the culture they want to foster, and envision and prepare for the future. From a strategic perspective, collaborative leadership calls for working across organization boundaries, while adaptive leadership involves learning how to address con�licts in the followers' values or mitigate the gap between the values they hold and the reality they face.

For the role of leading organizations, four leadership competencies were discussed. We described how to lead the overall strategic planning process that results in providing organization purpose and direction. We detailed how to lead organization change, including Kurt Lewin and John Kotter's more recent eight-step approach. One of the hardest things to change in organizations is culture, and in terms of building and changing cultures, the importance of and how to build cultures that embody engagement, innovation, ethics, and a feedback focus was stressed. Senior leadership's role in succession planning and leadership development was also highlighted.

Of course, leaders are always facing new challenges, and two in particular were reviewed: leading a multigenerational workforce and leading in times of crisis and adversity. Finally, we offered key practices to follow to help ensure your future success as you consider your overall leadership style.

As you think about your future and the future of leadership, consider watching the introduction to IBM's forum on the future of leadership: http://www.ibm.com/ibm100/us/en/forum/ (http://www.ibm.com/ibm100/us/en/forum/) . After watching the introduction, consider selecting one or more additional videos on the list to hear more from these thought leaders and think about how the world has changed since the forum took place.

Leadership Exercise

Instructions: In this �inal exercise, you will create the elements of a plan for your own leadership development, considering what you know about yourself, one-to-one leadership, team leadership, and leading organizations.

First, identify a leader you want to study, perhaps someone you can emulate or someone who represents what you do not want to be. Search for published information about this person and determine the major characteristics that contributed to the person's successes or failures. Use concepts discussed throughout this book to assess the individual's self-leadership, one-to-one relationships in the organization, team leadership, and organization leadership. What did you learn from your analysis?

Next, answer the following about yourself:

1. What is your road map for being an effective, balanced, and ethical leader? That is, what actions will you take to apply the principles in this book?

2. In what ways are you or can you balance your leadership style—balancing creating a vision with recognizing and incorporating followers' vested interests, balancing taking control with empowering followers, and balancing your bias for action with time for re�lection and �inding ways to improve?

3. How can you be a �lexible, collaborative leader for one-to-one leadership, team leadership, and organization leadership? 4. What are your leadership strengths and weaknesses, what leadership skills do you want to develop, and what actions are you

going to take to develop those skills?

Web Resources

See this Harvard Business Review article on traits of innovative leaders: https://hbr.org/2014/12/research-10-traits-of- innovative-leaders (https://hbr.org/2014/12/research-10-traits-of-innovative-leaders) Forbes provides a good overview of strategic leadership (http://www.forbes.com/2010/10/27/three-strengths-strategy- leadership-managing-ccl.html (http://www.forbes.com/2010/10/27/three-strengths-strategy-leadership-managing-ccl.html) ) and tips for collaborative leadership(http://www.forbes.com/sites/carolkinseygoman/2014/02/13/8-tips-for-collaborative- leadership/#5dd5372c4526 (http://www.forbes.com/sites/carolkinseygoman/2014/02/13/8-tips-for-collaborative- leadership/#5dd5372c4526) ) Acumen is a global learning community for social change makers. The organization offers a course on adaptive leadership as well as other leadership skills courses: http://plusacumen.org/courses/adaptive-leadership/ (http://plusacumen.org/courses/adaptive-leadership/) For a more detailed description of change leaders, see Harvard professor and in�luential leadership scholar Rosabeth Moss Kanter's TED Talk about making a difference in the world and success factors that are the keys to positive change, including lining up partnerships, managing the miserable middles of change, and sharing success with others:

https://www.youtube.com/watch?v=owU5aTNPJbs&spfreload=5 (https://www.youtube.com/watch? v=owU5aTNPJbs&spfreload=5) For more details about how to conduct succession planning, see the tool kit offered by Canada's HR Council: http://hrcouncil.ca/hr-toolkit/planning-succession.cfm (http://hrcouncil.ca/hr-toolkit/planning-succession.cfm) The Wall Street Journal offers tips for managing different generations ( http://guides.wsj.com/management/managing-your- people/how-to-manage-different-generations/ (http://guides.wsj.com/management/managing-your-people/how-to-manage- different-generations/) ) and lessons for leading in a crisis (http://guides.wsj.com/management/developing-a-leadership- style/how-to-lead-in-a-crisis/ (http://guides.wsj.com/management/developing-a-leadership-style/how-to-lead-in-a-crisis/) )

Key Terms to Remember

Click on each key term to see the de�inition.

adaptive leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An approach that engages and empowers followers to own and solve problems collectively, as a community, to tackle problems that are hard to de�ine and have no clear, available solutions.

appreciative inquiry (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The leadership philosophy of searching for the best in people and organizations.

blue ocean strategy (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

In which companies focus on untapped market space (uncharted waters) where they can create demand and opportunity for pro�itable growth.

collaborative leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An approach that emphasizes using leadership skills across functional and organizational boundaries.

core values (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The deeply held beliefs that characterize and de�ine the behaviors necessary to ensure organization success.

cultural intelligence (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The knowledge necessary to interact effectively across cultural situations.

employee engagement (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

When employees are considered involved, committed, passionate, and empowered and demonstrate those feelings in the workplace.

inspirational leadership (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An approach that involves engaging employees in the mission of the organization by communicating vision, challenging the status quo, and appreciating employees' contributions to sustaining the organization.

mission (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

The fundamental purpose of the organization—what the organization does to accomplish its vision.

planned change (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A deliberate, proactive, conscious decision to change.

refreezing (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Reinforcing the new ways of thinking and acting after an organization change.

succession planning (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Identifying people who are ready now for promotion or who have the potential to advance in the organization after a period of development.

transactional change (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Change that focuses on modifying existing characteristics in an organization.

transformational change (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

A radical change in the organization's mission, vision, strategy, culture, or leadership.

unfreezing (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

Helping employees to let go of the past in the face of change.

unplanned change (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

An organization's response to unanticipated external events.

vision (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover/books/London.2728.16.1/section

What the organization wants to create or be at some time in the future. An approach that engages and empowers followers to own and solve problems collectively, as a community, to tackle problems that are hard to define and have no clear available solutions

Click card to see term 👆

Choose a Study ModeView this study set

Appendix A: Research on Leadership

Some leadership theories and models come from writers and motivational speakers who summarize their observations in compelling language, usually reducing the ingredients of leadership to a few key, easily remembered terms. These writers can be helpful because they explain tough issues in simple, compelling ways. There are numerous books on leadership, and popular trends in leadership come and go— for example, the "one-minute manager," "managing by wandering around," and the "GE Way." However, research grounded in theory is needed for us to be able to understand and determine how leaders' behaviors and their decisions affect organizations and the individuals in them. So, in this section, we provide you with a brief review of the drivers of leadership research in the 20th century and guidelines for reading and assessing leadership research.

Sources of Leadership Theories

Leadership research began to blossom during World War II. One of the earliest and most famous efforts was the Ohio State Leadership Studies, begun in the 1940s on a military sample (Stogdill [1963] provided an overview of the research and resulting measures). Researchers at Ohio State were asked to survey soldiers about their leaders. Analysis of the survey results suggested that "initiating structure" (a task-oriented approach) and "consideration" (a people-, or relationship-, oriented approach) are the two principal ingredients of effective leadership and that these two dimensions are independent factors: Both are needed, possibly at different times or in other cases together, depending on the situation.

Unlike previous theories, the Ohio State studies' dimensions were derived from research, not from armchair theorizing, and these initial studies of the military gave rise to numerous studies of leadership in a wide range of organizations. One line of research examined the conditions under which these two dimensions were important for effective performance. Another line of research argued that leaders were likely to be good at either structuring tasks or at caring about direct reports' needs—but not both—so leaders should be moved into situations that best suit their leadership style (Fiedler, 1971). Other research suggested that leaders could learn these dimensions of leadership and vary their behavior depending on the situation (Yukl, 1971) and that leaders' effectiveness stems from applying these dimensions to in�luence direct reports' motivation to perform and recognize the paths to achieving their goals (House & Mitchell, 1986).

The Ohio State studies were just the start of an ever-growing body of research on leadership. To gain an appreciation of the value of research for answering questions about leadership, you need to know the elements of research design and measurement. This will allow you to critically evaluate statements about leadership, recognize a study's limitations, formulate your own questions, and craft research designs and methods to answer these questions—or, at least, to know what research would be needed to address these questions, if you do not actually conduct the research yourself.

Ultimately, you want to be sure that the leadership actions you take are supported by solid research or evidence that they will be effective. This is called evidence-based leadership practice. As a leader, you use your experience and research-based information to guide decisions and actions and actively examine and evaluate the best available information or research data. In fact, being an evidence-based leader requires considering �ive sources of information before taking signi�icant leadership action (Briner & Rousseau, 2011):

1. Your expertise and judgment (e.g., what has worked in the past for you or others and how relevant those past situations are to the present)

2. Evidence from your local context (e.g., data or information about what is happening or about to happen in your organization, the costs and bene�its of possible actions, what your colleagues—other leaders with similar experiences or informed opinions—in the organization think, what your boss thinks)

3. Critical evaluation of best available research results—the prime purpose of the following Research Guidelines section (e.g., studies that are available in the literature that suggest the effects of alternative decisions or actions, case studies from other contexts that describe similar situations)

4. Expert opinions (e.g., opinions of consultants or coaches you hire, recommendations from or about leaders that appear in business publications)

5. The perspectives of those who have to accept the decision (e.g., other employees, your direct reports, your boss)

Finally, we again encourage you to treat currently fashionable or new ideas with skepticism. Leadership practice is often ahead of leadership research. Trends develop from popular articles or descriptions of cutting-edge programs that worked in other organizations. Many companies jump on the bandwagon. These trends, however, tend to come and go.

Research Guidelines

A leadership study will likely measure leaders' behaviors and their outcomes, the variables that in�luence them, and factors that affect the relationships among them. The measures are likely to be both subjective (leaders' self-perceptions or the perceptions of others who observe them, such as direct reports or peers) and objective (frequency of different behaviors or measures of the quantity of outcomes, such as units produced, pro�it, or employee turnover). A good research study will be both reliable and valid and will minimize "threats" to validity.

Reliability

Reliability can be de�ined as follows: the ability of an instrument—for example, a test—to measure an attribute consistently. To be considered reliable, measures should be internally consistent, have interrater agreement, and yield similar results over time.

