Guidebook For Leading and Coaching PDF

A Guidebook for Leading and
Coaching
Copyright © 2009 by HiPerf, Inc.

"Helping you bridge the gap between strategy and success."
Acknowledgment
We would like to thank Ford McLain for sharing his knowledge, his dedication and hard
work in bringing this workbook together.
A special Aloha to the HiPerf group for their involvement and contributions to this work.
Thanks all.
We have made an honest effort to capture and acknowledge all contributions made
reference to. Omissions have been an oversight not a conscious action. Please assume
positive intent.
To our friends in the Office of Administration, CBP, continue to do great things. You
have our permission to utilize and print this book as a supplement to your leadership
development initiatives.
Thanks again all.

Bill Rose
CEO and Founder
HiPerf, Inc.
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© HiPerf, Inc. 2009
A Guide Book for Leading and Coaching
Table of Contents Page(s)

Section 1: Becoming a Successful Leader
1.1 Do you want to be a leader? 3
1.2 Leadership: Background and Influences 14
1.3 Levels of Leadership 31
1.4 Understanding Self 41
1.5 Understanding the Organization – Systems Thinking 61
1.6 Leadership Styles & Situational Leadership 67
Section 2: A Guide Book For Leaders and Coaches

2.1 Supervisor Leadership 83
2.2 Delegation 87
2.3 Coaching 101
2.4 Building a Healthy Environment 119
2.5 Positive Discipline 125
2.6 Leveraging Diversity 133
2.7 Build Productive Teams 147
2.8 Communication 167
2.9 Time and Meeting Management 189
2.10 Problem Solving and Decision Making 205
2.11 Groups and Facilitation Skills 221
2.12 Supporting Change 245
2.13 Conflict Management 261
2.14 Motivation 277
2.15 Customer Service 285
2.16 Emotional Intelligence 301
2.17 Stress Management 317
2.18 Creative Thinking 327
Section 3: Conclusions for Supervisors

Conclusions for Supervisors 337
Appendix 339
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Becoming a Successful Leader
1.1 Do You Want to Be a Leader?