Internal consistency is a way of making sure that a survey or other research method is measuring what it intends to. Say a research study asks direct reports to complete a survey about their leaders. The items in the survey measuring a particular variable or construct, such as transformational leadership, should be highly related to each other and to the variable, and not highly related to other variables or constructs. For example, if the survey included asking participants to rank the likelihood of the statement "Our leader creates strategies that de�ine how we will compete in the marketplace," this survey item would more likely be an indicator of strategic planning rather than transformational leadership. A survey containing such items might produce confused and inaccurate results.

Another way to help achieve internal consistency is to include two or more survey items that ask a similar question but in opposite ways. For example, a survey could ask whether respondents both (1) agree that the leader has a clear vision for the direction of the organization and (2) agree that the leader does NOT have a clear picture of where the organization is headed. Results of the items can be compared to make sure the responses match up, helping to show that the items measured what they intended to and readers were not led or confused by errors in the wording of any particular item. A respondent who agrees that the leader has a clear vision for the direction of the organization should also disagree that the leader does NOT have a clear picture of where it is headed.

Interrater agreement is the degree of consensus among respondents. Direct reports rating the same supervisor should agree, although the agreement will be less than perfect because of differences in how people respond to surveys and the different experiences that direct reports have with the same leader. In addition, people generally have biases that in�luence how they respond to a survey measure—for instance, being positive or lenient no matter what questions are asked. However, if results between different raters vary wildly, this may be a sign that the survey items do not reliably measure what they're supposed to.

Finally, reliable measures should be similar over time. Ratings collected at one time should correlate highly with ratings collected about the same leader at a later time as long as the time period was not so long that the situation changed dramatically and the leader's behavior changed with it.

Validity The degree to which a test or measurement accurately re�lects or measures what it purports to measure is referred to as the test's validity. For example, a research design is valid if the measures of how a leadership style or behavior affects an organization's performance are appropriately related to the outcome the measures seek to prove. A simple but effective design is to collect different measures at one point in time. A survey measure can be used, for example, to collect direct reports' perceptions of their leaders; leaders can provide measures of their characteristics, such as self-con�idence, and various measures of performance can be collected from other sources. Questions to evaluate the validity of the research design would be the following:

Are the performance measures under the control of the leader or likely to be in�luenced by other factors? (A company's stock price would be an example of a corporate performance measure that is affected by many factors, including the CEO's decisions.) If the measures can be affected by factors other than the leader, they are not valid measures of that leader's impact on performance. Do direct reports have enough exposure to the leader to accurately evaluate the leader's behavior? Do the direct reports agree? Did the leader's behavior affect the later performance of the organization or unit? To answer this question, measures need to be conducted at intervals over a longer period of time, which is called longitudinal research.

Another research design is to vary conditions and compare groups that were exposed to these different conditions. This is what is known as experimental design. For instance, an experimental research design could examine the effectiveness of different ways of training leaders. In such a case, the individuals exposed to the different conditions should be selected randomly and the different groups should be similar except for how they were treated.

Threats to Validity "Good" or rigorous research means that the variables are measured accurately and that cause-effect relationships are clear and not affected by extraneous factors, such as measurement errors or unintended or unaccounted-for in�luences. The idea of research is to eliminate these internal and external factors, which can pose as "threats" to achieving accurate and valid results that can be repeated and understood. A study does not have to be perfect, but the threats should be minimized and, if not totally eliminated, at least recognized and understood. The following is a summary of the key factors that threaten the validity of a study, which we have adapted from several sources (Campbell & Stanley, 1966; Cook & Campbell, 1979; Yu, 2015):

History. A variety of events can occur between the �irst and second time a measure is taken. For example, an organizational downsizing takes place after one annual employee survey is launched but before the next one is implemented. Maturation. Certain processes occur within the subjects of a study, primarily due to the passage of time. For example, subjects can become more experienced or trained, or their performance may simply improve. Testing. The effects of taking a measure or test might affect the retaking of the measure or test. For example, a person taking the SAT for the second or third time or evaluating a leader again for effectiveness using the same measure is in�luenced by the initial encounter with the instrument. Instrumentation. Changes in the instrument, observers, or scorers may produce changes in outcomes. For example, a new observer formulates views of a team's effectiveness in round two of evaluating the team.

Statistical regression. This is also known as "regression to the mean" and is caused by selecting subjects on the basis of extreme scores or characteristics. For example, if a study used the lowest performers as subjects, one can almost guarantee that the subjects will show immediate improvement right after the experimental treatment. Experimental mortality. This describes circumstances in which subjects fall out of the study, usually as a result of participants just dropping out over time. The "John Henry effect." Subjects raise their level of performance in a study simply because they know their performance is being measured. For example, a student tries hard to do well in "class participation" only because the student knows she is being evaluated; the student might not have tried as hard if class participation had not been included in the �inal grade. Reactive or interaction effect of testing. A pretest might increase or decrease a subject's sensitivity or responsiveness to the experimental variable or treatment in the study. Multiple treatment interference. When multiple treatments are given to the same subjects, it is dif�icult to control for the effects of prior treatments.

Generally, the goal of research is to test a hypothesis while eliminating rival alternative hypotheses that can explain the results of the research. Any outside in�luences are limitations that can be addressed in future research. If there are too many limitations, the research is likely to be of little value. If there are a few limitations, these can be recognized and their effects estimated. If the main effects of the study are large and the likely effects of the limitations small, then the research can be used to guide behavior and actions. Test yourself on your understanding of reliability and validity by reading Spotlight: Research on Transformational Leadership.

Spotlight: Research on Transformational Leadership

The following is a good example of how research can be used to guide behavior and actions.

Purpose: Taly Dvir and Dov Eden of Tel Aviv University, Bruce Avolio of the University of Nebraska, and Boas Shamir of Hebrew University (2002) studied the effects of transformational leadership on follower development and performance. The researchers wanted to see if training in transformational leadership would be bene�icial.

Method: The sample consisted of military leaders and 90 direct followers (noncommissioned of�icers) and more than 724 troops below them in the military hierarchy. Leaders and their teams were randomly chosen to participate in one of two types of leadership training workshops, each workshop lasting 3 days. One, focused on transformational leadership, showed of�icers how transformational leadership can create higher levels of follower development and performance. The other focused on a variety of leadership strategies to handle different situations, such as goal setting, crisis intervention, contingency theory, trust building, and group cohesion. Both training sessions used role-playing, group discussions, simulations, presentations, video cases, and peer and trainer feedback. Six weeks after the workshops, a trainer worked with the leaders in the transformational group to reinforce the training. Performance and attention to development were assessed 6 months after the training. The measures included ratings of the leaders' behavior, troops' perceptions of their development, objective measures of troops' performance, and objective measures of weapon knowledge, physical �itness, marksmanship, and obstacle course performance.

Results: The results showed that leaders in the transformational training group had more of a positive impact on followers' development and troop performance than did leaders in the training group that learned a variety of strategies.

Does this study seem reliable? Why or why not? Does the research seem valid? Why or why not?

Reliability involves examining the internal consistency of the measures, the interrater reliability, and the similarity in results over time. In this study, several measures were used, but we do not know for sure if the measures were internally consistent (no evidence of this was reported). Also, because the measures were administered only once, 6 months after the training, we do not know if the measures would produce similar results over time. However, given that the results show that those in the transformational training group had a more positive effect on followers' development and troop performance, we have some evidence for interrater reliability.

Regarding validity, the use of an experimental design that randomly assigned the leaders to two different training groups is a positive. Adding to the validity, a variety of measures, objective and subjective, were used, even if only once (6 months after the training). However, administering the measures twice—before the training and then 6 months later—would have strengthened overall validity and minimized the threat of maturation. Finally, reinforcement training was provided (after 6 weeks) only to those in the transformational group, so in effect, this group experienced an extra treatment that could have accounted for the reported results.

No study is perfect in design and measurement. Your goal as a critical reader is to understand the limitations of a study and the value it provides in answering questions and furthering discussion about leadership. Researchers will usually describe their study's limitations in the conclusion of the paper.

To further hone your skills, you may want to practice one or both of the research exercises at the end of this appendix.

Leadership in Review

Re�lect on your learning by answering the following questions:

1. What does evidence-based leadership mean? 2. What is meant by reliability? 3. What is meant by validity? 4. What are threats to validity?

Appendix A Resources

Research Exercises 1. Search online or in your library for a research study on leadership, looking at leadership journals. What were the purpose, method,

and results? What were the limitations? What would you do to improve the research if you were to replicate the study? Would you change the sample, the measures, when and how the measures are collected, or the analyses? What additional knowledge about leadership would you gain from your improvements?

2. Select a leadership topic that interests you. What research questions would you address?

Key Terms to Remember Click on each key term to see the de�inition.

reliability (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover#)

The ability of an instrumeament—for example, a test—to measure an attribute consistently.

validity (http://content.thuzelearning.com/books/London.2728.16.1/sections/cover/books/London.2728.16.1/sections/cover#)

The degree to which a test or surement accurately re�lects or measures what it purports to measure.

Appendix B: Conducting Effective Selection Interviews

Although the validity of interviews as a predictor of performance is about .20, interviews still remain the most popular method for hiring and selecting candidates for positions in organizations. In this appendix, we discuss the two most important types of selection interviews, provide an outline for conducting effective interviews, describe the kinds of questions to ask during an interview, and provide a sample form for use in asking and recording interview questions.

Types of Interviews

There are two types of interviews. The �irst follows no particular format, and managers and leaders may or may not have prepared questions in advance. This interview tends to feel like you are having a general conversation with the candidate, and the validity of this kind of interview has been reported to be .11 (Hogan & Kaiser, 2010). This type of interview is referred to as an unstructured interview (Dessler, 2011; Stevens, 2009). CEOs and other senior leaders will tend to conduct unstructured interviews given their reliance on their own intuition and experience.

The more effective interview, with a reported validity of .18 (Hogan & Kaiser, 2010), tends to be more organized. First of all, questions are developed in advance, and there is typically an order in which the questions are asked. The answers to the questions are usually scored for their accuracy, relevance, and appropriateness. This kind of interview, therefore, can be easily repeated, adding more consistency and validity to the interview as a selection method when there are multiple candidates to consider. This type of interview is called a structured interview.

Which type of interview should leaders use? Realistically, they should use a blended but largely structured approach. In this way, leaders and managers ensure they ask the most pertinent job-related questions of each and every candidate. This helps to make the selection decision easier because leaders, managers, and HR professionals can literally compare and rate the answers across candidates, making the evaluation more effective. However, allowing managers and leaders some degree of latitude to pursue additional questions with different candidates provides them with enough freedom to feel that they can also capitalize on and draw from their own experience when evaluating job candidates.

Outline for Conducting Effective Interviews

Managers and leaders need to know how to structure their selection interviews so that they can maximize the effectiveness of the interview process. We break the interview into three sections, similar to how others (e.g., Dessler, 2011) suggest constructing the selection interview.

It is likely that several leaders will interview the candidate and that each leader will have a primary area or set of competencies to explore —for example, teamwork and cooperation. As a result, typically the three sections of an interview take place over a 45-minute period, as follows:

Section 1: Opening (5 minutes). This is the opportunity to begin establishing a rapport. In this section, the leader welcomes and shows interest in the candidate (can ask if the trip to the interview went well, discuss the weather, etc.), tells the candidate about his or her role and tenure with the organization, and explains how the interview will work. The leader should also ask if the candidate has any important questions that he or she would like to have answered before going further, just in case there is something on the candidate's mind that can't wait. Section 2: Asking Questions (30 minutes). This is the heart of the interview, and this is where the leader asks questions. The leader is expected to largely follow the structured interview guide and ask the predetermined set of questions, noting the answers. The leader should also use this time to ask questions important to him or her, and to allow the candidate to ask questions as well. Depending on the overall number of interviewers involved in the process, the time for Section 2 can be expanded as necessary. Section 3: Closing (10 minutes). By this time, the exchange of detailed information about the job and the candidate's quali�ications is largely complete. What is left to accomplish is for the leader to describe the next steps in the process and to allow the opportunity for the candidate to ask any additional questions and to answer them as best as possible. The �inal step is for the leader to thank the candidate for coming and to �inalize his or her notes so that they can be shared or discussed with other interviewers and with HR, as company policy may suggest.

Types of Interview Questions

Section 2 is generally the time in the interview when leaders focus on questioning the candidate about his or her competencies and experience. There are three major types of questions: behaviorally based, situational or hypothetical, and job knowledge questions. Each is described as follows, in order of their generally recognized effectiveness:

1. Behaviorally based questions. Leaders use these questions to �ind out exactly how a candidate responded to an actual situation. For example, "Tell me about a time when you led an organization through a restructuring, noting what you felt were your biggest challenges."

2. Situational or hypothetical questions. Leaders use these kinds of questions to ask candidates how they might behave in a given situation. For example, "How would you react if, in a team meeting, two of your direct reports got into a heated discussion about the best strategy to take to launch a new product? Tell me how you would handle that situation, and what you would do."

3. Job knowledge questions. Leaders use these kinds of questions to determine the candidate's ability to perform the job based on relevant experience. For example, "What are the key major steps you would take to create your organization's strategic plan?"

See the following example of an interview guide (Table B.1) for a leading Fortune 500 company. The interview approach was largely structured, and forms such as this one were created to document answers to questions about each of the company's key leadership behaviors, as well as its core values. In particular, this form was used by leaders to document answers to two required questions, one behaviorally based and one situational, about the leadership competency manages performance. The form also contains recommended follow-up or probing questions to help the leader get a clear response to the question. The rationale for each question is provided, too, so that leaders could better understand the intent and purpose of the question, helping to guide them in their follow-up questioning.

Table B.1: Sample interview guide

Leadership behavior: Manages performance

Manages performance by setting high standards and providing regular constructive feedback

Behavioral question with probing questions Rationale for questions

Tell me about how you approached managing the performance of your employees in your most recent position. a. Do you think you were effective? b. How did you keep high performers motivated?

Allows you to learn about the performance management practices currently used by the candidate

Situational question with probing question Rationale for questions

You are tasked to manage a team that has a number of high performers who consistently exceed expectations. How would you continue to motivate these high performers? How would you motivate poor performers?

Allows you to gain insight into the candidate's thinking on his or her approach to performance management and employee motivation

Notes

☐ Not effective ☐ Somewhat effective ☐ Effective ☐ Very effective

Interview guides should contain questions that attempt to identify the presence of key personality factors, such as conscientiousness and emotional stability, as well as any other personality factor important to the position in general. In addition, the guide should contain questions that could help to identify cognitive ability, particularly if there is no standardized intelligence test administered as part of the hiring process. However, some companies may include questions that may or may not have strong predictive validity but could be informative to the interviewer, if not challenging to the candidate. See Considering Atypical Interview Questions for some questions asked of job candidates at Zappos and Microsoft.

Considering Atypical Interview Questions

Some questions asked of candidates during interviews at Zappos, which emphasizes both having the technical skills and being a good �it with the culture, include the following (D'Onfro, 2014):

How weird are you on a scale of 1 to 10? (para. 17) If you were an animal, which one would you be? (para. 10) What is your favorite curse word? Use it in a sentence about your last job. (para. 8) If you could be a superhero, who would you be and why? (para. 15)

At Microsoft, which focuses much more on cognitive ability, some nontechnical questions asked during interviews include the following (CareerGuru99, n.d.):

On my way to California, I saw a man with 5 wives. Each wife had 5 bags. Each bag had 5 cats. Each cat had 5 kittens. Kitten, cats, bags, wives. How many were going to California? (para. 3) If a bear walks one mile south, turns left and walks one mile to the east, and then turns left again and walks one mile north and arrives at its original position, what is the color of the bear? (para. 10) What is the next number in this series? 4, 6, 12, 18, 30, 42, 60, ? (para. 6)

How would you build an alarm clock for deaf people? (para. 12)

Re�lection Questions

1. Do you think these interview questions are appropriate for making hiring decisions? 2. What kinds of answers do you think the interviewer expects? 3. How would you answer these questions?

The following set of principles serves as a guide for how to structure interviews so that the best possible hiring decisions can be made (Stevens, 2009):

Be clear about the purpose of the interview, for example, whether selecting a candidate for a speci�ic position or to screen out candidates in general, so that all interviewers involved have a clear and common goal in mind. Be sure to develop questions that focus on the candidate's ability to perform the job, primarily choosing behaviorally based or situational questions. Develop the criteria for evaluating the candidates' answers to questions to ensure there is consistent information to later evaluate and compare candidates. Consistent with the structured interview, ask all candidates the same questions in the same order, again enhancing the validity of the interview process and giving all candidates an equal opportunity to best present themselves. Take notes during the interview, or at least immediately after the interview, and carefully review those notes before making a �inal recommendation on any one candidate. Verify with the candidate that all the material you have reviewed ahead of time (e.g., the candidate's résumé) is truthful and valid. Provide enough information, including a realistic job preview, during the interview so that you can help to ensure that candidates know what to expect if they are offered the job.

References

Abrahams, J. (1995). The mission statement book. Berkeley, CA: Ten Speed Press.

Amabile, T. M., Schatzel, E. A., Moneta, G. B., & Kramer, S. J. (2004). Leader behaviors and the work environment for creativity: Perceived leader support. Leadership Quarterly, 15, 5–32.

Anchor, S. (2012, January–February). Positive intelligence. Harvard Business Review. Retrieved from http://hbr.org/2012/01/positive- intelligence/ar/1 (http://hbr.org/2012/01/positive-intelligence/ar/1)

Arbinger Institute, The. (2010). Leadership and self-deception: Getting out of the box (2nd ed.). San Francisco CA: Berrett-Koehler.

Archer, D., & Cameron, A. (2008). Collaborative leadership: How to succeed in an interconnected world. Burlington, MA: Butterworth- Heinemann.

Argote, L., Gruengeld, D., & Naquin, C. (2001). Group learning in organizations. In M. E. Turner (Ed.), Groups at work: Theory and research (pp. 369–412). Mahwah, NJ: Erlbaum.

Argyris, C. (1990). Overcoming organizational defenses: Facilitating organizational learning. Needham Heights, MA: Allyn and Bacon.

Argyris, C. (1994). On organizational learning. Cambridge, MA: Blackwell Publishers.

Argyris, C. (2004). Reasons and rationalizations: The limits to organizational knowledge. Oxford, UK: Oxford University Press.

Argyris, C., & Schon, D. A. (1974). Theory in practice: Increasing professional effectiveness. San Francisco, CA: Jossey-Bass.

Ashford, S. J. (1989). Self-assessments in organizations: A literature review and integrative model. Research in Organizational Behavior, 11, 133–174.

Atwater, L. E., & Yammarino, F. J. (1997). Self-other rating agreement: A review and model. Research in Personnel and Human Resources Management, 15, 121–174.

Avolio, B. J. (1999). Full leadership development: Building the vital forces in organizations. Thousand Oaks, CA: Sage Publications.

Avolio, B. J., & Bass, B. M. (Eds.). (2001). Developing potential across a full range of leadership: Cases in transactional and transformational leadership. New York, NY: Taylor and Francis.

Bandura, A. (1986). Social foundations of thought and action: A social-cognitive view. Englewood Cliffs, NJ: Prentice Hall.

Bandura, A. (1991). Social cognitive theory of self-regulation. Organizational Behavior and Human Decision Processes, 50, 248–257.

Banet, A. G., Jr. (1976). Yin/yang: A perspective on theories of group development. In J. W. Pfeiffer & J. E. Jones (Eds.), The 1976 annual handbook for group facilitators. La Jolla, CA: University Associates.

Barrick, M. R., & Mount, M. K. (2009). Select on conscientiousness and emotional stability. In E. A. Locke (Ed.), Handbook of principles of organization behavior: Indispensable knowledge for evidence-based management (pp. 19–40). New York, NY: Wiley.

Bass, B. M. (1985). Leadership and performance beyond expectations. New York, NY: The Free Press.

Bass, B. M., & Avolio, B. J. (1990). Developing transformational leadership: 1992 and beyond. Journal of European Industrial Training, 14, 21–27.

Bass, B. M., & Avolio, B. J. (Eds.). (1994). Improving organizational effectiveness through transformational leadership. Thousand Oaks, CA: Sage Publications.

Beahm, G. (2011). I, Steve: Steve Jobs in his own words. Evanston, IL: Agate B2 Books.

Beckhard, R. (1969). Organization development: Strategies and models. Reading, MA: Addison-Wesley.