Leadership is a diverse and complex discipline that has evolved from being strictly a science to a
combination of science and art. Its focus was once primarily on tasks to be accomplished. Today its focus
is on both tasks and people. It is firmly grounded in interpersonal skills. In the past, it was believed that
leaders were born to lead—certain people had the talent while others did not. Today we know differently:
leaders can be made if they have the training, tools, and willingness to develop the appropriate skills.
This book is written to help new leaders as well as those who have been leaders for a while. It is also
intended to help those who are currently not in leadership positions but who may be thrust into them in
the future. We will discuss the fundamentals of leadership, but will also address the complexity of
leadership at higher levels within the organization. Throughout this book we emphasize that successful
leaders must understand themselves and their emotions. This, emotional intelligence, dimension of the
leadership equation is critical to leader effectiveness.
The purpose of this book is to provide guidance, strategies, and hands-on activities to help you become
the best leader you can be. It is not meant to be read cover-to-cover, but rather used as a reference guide
for developing and refining specific leadership skills. Seek out the section that is of immediate interest to
you, or the area that is most challenging to your career at this time. The sections are organized by
leadership topics and augmented with helpful activities to fuel your continued growth as a leader.
Before going further, it is essential that you ask yourself, ―Do I want to be a leader?‖ There is an old,
Japanese saying, ―If you don‘t like people, you are not fit to be a doctor.‖ This bit of wisdom applies also
to leadership. If you do not like people -- really like them, you should probably not strive to be a leader.
This may sound trite, but your attitude toward people and your emotional intelligence are at the very heart
of your ability to become an effective leader. In this section we will investigate this from three
perspectives. First, we will discuss the difference between leadership and management. It is important for
you to understand exactly what leadership is and how it differs from management. Second, we will
discuss the benefits and disadvantages of accepting leadership responsibilities. What is your motivation
for becoming a leader? Third, you will be given the opportunity to assess your motivation and
predisposition to become a leader. Then, it will be up to you do decide whether the leadership path is for
you.
Leader versus Manager.
“The leader’s most basic role is to release the human spirit that makes initiative, creativity, and
entrepreneurship possible.” —Harvard Business Review (Bartlett and Ghosal)
Leaders deal with people and change. They lead others by coaching, training, and motivating. As
innovators and visionaries, leaders inspire people to succeed. They have a holistic perspective and set the
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strategic vision for the organization. Above all, leaders influence people to accomplish organizational
goals.
Managers allocate and manage resources to achieve the organization‘s strategic vision. If people are part
of those resources, managers move them around like chess pieces. They specialize in organizing,
planning, and monitoring resources and transactional tasks. As operatives and implementers, managers
are typically more predictable than leaders. Some individuals perform the functions of managers and
leaders. The title of manager does not reduce or eliminate a person‘s leadership responsibilities.
The figure below outlines the different roles of leaders and managers.
LEADERS MANAGERS
(strategic) (transactional)
Change-Oriented Resource-Oriented
1. Aligns People 1. Plans and Budgets
2. Inspires and Motivates 2. Organizes and Staffs
3. Guides and Sets Direction 3. Controls and Solves Problems
Fig.1
By aligning people, leaders ensure all team members are moving in the same direction—toward a
common goal that supports the organization‘s vision. Inspiring and motivating require the leader to match
individual talents, needs, and drives with projects where they will be most productive. Guiding means the
leader sets the course and prioritizes the work to achieve organizational goals.
Certainly, leaders at all levels have to manage. Both leadership and management are needed for an
organization to be successful; however, dealing with people and change are essential for a vibrant,
growing, successful organization. Leaders at all levels attend to these things.
Benefits of a Leadership Position
Being a leader is not for the faint of heart; it requires a complex mix of strategic insight, operational
knowledge, and interpersonal skills. It also requires a deliberate and careful transition process for those
who are moving from positions as individual contributors to leaders.
There are many rewards to being a leader; and there are disadvantages and frustrations as well.
Understanding these rewards and frustrations can help you to decide if leadership is for you. Further, it
can help you adjust your expectations and adequately prepare for the days ahead. In the book Leadership,
Research Findings, Practice, and Skills1, the author lists the most common leadership satisfactions and
dissatisfactions.
Satisfactions of Leaders
 ―A seat at the table.‖ The opportunity to become an influencer
 A chance to help others grow and develop
 An opportunity to control money and other resources
 Good opportunities for advancement
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 Respect and status
 High income
Dissatisfactions and Frustrations of Leaders

 Uncompensated overtime
 Organizational politics and headaches
 Not enough authority to carry out responsibility
 Too many problems involving people
 Pursuit of conflicting goals
 Loneliness
If you decide to continue on the path of leading others, you will want to take a good look at yourself and
think about your values, beliefs, and motivations. These things will be important to your effectiveness as a
leader, because they are at the core of how you lead. They will guide your relationships with those you
lead.
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NOTES
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Leadership Predisposition
The third step in determining if you want to be a leader is to make an objective assessment of your current
competencies and attitudes. To help you with this, we have created a personal assessment instrument. This
is for your information alone. Respond as honestly as you can.
Read each item and indicate how well it describes you. Rank each from 1 to 5. One (1) indicates that the
statement does not apply to you at all. Five, (5) means that the statement describes you very well. Here is
a rating scale to assist you.
To what extent does each statement describe you?