Beckhard, R., & Harris, D. (1977). Organization transitions: Managing complex change. Reading, MA: Addison-Wesley.

Bee, H. L., & Bjorklund, B. R. (2004). The journey of adulthood (5th ed.). Upper Saddle River, NJ: Pearson Prentice Hall.

Beechler, S., & Baltzley, D. (2009). Identifying and developing global leaders. In J. Storey, P. M. Wright, & D. Ulrich (Eds.), The Routledge companion to strategic human resource management (pp. 410–432). New York, NY: Routledge.

Bell, B. S., & Kozlowski, S. W. J. (2002). A typology of virtual teams: Implications for effective leadership. Group & Organization Management, 27, 14–49.

Below, P. J., Morrisey, G. L., & Acomb, B. L. (1987). The executive guide to strategic planning. San Francisco, CA: Jossey-Bass.

Bennis, W. (1989). Why leaders can't lead: The unconscious conspiracy continues. San Francisco, CA: Jossey-Bass.

Bennis, W. G. (2009). On becoming a leader (20th anniv. ed.). Cambridge, MA: Perseus.

Blake, R. R., & Mouton, J. S. (1964). The managerial grid. Houston, TX: Gulf Publishing.

Blanchard, K., Zigarmi, P., & Zigarmi, D. (1985). Leadership and the one minute manager: Increasing effectiveness through situational leadership. New York, NY: William Morrow and Company.

Block, P. (1987). The empowered manager: Positive political skills at work. San Francisco, CA: Jossey-Bass.

Bloomberg Businessweek. (2011, October 3–9). Art of �iring, p. 110.

Bossidy, L., & Charan, R. (2002). Execution: The discipline of getting things done. New York, NY: Crown Business.

Brady, D. (2011). Elon Musk on running Tesla Motors and SpaceX. Bloomberg Businessweek. Retrieved from http://www.businessweek.com/magazine/content/11_19/b4227076914379.htm (http://www.businessweek.com/magazine/content/11_19/b4227076914379.htm)

Briner, R. B., & Rousseau, D. M. (2011). Evidence-based I-O psychology: Not there yet. Industrial and Organizational Psychology: Perspectives on Science and Practice, 4, 3–22.

Brountas, P. R. (2004). Boardroom excellence. San Francisco, CA: Jossey-Bass.

Brown, M. E., Treviño, L. K., & Harrison, D. A. (2005), Ethical leadership: A social learning perspective for construct development and testing. Organizational Behavior and Human Decision Processes, 97, 117–134.

Bryant, A. (2011a, June 5). Power? Thanks, But I'd rather have in�luence. New York Times, p. BU2.

Bryant, A. (2011b, March 13). Google's quest to build a better boss. New York Times, pp. 1, 7.

Buffett, W. E. (2010, July 26). Memo. Retrieved from http://www.berkshirehathaway.com/letters/2010ltr.pdf (http://www.berkshirehathaway.com/letters/2010ltr.pdf)

Burke, W. W. (2008). Organization change: Theory and practice (2nd ed.). Thousand Oaks, CA: Sage Publications.

Burke, W. W., & Litwin, G. H. (1992). A causal model of organization performance and change. Journal of Management, 18(3), 532–545.

Burnes, B. (2005). Complexity theories and organizational change. International Journal of Management Reviews, 7, 73–90.

Burns, J. M. (1978). Leadership. New York, NY: Harper and Row.

Bushe, G. R. (1995). Advances in appreciative inquiry as an organization development intervention. Organization Development Journal, 13(3), 14–22.

Caldwell, D. F., & O'Reilly, C. A., III. (1982). Boundary spanning and individual performance: The impact of self-monitoring. Journal of Applied Psychology, 67, 124–127.

Cameron, K. S., & Quinn, R. E. (2006). Diagnosing and changing organization culture. San Francisco, CA: Jossey Bass.

Campbell, D. T., & Stanley, J. C. (1966). Experimental and quasi-experimental designs for research. Chicago, IL: Rand McNally.

Career Guru99. (n.d.). 50 Microsoft interview questions with answers. Retrieved from http://career.guru99.com/top-50-microsoft- interview-questions-with-answers/ (http://career.guru99.com/top-50-microsoft-interview-questions-with-answers/)

Cartwright, D. (1951). Field theory in social science: Selected theoretical papers of Kurt Lewin. New York, NY: Harper & Brothers.

Carver, C. S., & Scheier, M. F. (1998). On the self-regulation of behavior. Cambridge, UK: Cambridge University Press.

Center for Ethical Leadership. (2015). Concepts and philosophies. Retrieved from http://www.ethicalleadership.org/concepts-and- philosophies.html (http://www.ethicalleadership.org/concepts-and-philosophies.html)

Charan, R. (1998). Boards at work: How corporate boards create competitive advantage. San Francisco, CA: Jossey-Bass.

Chen, G., & Klimoski, R. J. (2003). The impact of expectations on newcomer performance in teams as mediated by work characteristics, social exchanges, and empowerment. Academy of Management Journal, 46,591–607.

Chen, G., Sharma, P. N., Edinger, S. K., Shapiro, D. L., & Farh, J. L. (2011). Motivating and demotivating forces in teams: Cross-level in�luences of empowering leadership and relationship con�lict. Journal of Applied Psychology, 96, 541–557.

Chopra, A. J. (1999). Managing the people side of innovation: Eight rules for engaging minds and hearts. West Hartford, CT: Kumarain Press.

Christensen, C. M. (1997). The innovator's dilemma: When new technologies cause great �irms to fail. Boston, MA: Harvard Business School Press.

Cohen-Charash, Y., & Mueller, J. S. (2007). Does perceived unfairness exacerbate or mitigate interpersonal counterproductive work behaviors related to envy? Journal of Applied Psychology, 92, 666–680.

Collins, J. C. (2001). Good to great: Why some companies make the leap . . . and others don't. New York, NY: HarperCollins.

Collins, J., & Hansen, M. T. (2011). Great by choice: Uncertainty, chaos, and luck—Why some thrive despite them all. New York, NY: HarperCollins.

Colquitt, J. A., & Salam, S. C. (2009). Foster trust through ability, benevolence and integrity. In E. A. Locke (Ed.),

Handbook of principles of organization behavior: Indispensable knowledge for evidence-based management (pp. 389–404). New York, NY: Wiley.

Conger, J. A., & Benjamin, B. (1999). Building leaders: How successful companies develop the next generation. San Francisco, CA: Jossey-Bass.

Conger, J. A., & Kanungo, R. (1998). Charismatic leadership in organizations. Thousand Oaks, CA: Sage Publications.

Conner, J., & Smith, C. A. (1998). Developing the next generation of leaders: A new strategy for leadership development at Colgate- Palmolive. In E. M. Mone & M. London (Eds.), HR to the rescue: Case studies of HR solutions to business challenges (pp. 120–148). Houston, TX: Gulf Publishing.

Cook, T. D., & Campbell, D. T. (1979). Quasi-experimentation: Design and analysis issues for �ield settings. Boston, MA: Houghton Mif�lin.

Cooperrider, D. L. (1995). Introduction to appreciative inquiry. In W. French & C. Bell (Eds.), Organization development (5th ed.). Englewood Cliffs, NJ: Prentice Hall.

Cooperrider, D. L., Barrett, F., & Srivastva, S. (1995). Social construction and appreciative inquiry: A journey in organizational theory. In D. Hosking, P. Dachler, & K. Gergen (Eds.), Management and organization: Relational alternatives to individualism (pp. 157–200). Aldershot, UK: Avebury Press.

Corporate Strategy Board, The. (1997, April). Measuring innovation. Washington, DC: The Corporate Executive Board.

Corporate Strategy Board, The. (2002, June). Radical innovation: Idea generation to commercialization. Washington, DC: The Corporate Executive Board.

Covey, S. M. R. (2006). The speed of trust: The one thing that changes everything. New York, NY: Free Press.

Covey, S. R. (1989). The seven habits of highly effective people. New York, NY: Free Press.

Covey, S. R. (1992). Principle-centered leadership. Los Angeles, CA: Fireside.

Covey, S. R. (2004). The 8th habit: From effectiveness to greatness. New York, NY: Free Press.

Cummings, T. G., & Worley, C. G. (2009). Organization development and change (9th ed.). Mason, OH: South-Western.

Daloz, L. (1999). Mentor: Guiding the journey of adult learners (2nd ed.). San Francisco, CA: Jossey-Bass.

Davidson, M. N. (2001). Feedback. Charlottesville, VA: University of Virginia Darden School Foundation.

Dawson, E. M., & Chatman, E. A. (2001). Reference group theory with implications for information studies: A theoretical essay. Information Research, 6(3). Retrieved from http://informationr.net/ir/6-3/paper105.html (http://informationr.net/ir/6-3/paper105.html)

De Dreu, C. K. W., & Gelfand, M. J. (2008). Con�lict in the workplace: Sources, functions, and dynamics across multiple levels of analysis. In C. K. W. De Dreu & M. J. Gelfand (Eds.), The psychology of con�lict and con�lict management in organizations (pp. 3–54). New York, NY:

Lawrence Erlbaum.

DeRue, D. S., Nahrgang, J. D., Wellman, N., & Humphrey, S. E. (2011). Trait and behavioral theories of leadership: An integration and meta- analytic test of their relative validity. Personnel Psychology, 64, 7–53.

Dessler, G. (2011). Human resource management (12th ed.). Upper Saddle River, NJ: Pearson Education.

Deutschman, A. (2001). The second coming of Steve Jobs. New York, NY: Broadway Books.

De Waele, M., Morval, J., & Sheitoyan, R. (1993). Self-management in organizations: The dynamics of interaction. Toronto, Canada: Hogrefe & Huber Publishers.

D'Onfro, J. (2014). 24 strange questions you might hear during a Zappos job interview. Business Insider. Retrieved from http://www.businessinsider.com/zappos-interview-questions-2014-5 (http://www.businessinsider.com/zappos-interview-questions- 2014-5)

Driskell, J. E., & Salas, E. (1992). Collective behaviour and team performance. Human Factors, 34, 277–288.

Dvir, T., Eden, D., Avolio, B. J., & Shamir, B. (2002). Impact of transformational leadership on follower development and performance: A �ield experiment. Academy of Management Journal, 45, 735–744.

Edmondson, A. C. (1999). Psychological safety and learning behavior in work teams. Administrative Science Quarterly, 44, 350–383.

Ericksen, J., & Dyer, L. (2004). Right from the start: Exploring the effects of early team events on subsequent project team development and performance. Administrative Science Quarterly, 49, 438–471.

Etzioni, A. (1964). Modern organizations. Englewood Cliffs, NJ: Prentice Hall.

Fedor, D. B., Rensvold, R. B., & Adams, S. M. (1992). An investigation of factors expected to affect feedback seeking: A longitudinal �ield study. Personnel Psychology, 45, 779–805.

Fernandez-Araz, C., Groysberg, B., & Nohria, N. (2011, October). How to hang on to your high potentials. Harvard Business Review, 76–83.

Fiedler, F. E. (1971). Leadership. Morristown, NJ: General Learning Press.

Fitzsimons, G. M., & Finkel, E. J. (2011). Outsourcing self-regulation. Psychological Science, 22, 369–375.

Flaherty, J. (2010). Coaching: Evoking excellence in others (3rd ed.). New York, NY: Taylor & Francis.

Fox, A. (2011, May). Mixing it up: With four and almost �ive generations in the workplace, tensions can arise through misunderstandings and miscommunication. HR Magazine, 22–27.

French, J. R. P., Jr., & Raven, B. (1959). The bases of social power. In D. Cartwright (Ed.), Studies in social power (pp. 150–167). Ann Arbor, MI: Institute for Social Research, University of Michigan.

Freud, A. (1966). The ego and the mechanisms of defense (rev. ed.). New York, NY: International Universities Press.

Frey, B. S., & Stutzer, A. (2007). Economics and psychology: A promising new cross-disciplinary �ield. Cambridge,MA: The MIT Press.

FundingUniverse. (n.d.). Baldor Electric Company history. Retrieved from http://www.fundinguniverse.com/company- histories/baldor-electric-company-history/ (http://www.fundinguniverse.com/company-histories/baldor-electric-company-history/)

Garten, J. E. (2001, September 9). Jack Welch: A role model for today's CEO? Bloomberg. Retrieved from http://www.bloomberg.com/news/articles/2001-09-09/jack-welch-a-role-model-for-todays-ceo (http://www.bloomberg.com/news/articles/2001-09-09/jack-welch-a-role-model-for-todays-ceo)

Gebauer, J., & Lowman, D. (2008). Closing the engagement gap: How great companies unlock employee potential for superior results. New York, NY: Penguin Group.

Gebelein, S. H., Lee, D. G., Nelson-Neuhaus, K. J., & Sloan, E. B. (1999). Successful executive's handbook. Minneapolis, MN: Personnel Decisions International Corporation.

Gibbons, J. (2006, November). Employee engagement: A review of current research and its implications. New York, NY: The Conference Board.

Goldsmith, M. (2007). What got you here won't get you there. New York, NY: Hyperion.

Goleman, D. (1995). Emotional intelligence: Why it can matter more than IQ. New York, NY: Bantam Books.

Goleman, D., Boyatzis, R., & McKee, A. (2002). The emotional reality of teams. Journal of Organizational Excellence, 21(2), 55–65.

Gostick, A., & Elton, C. (2007). The carrot principle. New York, NY: Free Press.

Graddick, M. M., & Lane, P. (1998). Evaluating executive performance. In J. W. Smither (Ed.), Performance appraisal: The state of the art in practice (pp. 370–403). San Francisco, CA: Jossey-Bass.

Graen, G. B., & Cashman, J. F. (1975). A role making model of leadership in formal organizations: A developmental approach. In J. G. Hunt & L. L. Larson (Eds.), Leadership frontiers (pp. 143–165). Kent, OH: Kent State University Press.

Graen, G. B., & Uhl-Bien, M. (1995). Relationship-based approach to leadership: Development of leader-member exchange (LMX) theory of leadership over 25 years: Applying a multi-level multi-domain perspective. The Leadership Quarterly, 6, 219–247.

Greenleaf Center for Servant Leadership. (2015). What is servant leadership? Retrieved from https://greenleaf.org/what-is-servant- leadership/ (https://greenleaf.org/what-is-servant-leadership/)

Greiner, L. E., & Schein, V. E. (1988). Power and organization development: Mobilizing power to implement change. Reading, MA: Addison- Wesley.

Gundel, S. (2005). Toward a new typology of crises. Journal of Contingencies and Crisis Management, 13(3),106–115.

Gupta, Y. (2010, December 3). For business schools, economic crisis points way to change. The Chronicle of Higher Education, p. A29.

Gutwin, C., & Greenberg, S. (2004). The importance of awareness for team cognition in distributed collaboration. In E. Salas, S. M. Fiore, & J. A. Cannon-Bowers (Eds.), Team cognition: Process and performance at the inter- and intra-individual level (pp. 177–201). Washington, DC: APA Press.

Hackman, R. J., & Oldham, G. C. (1980). Work redesign. Reading, MA: Addison-Wesley.

Hamel, G. (2011, December). First, let's �ire all the managers. Harvard Business Review. Retrieved from http://hbr.org/2011/12/�irst- lets-�ire-all-the-managers/ar/1 (http://hbr.org/2011/12/�irst-lets-�ire-all-the-managers/ar/1)

Harris, M. (1999). Practice network: Look, it's an I-O psychologist . . . No, it's a trainer . . . No, it's an executive coach! The Industrial- Organizational Psychologist, 36(3), 38–42.

Hartnett, T. (2011). Consensus decision making. Gabriola Island, Canada: New Society Publishers.

Hatch, D. D. (2009). Leadership development and talent management. In J. Storey, P. M. Wright, & D. Ulrich (Eds.), The Routledge companion to strategic human resource management (pp. 321–344). New York, NY: Routledge.

Heifetz, R. (1994). Leadership without easy answers. Boston, MA: Belknap Press.

Hempel, J. (2006, August 6). Big blue brainstorm. Businessweek. Retrieved from http://www.bloomberg.com/news/articles/2006-08- 06/big-blue-brainstorm (http://www.bloomberg.com/news/articles/2006-08-06/big-blue-brainstorm)

Henry Schein Inc. (n.d.a). Back to school. Retrieved from https://www.henryschein.com/us-en/Corporate/BackToSchool.aspx (https://www.henryschein.com/us-en/Corporate/BackToSchool.aspx)

Henry Schein Inc. (n.d.b). Holiday cheer. Retrieved from https://www.henryschein.com/us-en/Corporate/HolidayCheer.aspx (https://www.henryschein.com/us-en/Corporate/HolidayCheer.aspx)

Henry Schein Inc. (n.d.c). Values of Team Schein. Retrieved from https://www.henryschein.com/us-en/Corporate/Career/Values.aspx? hsi_domain=www.henryschein.com&hsi_locale=us-en (https://www.henryschein.com/us-en/Corporate/Career/Values.aspx? hsi_domain=www.henryschein.com&hsi_locale=us-en)

Herper, M. (2014). Dear Sano�i: Firing CEO Chris Viehbacher is a huge mistake. Forbes. Retrieved from http://www.forbes.com/sites/matthewherper/2014/10/29/dear-sano�i-�iring-ceo-chris-viehbacher-is-a-huge- mistake/#1967037e24d3 (http://www.forbes.com/sites/matthewherper/2014/10/29/dear-sano�i-�iring-ceo-chris-viehbacher-is-a-huge- mistake/#1967037e24d3)

Hersey, P., & Blanchard, K. H. (1977). The management of organizational behavior (3rd ed.). Englewood Cliffs, NJ: Prentice Hall.

Hertel, G. (2011). Synergetic effects in working teams. Journal of Managerial Psychology, 26, 176–184.

Higgs, M., & Rowland, D. (2011). What does it take to implement change successfully? A study of the behaviours of successful change leaders. Journal of Applied Behavioural Science, 47, 309–335.

Hillman, L. W., Schwandt, D. R., & Bartz, D. E. (1990). Enhancing staff members' performance through feedback and coaching. The Journal of Management Development, 9(3), 20–27.

Hirsch�ield, R. R., Jordan, M. H., Field, H. S., & Armenakis, A. A. (2005). Teams' female representation and perceived potency as inputs to team outcomes in a predominantly male �ield setting. Personnel Psychology, 58, 893–824.

Hofstede, G., Hofstede, G. J., & Minkov, M. (2010). Cultures and organizations: Software of the mind. New York, NY: McGraw-Hill.

Hogan, R., & Kaiser, R. B. (2005). What we know about leadership. Review of General Psychology, 9, 169–180. http://dx.doi.org/10.1037/1089-2680.9.2.169 (http://dx.doi.org/10.1037/1089-2680.9.2.169)

Hogan, R., & Kaiser, R. B. (2010). Personality. In J. C. Scott & D. H. Reynolds (Eds.), Handbook of workplace assessment: Evidence-based practices for selecting and developing organizational talent (pp. 81–108). SanFrancisco, CA: Jossey-Bass.

Hollenbeck, J. R., Beersma, B., & Schouten, M. E. (2012). Beyond team types and taxonomies: A dimensional scaling conceptualization for team description. Academy of Management Review, 37, 82–106.

House, R. J., Hanges, P. J., Javidan, M., Dorfman, P. W., & Gupta, V. (Eds.). (2004). Culture, leadership, & organizations: The GLOBE study of 62 societies. Thousand Oaks, CA: Sage Publications.

House, R. J., & Mitchell, T. R. (1986). Path-goal theory of leadership. In J. M. Pennings (Ed.), Decision making: An organizational behavior approach. Princeton, NJ: Markus Wiener Publishing.

Hüffmeier, J., & Hertel, G. (2011). Many cheers make light the work: How social support triggers process gains in teams. Journal of Managerial Psychology, 26, 185–204.

Hulsheger, U. R., Anderson, N., & Salgado, J. F. (2009). Team-level predictors of innovation at work: A comprehensive meta-analysis spanning three decades of research. Journal of Applied Psychology, 94(5),1128–1145.

Hunt, J. G. (1991). Leadership: A new synthesis. Newbury Park, CA: Sage Publications.

Hutchins, E. (1996). Cognition in the wild. Boston, MA: MIT Press.

Jacques, E., & Clement, S. D. (1994). Executive leadership: A practical guide to managing complexity. Arlington, VA: Cason Hall and Company.

James, E. H., & Wooten, L. P. (2010). Leading under pressure: From surviving to thriving before, during and after a crisis. New York, NY: Routledge.