1 – Very little. This statement does not describe me at all.
2 – A little.
3 – Some.
4 – Fairly well.
5 – Very well. This is me.
Leadership Disposition Assessment
After each statement, circle only one number.
1. I am fully competent at the work that I currently do as an individual.
1. 2. 3. 4. 5.
2. I am completely dependable. When given a task, I always complete it well and on time.
1. 2. 3. 4. 5.
3. I have an energetic approach to my work on a daily basis.
1. 2. 3. 4. 5.
4. People describe me as fair minded. I never let personal bias influence me.
1. 2. 3. 4. 5.
5. I communicate well with others including my boss. That includes being a good listener.
1. 2. 3. 4. 5.
6. My attitude is positive and people look to me for motivation.
1. 2. 3. 4. 5.
7. I am always open to the ideas of others, even when they conflict with mine.
1. 2. 3. 4. 5.
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8. People describe me as usually looking to the positive side of things. Optimistic.
1. 2. 3. 4. 5.
9. I am the first to give someone a pat on the back to recognize his or her accomplishments.
1. 2. 3. 4. 5.
10. I am a team player. It is important to me for all of us to succeed.
1. 2. 3. 4. 5.
11. Everyone sees me as honest and highly ethical.
1. 2. 3. 4. 5.
12. I have a good idea of the ―big picture‖ and I have a vision for the future.
1. 2. 3. 4. 5.
13. I like new ways of solving problems and am comfortable trying new things.
1. 2. 3. 4. 5.
Add the value of each number you have circled and divide by 13. Record your score.
If your score is 4.5 to 5.0 you have excellent potential as a leader. This does not mean you can not hone
your skills and improve your attitudes, but it does mean that you all highly predisposed to be a successful
leader. The path toward becoming a successful leader should be an exciting and rewarding one for you.
This book should be very helpful.
If your score is 3.5 to 4.4 you have good potential for leadership. Identify the statements for which you
circled less than 4 and recognize that you may need to concentrate on these competencies. Pay close
attention in this book to the transition to leadership and understanding who you are as a person.
Those who scored from 2.0 to 3.4 probably have a difficult challenge before them in order to become a
successful leader. You should weigh your current competencies against those of the successful leader to
determine how much effort will be required to perfect them. You may also want to review your reasons
for considering a leadership position. Can you become a person who enjoys coaching, training, motivating
and inspiring others to work as a team and to succeed as individuals? If you still choose to commit
yourself to the path of becoming a leader, you may want to seek counsel from a coach or mentor. The first
part of this book should be especially helpful to you. It will be important for you to understand the
fundamentals of leadership and the tools that can help you develop values and beliefs that are conducive
to becoming a good leader.
If you scored less than 2.0 on this instrument, you are commended for your honesty. This score may
indicate that you are not ready to begin the path toward leadership responsibility. However, each of these
items can have a bearing on your future growth and development as an individual contributor. All of the
competencies suggested by these statements can promote success in your present position. Such things as
being optimistic, fair minded, energetic and dependable are desirable for any technical or transactional
person.
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Chapter Summary
Do you want to be a leader? If so, you should be willing to put forth the effort to begin the process of
personal growth and continuous leadership development. Much of this relates to your attitude toward
work and toward others. Leadership behaviors can be divided into two groups: Those that are technical or
task oriented, and those that are relationship oriented or people skills. Without a doubt, effective
leadership is composed 90% or more of people skills. These skills are often grouped together and called
―emotional intelligence.‖ Those who scored 3.5 or above on the assessment you just completed, are
probably emotionally mature and because of that will find the path to becoming a successful leader both
challenging and rewarding.
The choice is yours. Consider the benefits and disadvantages of being a leader. What is your motivation
for becoming one? If you enjoy making a difference by influencing people and building strong
relationships, then you may want to be a leader. If you understand that leaders deal primarily with getting
tasks accomplished through coaching, delegating and encouraging others, then you might well be primed
to become a leader. If that describes you, this book will be worth your time and effort.
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Andrew J. DuBrin, Leadership, Research Findings, Practice, and Skills
(Houghton Mifflin Company, Boston, MA 2004 ISBN: 0-618-30596-3
12
NOTES
13
NOTES
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1.2 Leadership: Background and Influences
DIALOGUE #1: Marsha Becomes a Supervisor (insert opposite Chapter 2 – in preparation for CH.2)
Marsha, a customer service analyst and representative (CSR) for the past five years, has just been
promoted to Team Leader in the Finance Directorate. Jim, her friend and Branch Chief in another
division, has supported her career development. She respects him because he has always encouraged her
and given her pointers. He knows Marsha is bright and aggressive and that she deserves the promotion—
which she thinks should have come sooner. Jim knows that she is eager to assert herself and prove her
worth as a supervisor.
Marsha has a strong technical and customer service background, but no formal training in leadership. In