Janis, I. L. (1972). Victims of groupthink. New York, NY: Houghton Mif�lin.

Janis, I. L. (1982). Groupthink: Psychological studies of policy decisions and �iascoes (2nd ed.). New York, NY: Houghton Mif�lin.

Jeffries, R. (1996). 101 recognition secrets: Tools for motivating and recognizing today's workforce. Chevy Chase, MD: Performance Enhancement Group.

Jones, G. R., & George, J. M. (1998). The experience and evolution of trust: Implications for cooperation and teamwork. Academy of Management Review, 23(3), 531–546.

Jordan, J., Brown, M. E., Treviño, L. K., & Finkelstein, S. (2011, March 15). Someone to look up to: Executive-follower ethical reasoning and perceptions of ethical leadership. Journal of Management. doi:10.1177/0149206311398136

Judge, T. A., Bono, J. E., Illies, R., & Gerhart, M. W. (2002). Personality and leadership: A quantitative and qualitative review. Journal of Applied Psychology, 87, 530–541.

Judge, T. A., & Piccolo, R. F. (2004). Transformational and transactional leadership: A meta-analytic test of their relative validity. Journal of Applied Psychology, 89, 755–768.

Kanter, R. M. (1977). Men and women of the corporation. New York, NY: Basic Books.

Kanter, R. M. (1994, July–August). Collaborative advantage: Successful partnerships manage the relationship, not just the deal. Harvard Business Review, 96–108.

Kanter, R. M., & Dretler, T. D. (1998). Global strategy and its impact on local operations: Lessons from Gillette Singapore. Academy of Management Executive, 12, 60–68.

Katz, D., & Kahn, R. L. (1978). The social psychology of organizations (2nd ed.). New York, NY: John Wiley and Sons.

Katzenbach, J. R., & Smith, D. K. (1993). The wisdom of teams: Creating the high-performance organization. Boston, MA: Harvard Business School.

Kelley, T. (2001). The art of innovation. New York, NY: Doubleday.

Kennedy, F. A., Loughry, M. L., Klammer, T. P., & Beyerlein, M. M. (2009). Effects of organizational support on potency in work teams: The mediating role of team processes. Small Group Research, 40, 72–93.

Kenvin, S. (2014, December 30). The celebrity mentors behind Mark Zuckerberg. Modern Workforce [Web log]. Retrieved from https://www.geteverwise.com/mentoring/the-celebrity-mentors-behind-markzuckerberg/ (https://www.geteverwise.com/mentoring/the-celebrity-mentors-behind-markzuckerberg/)

Kepler, D., & Morgan, F. T. (2005). The leader as coach. In H. Morgan, P. Harkins, & M. Goldsmith (Eds.), The art and practice of leadership coaching: Fifty top executive coaches reveal their secrets (pp. 233–242).Hoboken, NJ: John Wiley & Sons.

Ket de Vries, M. F. R. (1993). Leaders, fools and impostors: Essays on the psychology of leadership. San Francisco, CA: Jossey-Bass.

Kim, W. C., & Mauborgne, R. (2005). Blue ocean strategy: How to create uncontested market space and make competition irrelevant. Boston, MA: Harvard Business School Press.

Klein, H. J., Wesson, M. J., Hollenbeck, J. R., & Alge, B. J. (2001). The assessment of goal commitment: A measurement model meta-analysis. Organizational Behavior and Human Decision Processes, 85, 32–55.

Kluger, A. N., & DeNisi, A. (1996). The effects of feedback interventions on performance: A historical review, a meta-analysis, and a preliminary feedback intervention. Psychological Bulletin, 119, 254–284.

Kohlberg, L. (1969). Stage and sequence: The cognitive-developmental approach to socialization. In D. A. Goslin (Ed.), Handbook of socialization and research (pp. 347–480). Chicago, IL: Rand McNally.

Kohlberg, L. (1981). The philosophy of moral development. New York, NY: Harper & Row.

Kolb, D. A. (1984). Experiential learning. Englewood Cliffs, NJ: Prentice Hall.

Kolb, D. A. (1985). Learning style inventory. Boston, MA: McBer and Company.

Kotter, J. (1978). Organizational dynamics: Diagnosis and intervention. Reading, MA: Addison-Wesley.

Kotter, J. (1996). Leading change. Boston, MA: Harvard Business School Press.

Kotter, J. P. (2008). A sense of urgency. Boston, MA: HBS Press.

Kotter, J. P., & Cohen, D. S. (2002). The heart of change. Boston: HBS Press.

Kotter, J. P., & Whitehead, L. A. (2010). Buy-in. Boston: HBS Press.

Kouzes, J. M., & Posner, B. Z. (1987). The leadership challenge. San Francisco, CA: Jossey-Bass.

Kouzes, J., & Posner, B. (2011). Credibility: How leaders gain and lose it, why people demand it. New York, NY: Wiley.

Kouzes, J. M., & Posner, B. Z. (2016). Learning leadership: The �ive fundamentals of becoming an exemplary leader. New York, NY: Wiley.

Kozlowski, S. W. J., & Bell, B. S. (2007). A theory-based approach for designing distributed learning systems. In S. M. Fiore & E. Salas (Eds.), Toward a science of distributed learning (pp. 15–39). Washington, DC: APA.

Kozlowski, S. W. J., Gully, S. M., Nason, E. R., & Smith, E. M. (1999). Developing adaptive teams: A theory of leadership and team effectiveness: Developmental and task content leader roles. In G. R. Ferris (Ed.), Research in personnel and human resources management (Vol. 14, pp. 253–305). Greenwich, CT: JAI Press.

Kozlowski, S. W. J., & Ilgen, D. R. (2006). Enhancing the effectiveness of work groups and teams. Psychological Science in the Public Interest, 7, 77–124.

Kozlowski, S. W. J., Watola, D. J., Jensen, J. M., Kim, B. H., & Botero, I. C. (2009). Developing adaptive teams: A theory of dynamic team leadership. In E. Salas, G. F. Goodwin, & C. S. Burke (Eds.), Team effectiveness in complex organizations: Cross-disciplinary perspectives and approaches (pp. 113–156). New York, NY: Routledge Academic.

Kram, K. (1988). Mentoring at work. Millburn, NJ: University Press of America.

Kübler-Ross, H. (1969). On death and dying. New York, NY: Macmillan.

Labovitz, G. L., & Rosansky, V. (1997). The power of alignment: How great companies stay centered and accomplish extraordinary things. New York, NY: John Wiley & Sons.

La�ley, A. G. (2011, October). The art and science of �inding the right CEO. Harvard Business Review, 66–74.

Lam, C. K., Van der Vegt, G. S., Walter, F., & Huang, X. (2011). Harming high performers: A social comparison perspective on interpersonal harming in work teams. Journal of Applied Psychology, 96, 588–601.

Latham, G. (2009a). Becoming the evidence-based manager: Making the science of management work for you. Boston, MA: Davies Black.

Latham, G. (2009b). Motivate employee performance through goal setting. In E. A. Locke (Ed.), Handbook of principles of organizational behavior: Indispensable knowledge for evidence-based management (2nd ed.) (pp. 161–178). West Sussex, UK: John Wiley.

Lencioni, P. (2002). The �ive dysfunctions of a team. San Francisco, CA: Jossey-Bass.

Levinson, D. (1978). The seasons of a man's life. New York, NY: Knopf.

Levinson, D. (1996). The seasons of a woman's life. New York, NY: Ballantine.

Lewin, K. (1958). Group decision and social change. In E. E. Maccoby, T. M. Newcomb, & E. L. Hartley (Eds.), Readings in social psychology (pp. 107–211). New York, NY: Holt, Rinehart & Winston.

Locke, E. A. (1991). The essence of leadership: The four keys to leading successfully. New York, NY: Lexington Books.

Locke, E. A., & Latham, G. P. (1990). Building a practically useful theory of goal setting and task performance: A 35-year odyssey. American Psychologist, 57(9), 705–717.

Locke, E. A., & Latham, G. P. (2002). A theory of goal setting and task performance. Englewood Cliffs, NJ: Prentice Hall.

Lombardo, M. M., & Eichinger, R. W. (1989). Preventing derailment: What to do before it's too late. Greensboro, NC: Center for Creative Leadership.

London, M. (1983). Toward a theory of career motivation. Academy of Management Review, 8, 620–630.

London, M. (1997). Job feedback: Giving, seeking, and using feedback for performance improvement. Mahwah, NJ: Erlbaum.

London, M. (1998). Career barriers: How people experience, overcome, and avoid failure. Mahwah, NJ: Erlbaum.

London, M. (1999). Principled leadership and business diplomacy: Values-based strategies for management development. Westport, CT: Quorum.

London, M. (2001). The great debate: Should multisource feedback be used for administration or development only? In D. W. Bracken, C. W. Timmreck, & A. H. Church (Eds.), The handbook of multisource feedback: The comprehensive resource for designing and implementing MSF processes (pp. 369–385). San Francisco, CA: Jossey-Bass.

London, M. (2002). Leadership development: Paths to self-insight and professional growth. Mahwah, NJ: Lawrence Erlbaum Associates.

London, M. (2003). Job feedback: Giving, seeking, and using feedback for performance improvement (2nd ed.).Mahwah, NJ: Lawrence Erlbaum Associates.

London, M. (2007). Performance appraisal for groups: Models and methods for assessing group processes and outcomes for development and evaluation. Consulting Psychology Journal: Practice and Research, 59,175–188.

London, M. (2014). Team processes for adaptive and innovative outcomes. Team Performance Management, 20(1/2), 19–38.

London, M., & London, M. (2007). First-time leaders of small groups: How to create high-performing committees, task forces, clubs and boards. San Francisco, CA: Jossey-Bass.

London, M., & Mone, E. M. (1999). Continuous learning. In D. R. Ilgen & E. D. Pulakos (Eds.), The changing nature of performance: Implications for staf�ing, motivation and development (pp. 119–153). San Francisco, CA: Jossey-Bass.

London, M., & Mone, E. M. (2009). Strategic performance management: Issues and trends. In J. Storey, P. M. Wright, & D. Ulrich (Eds.), The Routledge companion to strategic human resource management (pp. 245– 261). New York, NY: Routledge.

London, M., Mone, E. M., & Scott, J. C. (2004). Performance management and assessment: Methods for improved rater accuracy and employee goal setting. Human Resource Management, 43, 319–336.

London, M., & Sessa, V. I. (2007a). How groups learn, continuously. Human Resource Management, 46(4),651–669.