fact, what ideas she does have about leadership have come from observing other supervisors—some good
and some not-so-good. She asked Jim to set aside some time to talk about her new job.
Jim: (With a handshake and a big smile.) Well, Marsha, what do you think you should do your first day as
a Team Leader?
Marsha: (As they both take seats at one end of a large conference table.) I‘m not really sure. I guess I
should have a meeting and let everyone know that I am the new boss and maybe tell them the rules.
Jim: Don‘t you think they know the rules?
Marsha: Some do, but there‘s a lot of dead wood. You know, people who get by doing only what they
have to do.
Jim: Have you thought about what kind of leader you want to be, and how you plan to build your team?
Marsha: (Emphatically) What kind of a leader? I want to be a good one; one that gets the job done.
Jim: Okay, let‘s start with that. But you will have to learn to balance two very important factors: People
and Productivity. Which do you think is more important?
Marsha: Productivity, of course. Bottom line is getting the work done.
Jim: You are right about it being the bottom line, but you can‘t overlook your people. Without well-
motivated, dedicated, and hard-working people, you simply can‘t get anything done. Believe it or not,
most of the people who quit their jobs quit because of their immediate supervisors. Their ―leaders‖! You
are now the person they look to for guidance, advice, and problem-solving. (Marsha begins taking notes.)
You can make their work life pleasant, challenging, and productive—or a living hell.
Marsha: Okay, so you‘re saying that I need to focus on my people. But, Jim, what about the actual
work—the technical stuff?
Jim: You have been a technician, a transactional person for years. You now need to make a major shift.
It‘s time for you to start developing your people skills. The transition phase you are about to enter is
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critical—when you move from a technician to a supervisor you need to develop new skills and behaviors
that are focused on the ―human factor.‖ Building relationships trust, and teams will be key.
Marsha: Wow, I haven‘t really thought much about that yet. How do I get started?
Leadership and leaders have evolved for over two thousand years. It was only in the early twentieth
century, however, that leadership became a matter of study and development. Before that, work and
productivity were studied and analyzed with very little attention to the human element. The industrial
revolution focused on technology and machinery and eventually produced the concept of ―mass
production.‖ The production line emphasized productivity with little or no regard to working conditions
or human satisfaction. This trend began to change as those who studied work became aware of the link
between productivity and people.
Today we recognize that the ability to support and motivate people is the key ingredient to organizational
success. Awareness of this did not happen overnight. It was the result of a gradual evolution. Below we
will point out several of the significant steps that have contributed to our current understanding of
leadership and leaders. This should give you a clearer picture of what it means to lead.
The Hawthorne Experiments
In the early 1900s serious leaders became concerned with ―the science and practice of management.‖ In
an effort to improve industrial efficiency, Fredrick Taylor developed a concept called Scientific
Management.1 Taylor‘s theory espoused that businesses and industries should be primarily concerned
with streamlining processes as a means to improving efficiency and productivity. The emphasis was on
process and making each task as efficient as possible. As a consequence, little or no attention was paid to
the people doing the work. This resulted in the de-skilling of workers and dehumanization of the
workplace. The assembly line developed by Henry Ford in 1913 is an example of scientific management.
Very little attention or support was given to workers and the ―work‖ itself became almost a mindless
activity.
Years later, Elton Mayo conducted the famous Hawthorne Experiments (1927-32), which inadvertently
revealed that focusing on people (the employees) improved efficiency. Mayo originally set out to study
the affect of lighting on worker‘s productivity, but the researchers quickly realized that as their attention
to the workers increased—the mere presence of people in their work environment—so did productivity. In
other words, they found that paying attention to people actually improved performance! Sound simple? It
was monumental news in the 1930‘s, especially since they were looking for something entirely different.
With the Hawthorne Experiments as a starting point, the ―art‖ of leadership was gradually transformed.
Researchers and leaders themselves began to realize that the behavior of leaders and employees could be
observed and studied. Based on these observations, leadership could be analyzed. Leadership principles
could be developed and leaders could be trained.
The Hawthorne Experiments eventually gave birth to more employee-oriented research and studies, such
as the concept of Managing By Walking Around (MBWA). Tom Peters‘ wrote about and promoted
MBWA3 in the early 1980s, encouraging managers to get out of their offices and talk to their people.
Although this was advanced as a concept 50 years later, it was a result of the Hawthorne Experiments and
similar developments in leadership thought. MBWA enabled leaders to learn first-hand about working
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conditions, problems, and opportunities for improvement while demonstrating a sincere concern for their
workers. Peters developed seven principles to guide the strategy of MBWA.
The Seven MBWA Principles:

1. Publicize the fact that you are out wandering around.
2. Be meticulous about having meetings in others' offices/spaces rather than yours.
3. Evaluate managers in part, and directly, on the basis of their people's assessment of how
well/how frequently they are in touch.
4. Fire a supervisor who doesn't know all his people's first and last names.
5. Hold meetings and reviews in the field.
6. Start randomly popping into offices and asking the inhabitants why they aren't out.
7. If you are a manufacturing, or an R&D boss, make sure you have a second office in the
workplace.
The MBWA principles focus on leaders coming into closer contact with their employees as a means to
improving productivity. As leaders come into closer contact with their employees, developing more
meaningful relationships, it is helpful to understand three basic concepts:
(1) McGregor‘s Theory X and Theory Y

(2) Maslow‘s Hierarchy of Human Needs
(3) Herzberg‘s Factors of Motivation
These examples of research that influenced leadership thought demonstrate how the focus on task
accomplishment and productivity gradually evolved into a broader focus on leadership and the impact of
the human element.
McGregor’s Theory X and Theory Y.
At the beginning of this book you used an instrument to assess your predisposition for leadership.
Although your values, beliefs and attitudes come from a variety of places, the predispositions revealed by
the instrument may tell something about your mindset regarding people. Most of us have biases or
predispositions about various things. Sue likes vanilla. Bob likes chocolate. What are your
predispositions? What are your assumptions about people?
Douglas McGregor, a noted management professor, believed that there is a potential in human beings for
two mindsets about employees. He called them Theory X and Theory Y. According to the first set of
assumptions, the average human has an inherent dislike of work and will avoid it if possible. This view he
called Theory X. Theory Y, on the other hand, assumes that work is a normal and healthy part of human
existence and that people want to work and even to be creative in solving work related problems.
McGregor viewed these theories as two separate attitudes about people. Some students of leadership look
at these as ―either/or‖ choices. In reality, there is a continuum between the two that varies from leader to
leader and from situation to situation.
According to this continuum, use of authority tends to be associated with Theory X. Leaders tend to be
more controlling and heavy handed. Theory Y, on the other hand, is associated with more employee
involvement in which the leader encourages suggestions and independent action by employees. As we
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shall discuss later, neither mindset is right for every situation. The Leadership Continuum in Figure 2
describes potential behaviors by leaders throughout the full range of the continuum.
Leadership Continuum
Traditional High Performance
Management Leadership
Use of Authority
by the Management
Area of Freedom
For Employees
Manager Manager Manager Manager Manager/ Leader Leader

Makes “Sells” Presents Presents Leader Defines Permits
Decision Decision. Ideas and Tentative Presents Boundaries. Employees
And Invites Decision, Problem, To redesign
Announces Questions. Subject Gets Work within
It. To change. Suggestions, Established
Makes Boundaries.
Decision.
Fig.. 2
Remember that we are discussing fundamental attitudes about people. These attitudes are sometimes
confused with ridged authoritative and participative management styles. This is not the case. Theory X
may limit a leader‘s view of an employee‘s potential under certain circumstances, because the leader may
have a negative view of people and their motives in general. However, there may be situations where
authority must be exercised aggressively because of the circumstances.
There may be other situations where gaining agreement and commitment from the employee is possible
and preferable. Under these conditions the outcomes may even be improved because of the employees‘
involvement in developing the solution. In cases such as this, a Theory Y attitude toward people would
facilitate the leader‘s actions. Hence, it becomes important to the leader to understand her or his own
attitude toward people.
According to McGregor, organizations with a culture or environment based on a Theory Y approach