London, M., & Sessa, V. I. (2007b). The development of group interaction patterns: How groups become adaptive, generative, and transformational learners. Human Resource Development Review, 6, 353–376.

London, M., Sobel-Lojeski, K., & Reilly, R. (2011). Balanced leadership in generative groups: Metacognitive skills, contextual demands, and emergence of social cognition (Unpublished technical report). Stony Brook University, Stony Brook, NY.

Luthans, F., & Stajkovic, A. D. (2009). Provide recognition for performance improvement. In E. A. Locke (Ed.), Handbook of principles of organization behavior: Indispensable knowledge for evidence-based management (pp. 239–254). West Sussex, UK: John Wiley and Sons, Inc.

Lyons, R. (2011). Paths to innovative leadership. BizEd, 10(1), 32–38.

Macey, W. H., & Schneider, B. (2008). The meaning of employee engagement. Industrial and Organizational Psychology: Perspectives on Science and Practice, 1, 3–30.

Macey, W. H., Schneider, B., Barbera, K. M., & Young, S. (2009). Employee engagement: Tools for analysis, practice and competitive advantage. West Sussex, UK: Wiley-Blackwell.

Manz, C. C., & Neck, C. P. (1995). Teamthink: Beyond the groupthink syndrome in self-managing work teams. Journal of Managerial Psychology, 10, 7–15.

Manz, C. C., & Neck, C. P. (2004). Mastering self-leadership: Empowering yourself for personal excellence (3rd ed.). Upper Saddle River, NJ: Pearson Prentice Hall.

Manz, C. C., & Sims, H. P., Jr. (1989). Superleadership: Leading others to lead themselves. New York, NY: Prentice Hall.

Manz, C. C., & Sims, H. P., Jr. (2001). The new superleadership: Leading others to lead themselves. San Francisco, CA: Berrett-Koehler Publishers.

Marcum, D., & Smith, S. (2007). Egonomics: What makes ego our greatest asset (or most expensive liability). New York, NY: Simon & Schuster.

Mayer, D. M., Kuenzi, M., Greenbaum, R., Bardes, M., & Salvador, R. (2009). How low does ethical leadership �low? Test of a trickle-down model. Organizational Behavior and Human Decision Processes, 108, 1–13.

Mayer, R. C., Davis, J. H., & Schoorman, F. D. (1995). An integrative model of organizational trust. Academy of Management Review, 20, 709– 734.

McCall, M. (2010). Recasting leadership development. Industrial and Organizational Psychology: Perspectives on Science and Practice, 3(1), 3–19.

McKnight, D. H., & Chervany, N. L. (2006). An experimental study of trust in collective entities. In R. Bachmann & A. Zaheer (Eds.), Handbook of trust research (pp. 29–51). Northampton, MA: Edward Elgar.

McLean, B., & Elkind, P. (2003). The smartest guys in the room. New York, NY: Fortune.

Mercer, J. (1944). Ac-cent-tchu-ate the positive. New York, NY: Edwin H. Morris.

Merton, R. K., & Kitt, A. S. (1950). Contributions to the theory of reference group behavior. In R. K. Merton & P. F. Lazarsfeld (Eds.), Continuities in social research: Studies in the scope and method of the American soldier(pp. 40–105). Glencoe, IL: Free Press.

Mezirow, J. (1991). Transformative dimensions of adult learning. San Francisco, CA: Jossey-Bass.

Mezirow, J., & Associates. (2000). Learning as transformation: Critical perspectives on a theory in progress. San Francisco, CA: Jossey-Bass.

Minahan, M. (2006). Working with groups in organizations. In B. B. Jones & M. Brazzel (Eds.), Handbook of organization development and change: principles, practices and perspectives (pp. 264–286). San Francisco, CA: Pfeiffer.

Miner, J. B. (2002). Organizational behavior: Foundations, theories and analyses. Oxford, UK: Oxford University Press.

MissionStatements.com. (n.d.). Fortune 500 mission statements. Retrieved from https://www.missionstatements.com/fortune_500_mission_statements.html (https://www.missionstatements.com/fortune_500_mission_statements.html)

Mitchell, T. R., Holtom, B. C., Lee, T. W., Sablynski, C. J., & Erez, M. (2001). Why people stay: Using job embeddedness to predict voluntary turnover. Academy of Management Journal, 44, 1102–1121.

Mone, E. M. (1988). Training managers to be developers. In M. London & E. M. Mone (Eds.), Career growth and human resource strategies: The role of the human resource professional in employee development (pp. 207–221). New York, NY: Quorum Books.

Mone, E. M. (2009). CEO performance management. In J. W. Smither & M. London (Eds.), Performance management: Putting research into action (pp. 233–270). San Francisco, CA: Jossey-Bass.

Mone, E. M. (2011). Performance management: A framework for continuous learning in organizations. In M. London (Ed.), The Oxford handbook of lifelong learning (pp. 361–369). New York, NY: Oxford University Press.

Mone, E. M., Acritani, K. A., & Eisinger, C. (2009). Take it to the roundtable. Industrial and Organizational Psychology: Perspectives on Science and Practice, 2, 425–429.

Mone, E. M., & London, M. (2002). Fundamentals of performance management. London, UK: Spiro Press.

Mone, E. M., & London, M. (2005). Direction-enabling model of organizations (Unpublished technical report). Stony Brook University, Stony Brook, NY.

Mone, E. M., & London, M. (2010). Employee engagement through effective performance management: A practical guide for managers. New York, NY: Routledge.

Mone, E. M., Price, B., & Eisinger, C. (2011). Performance management: Process perfection or process utility? Industrial and Organizational Psychology: Perspectives on Science and Practice, 4, 184–187.

Moses, J. L. (1977). The assessment center method. In J. L. Moses & W. C. Byham (Eds.), Applying the assessment center method (pp. 3–12). New York, NY: Pergamon Press.

Mullin, R. (2011, February 18). Sano�i, Genzyme come to terms. Chemical and Engineering News, 89(8), 9.

Mumford, R. V., Van Iddekinge, C. H., Morgeson, F. P., & Campion, M. A. (2008). The team role test: Development and validation of a team role knowledge situational judgment test. Journal of Applied Psychology, 93,254–255.

Mumford, T. V., Campion, M. A., & Morgeson, F. P. (2006). Situational judgment in work teams: A team role typology. In J. A. Weekley & R. E. Ployhart (Eds.), Situational judgment tests: Theory, measurement, and application (pp. 319–343). Mahwah, NJ: Erlbaum.

Murphy, K. R. (2010). Individual differences that in�luence performance effectiveness: What should we assess? In J. C. Scott & D. H. Reynolds (Eds.), Handbook of workplace assessment: Evidence-based practices for selecting and developing organizational talent (pp. 3–26). San Francisco, CA: Jossey-Bass.

Nadler, D. A., Behan, B. A., & Nadler, M. B. (2006). Building better boards: A blueprint for effective governance. San Francisco, CA: Jossey-Bass.

Nadler, D. A., & Tushman, M. L. (1977). A diagnostic model for organization behavior. In J. R. Hackman, E. E. Lawler III, & L. W. Porter (Eds.), Perspectives in behavior in organizations (pp. 85–100). New York, NY: McGraw-Hill.

Newman, R. (2005). APA's resilience initiative. Professional Psychology: Research and Practice, 36(3), 227–229.

Osborn, A. F. (1963). Applied imagination: Principles and procedures of creative problem solving (3rd rev. ed.). New York, NY: Charles Scribner's Sons.

O'Toole, J., & Bennis, W. (2009, June). What's needed next: A culture of candor. The Harvard Business Review,54–61.

Patterson, K., Grenny, J., McMillan, R., & Switzler, A. (2011). Crucial conversations: Tools for talking when stakes are high (2nd ed.). New York, NY: McGraw-Hill.

Polzer, J., Milton, L., & Swann, W. (2002). Capitalizing on diversity: Interpersonal congruence in small work groups. Administrative Science Quarterly, 47, 296–324.

Pondy, L. R. (1967). Organizational con�lict: Concepts and models. Administrative Science Quarterly, 12, 296–320.

Poon, J. M. L. (2006). Trust-in-supervisor and helping coworkers: Moderating effect of perceived politics. Journal of Managerial Psychology, 21(6), 518–532.

Protalinski, E. (2011, November 9). Mark Zuckerberg: Steve Jobs gave Facebook advice on focus. ZDNet. Retrieved from http://www.zdnet.com/article/mark-zuckerberg-steve-jobs-gave-facebook-advice-on-focus/

(http://www.zdnet.com/article/mark-zuckerberg-steve-jobs-gave-facebook-advice-on-focus/)

Protalinski, E. (2012, May 6). Warren Buffett advised Mark Zuckerberg, won't buy Face-book shares. ZDNet. Retrieved from http://www.zdnet.com/article/warren-buffett-advised-mark-zuckerberg-wont-buy-facebook-shares/ (http://www.zdnet.com/article/warren-buffett-advised-mark-zuckerberg-wont-buy-facebook-shares/)

Pulakos, E. (2009). Performance management: A new approach for driving business results. West Sussex, UK: John Wiley and Sons, Inc.

Quinn, R. E. (1988). Beyond rational management: Mastering the paradoxes and competing demands of high performance. San Francisco, CA: Jossey-Bass.

Quinn, R. E. (2004). Building the bridge as you walk on it: A guide for leading change. San Francisco, CA: Jossey-Bass.

Quinn, R., & Spreitzer, G. (1999). The road to empowerment: Seven questions every leader should consider. Los Angeles, CA: Center for Effective Organizations—Marshall School of Business.

Quinn, R. W., & Quinn, R. E. (2009). Lift: Becoming a positive force in any situation. San Francisco, CA: Berrett-Koehler.

Randall, K. R., Resick, C. J., & DeChurch, L. A. (2011). Building team adaptive capacity: The roles of sense giving and team composition. Journal of Applied Psychology, 96, 525–540.

Rashid, F., & Edmondson, A. C. (2011, February 16). Risky trust: How multi-entity teams develop trust in a high-risk endeavor (Harvard Business School Technology & Operations Mgt. Unit Working Paper No. 11-089). Retrieved from http://ssrn.com/abstract=1768082 (http://ssrn.com/abstract=1768082)

Reilly, R. R., & McGourty, J. (1998). Performance appraisal in team settings. In J. W. Smither (Ed.), Performance appraisal: State of the art in practice (pp. 244–277). San Francisco, CA: Jossey-Bass.

Rest, J. R. (1979). Development in judging moral issues. Minneapolis, MN: University of Minnesota Press.

Rest, J. R. (1986). Moral development: Advances in research and theory. New York, NY: Praeger.

Rosenberg, M. (1965). Society and the adolescent self-image. Princeton, NJ: Princeton University Press.

Ross, R. (1994). The ladder of inference. In P. Senge, A. Kleiner, C. Roberts, R. Ross, & B. Smith (Eds.), The �ifth discipline �ieldbook: Strategies and tools for building a learning organization (pp. 242–246). New York, NY: Random House.

Ross, R., & Roberts, R. (1994). Balancing inquiry and advocacy. In P. Senge, A. Kleiner, C. Roberts, R. Ross, &

B. Smith (Eds.), The �ifth discipline �ieldbook: Strategies and tool for building a learning organization(pp. 253–259). New York, NY: Random House.

Rusli, E. M., Perlroth, N., & Bilton, N. (2012, May 12). The education of Mark Zuckerberg. New York Times. Retrieved from http://www.nytimes.com/2012/05/13/technology/facebooks-mark-zuckerberg-at-aturning-point.html? pagewanted=all&_r=0 (http://www.nytimes.com/2012/05/13/technology/facebooks-mark-zuckerberg-at-aturning-point.html? pagewanted=all&_r=0)

Salas, E., Sims, D., & Burke, C. S. (2005). Is there a 'Big 5' in teamwork? Small Group Research, 36(5), 555–599.

Saloner, G. (2011). Innovation: A leadership essential. BizEd, 10(1), 26–30.

Salovey, P., & Mayer, J. (1990). Emotional intelligence. Imagination, Cognition and Personality, 9(3), 185–211.

Sauer, S. J. (2011). Taking the reins: The effects of new leader status and leadership style on team performance. Journal of Applied Psychology, 96, 574–587.

Schein, E. (1987). Organizational culture and leadership. San Francisco, CA: Jossey-Bass.

Schein, E. (1992). Organizational culture and leadership (2nd ed.). San Francisco, CA: Jossey-Bass.

Schein, E. (2010). Organizational culture and leadership (4th ed.). San Francisco, CA: Jossey-Bass.

Schmidt, F. L. (2009). Select on intelligence. In E. A. Locke (Ed.), Handbook of principles of organization behavior: Indispensable knowledge for evidence-based management (pp. 3–18). New York, NY: Wiley.

Schmidt, F. L., & Hunter, J. E. (1998). The validity and utility of selection methods in personnel psychology: Practical and theoretical implications of 85 years of research �indings. Psychological Bulletin, 124, 262–274.

Schon, D. A. (1990). Educating the re�lective practitioner: Toward a new design for teaching and learning in the professions. San Francisco, CA: Jossey-Bass.

Sessa, V. I., Pingor, C., & Bragger, J. (2009). Using performance management as a learning tool. In J. W. Smither &

M. London (Eds.), Performance management: Putting research into action (pp. 329–358). San Francisco, CA: Jossey-Bass.

Sherman, S. P., & Hutton, C. (1989, March 27). Inside the mind of Jack Welch. Fortune. Retrieved from http://archive.fortune.com/magazines/fortune/fortune_archive/1989/03/27/71783/index.htm (http://archive.fortune.com/magazines/fortune/fortune_archive/1989/03/27/71783/index.htm)

Simon, W. L., & Young, J. S. (2005). iCon Steve Jobs: The greatest second act in the history of business. New York, NY: Wiley.

Sims, Jr., H. P., & Lorenzi, P. (1992). The new leadership paradigm: Social learning and cognition in organizations. Newbury Park, CA: Sage Publications.

Smith, A. C. T., & Graetz, F. M. (2011). Philosophies of organizational change. Cheltenham, UK: Edward Elgar Publishing.

Sobel-Lojeski, K. S. (2009). Leading the virtual workforce: How great leaders transform organizations in the 21st century. New York, NY: Wiley.

Sobel-Lojeski, K. S., & Reilly, R. P. (2008). Uniting the virtual workforce: Transforming leadership and innovation in the globally integrated enterprise. New York, NY: Wiley.

Sosik, J. J., & Jung, D. I. (2010). Full range leadership: Pathways for people, pro�it and planet. New York, NY: Routledge.

Spencer, J. L., Rivero, C., & Nadler, D. A. (2002). Leveraging executive teams: What's new (and what's not) in the strategic enterprise. In R. Silzer (Ed.), The 21st century executive: Innovative practices for building leadership at the top. San Francisco, CA: Jossey-Bass.

Squires, P. (2009). The role of on-the-job and informal development in performance management. In J. W. Smither & M. London (Eds.), Performance management: Putting research into action (pp. 157–196). SanFrancisco, CA: Jossey-Bass.

Steelman, L. A., Levy, P. E., & Snell, A. F. (2004). The feedback environment scale: Construct de�inition, measurement, and validation. Educational and Psychological Measurement, 64, 165–184.

Stevens, C. K. (2009). Structure interviews to recruit and hire the best people. In E. A. Locke (Ed.), Handbook of principles of organization behavior: Indispensable knowledge for evidence-based management (pp. 41–56). New York, NY: Wiley.

Stogdill, R. M. (1963). Manual for the leader behavior description questionnaire—Form XII. Columbus, OH: Bureau of Business Research, The Ohio State University.

Storey, J., Ulrich, D., Welbourne, T. M., & Wright, P. M. (2009). Employee engagement. In J. Storey, P. M. Wright, & D. Ulrich (Eds.), The Routledge companion to strategic human resource management (pp. 299–315). NewYork, NY: Routledge.

Sullivan, G. R., & Harper, M. V. (1996). Hope is not a method: What business leaders can learn from America's army. New York, NY: Times Business.

Taleb, N. N. (2010). The black swan: The impact of the highly improbable (2nd ed.). New York, NY: Random House.

Taylor, S. N., & Bright, D. W. (2011). Open-mindedness and defensiveness in multisource feedback processes: A conceptual framework. Journal of Applied Behavioral Science, 47, 432–460.

Thompson, V. A. (1965). Bureaucracy and innovation. Administrative Science Quarterly, 10, 1–20.

Towers Perrin-ISR. (2007). Global workforce study: Insights to drive growth. New York, NY: Towers-Perrin

Institute for Survey Research. Retrieved from http://www.peoplepartners.com/white_papers/The_Towers_Perrin.pdf (http://www.peoplepartners.com/white_papers/The_Towers_Perrin.pdf)

Tregoe, B. B., & Zimmerman, J. W. (1980). Top management strategy: What it is and how to make it work. New York, NY: Simon and Schuster.

Tuckman, B. (1965). Developmental sequence in small groups. Psychological Bulletin, 63, 384–399.

Ulrich, D., Kerr, S., & Ashkenas, R. (2002). The GE work out. Retrieved from http://www.gubing.com/wbl/books/GE%20Workout.pdf (http://www.gubing.com/wbl/books/GE%20Workout.pdf)

VandeWalle, D. (1997). Development and validation of a work domain goal orientation instrument. Educational and Psychological Measurement, 57(6), 995–1015. doi:10.1177/0013164497057006009

Varchaver, N. (2006, November 16). CA: America's most dysfunctional company. Fortune. Retrieved from http://archive.fortune.com/magazines/fortune/fortune_archive/2006/11/27/8394334/index.htm (http://archive.fortune.com/magazines/fortune/fortune_archive/2006/11/27/8394334/index.htm)

Vroom, V. (1964). Work and motivation. New York, NY: Wiley.

Wageman, R., Hackman, J. R., & Lehman, E. (2005). Team diagnostic survey: Development of an instrument. The Journal of Applied Behavioral Science, 41, 373–398.

Walumbwa, F. O., & Schaubroeck, J. (2009). Leader personality traits and employee voice behavior: Mediating roles of ethical leadership and work group psychological safety. Journal of Applied Psychology, 94, 1275–1286.

Weber, M. (1947). The theory of social and economic organizations. (T. Parsons, Trans.). New York, NY: Free Press.

Weick, K. E. (2001). Making sense of the organization. Malden, MA: Blackwell Publishing.

Weir, T. (2010). Developing leadership in global organizations. In K. Lundby (Ed.), Going global: Practical application and recommendations for HR and OD professionals in the global workplace (pp. 203–230). SanFrancisco, CA: Jossey-Bass.

Weiss, R. P. (2002, March). Crisis leadership. Training & Development Magazine, 29–33.

Welch, J., & Byrne, J. A. (2003). Jack: Straight from the gut. New York, NY: Warner Books Inc.

Welch, J., & Welch, S. (2005). Winning. New York, NY: Collins.

Wiggins, J. S. (1996). The �ive-factor model of personality. New York, NY: Guilford Press.

Wilson, M. S., & Rice, S. S. (2004, May–June). Wired to inspire: Leading organizations through adversity. Leadership in Action, 24(2), 3–7. Retrieved from http://www.ccl.org/leadership/pdf/capabilities/EDBStudy.pdf (http://www.ccl.org/leadership/pdf/capabilities/EDBStudy.pdf)

Wohlers, A. J., & London, M. (1989). Ratings of managerial characteristics: Evaluation dif�iculty, coworker agreement, and self-awareness. Personnel Psychology, 42, 235–249.

Wrosch, C., Scheier, M. F., Miller, G. E., Schulz, R., & Carver, C. S. (2003). Adaptive self-regulation of unattainable goals: Goal disengagement, goal reengagement, and subjective well-being. Personality & Social Psychology Bulletin, 29, 1404–1508.

Yu, C. (2015). Threats to validity of research design. Retrieved from http://www.creative-wisdom.com/teaching/WBI/threat.shtml (http://www.creative-wisdom.com/teaching/WBI/threat.shtml)

Yukl, G. (1971). Toward a behavioral theory of leadership. Organizational Behavior and Human Performance, 6,414–440.

Yukl, G. (2006). Leadership in organizations (6th ed.). Upper Saddle River, NJ: Pearson Prentice Hall.

Yukl, G. (2010). Leadership in organizations (7th ed.). Upper Saddle River, NJ: Prentice Hall.

Yukl, G., & Lepsinger, R. (2004). Flexible leadership: Creating value by balancing multiple challenges and choices. San Francisco, CA: Jossey- Bass.