toward people and leadership are more productive, have less absenteeism, less personnel turnover, and
tend to be generally healthier with less stress and more individual satisfaction. This, however, does not
mean that there is only one way to approach every situation. Later, we will present the concept of
Situational Leadership. It recognizes the need to modify leadership styles relative to the details of each
situation.
What is the take-away for you? By knowing your own predisposition, you will be more sensitive to it and
better prepared to modify it according to the situation. There is often the chance that, if you dig a little
deeper and provide support and encouragement, you may find a diamond in the rough in your own
organization. This could be a future quality performer or a first rate innovator who simply has not been
given the chance to excel. Generally speaking, firing someone is a last resort; however, it tends to be a
first resort for leaders with a Theory X set of assumptions. You may be doing yourself a disservice if you
write these people off without taking the time to know them better. Therefore, it may be a good idea for
you to become more aware of your assumptions about the people and how they can influence your
leadership.
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Maslow’s Hierarchy of Needs
Maslow‘s and Herzberg‘s theories were developed for separate reasons and in very different situations.
Maslow was a research psychologist whose work addressed the general population. Herzberg, on the
other hand, directed his research toward the work environment. Both concepts have a strong application
and influence on modern leadership practices.
A psychology professor named Abraham Maslow developed the ―Hierarchy of Human Needs‖ pyramid,
or ladder, (Figure 3) which has important implications for leaders today. Maslow defined five levels of
human needs, starting with physical as the most basic, then safety, social, esteem, and self-actualization.
He believed that unfulfilled needs lower on the ladder would inhibit the person from climbing up the
ladder. But once a need is satisfied, the person can move on to the next level. It is also possible to be on
multiple levels at the same time, or to move back and forth between levels.
MASLOW’S HIERARCHY OF NEEDS

Fig. 3
Maslow‘s hierarchy may seem remote from modern leadership practices, but let‘s take a quick look at
each level of human need to see how they can impact workers, the workplace, and your leadership of
others. By understanding the needs of others, you will be able to ease your transition into leadership and
work towards leading others more effectively.
Level 1: Physical. The need for air, water, food, and sex.
Physiological needs include basic bodily comforts such as fatigue, hunger, thirst, or air quality. Do the
people in your organization have sufficient access to food, water, and air? These issues are not concerns
in most work environments, and particularly not in office settings. If your employees work at the bottom
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of a mine shaft 300 feet deep, air and water may, indeed, be a concern. They must be satisfied before
other issues can be addressed.
For most leaders in corporate or government offices, physical needs such as these are usually not a
concern. There may, however, be other complexities of the modern office work environment that may be
perceived as physical concerns. The relatively new discipline of ergonomics addresses the interface
between human beings and machines. Carpal tunnel syndrome (CTS) comes to mind. Repetitive activities
are often blamed for the development of CTS, along with several other possible causes. Back problems
and other neurological concerns can result from long-term use of computers. Exposure to asbestos or
―building mold‖ can also impact on individual performance. Leaders can benefit from being aware of
these as possible physical complications in the work environment. Concerns such as these need to be
addressed by leaders before they can expect workers to respond favorably to efforts addressing the higher
level needs.
Level 2: Safety. The need for security and stability.
Safety needs include general security issues, law, and order. An unsafe or dangerous work environment
can impact a worker‘s performance. Is the parking lot well lit for people who leave after dark? Safety can
be a matter of perception. The employee or leader who is prone to explosive verbal outbursts can create
an environment in which other feel threatened. Is this person potentially violent? If so, energy may be
diverted from performance and productivity to concerns for personal safety. The successful leader will be
aware of these situations and prepared to address them in a constructive manner.
Is the office properly secured and monitored? Employees should be confident that their safety is a matter
of management concern. Fire drills are conducted frequently to ensure that people know what to do and
where to go. Beyond that, however, the reason for them is explained to employees. Leaders, as
representatives of the organization, are responsible for ensuring a secure an orderly work environment.
Travel in the post 9-11 era can also be a security issue. Some employees may not be experienced and
confident travelers. Classes on travel safety and precautions can ensure that this issue is not being
ignored. It may be wise to consider allowing less experienced travelers to travel initially with someone
with more experience and confidence. The need for a safe and secure work environment should not be
overlooked by leaders.
Level 3: Social. The need for belonging, love, and acceptance.
Social needs concern inter-personal relationships and interactions within work groups. Each person has a
different way of relating to others. There is no mold or template to ensure these social needs are met. It is
the leader‘s responsibility to reach out and to understand the socialization needs of each person. Later, we
will discuss the FIRO-B instrument. It provides a way to understand how social needs can shape leader
interactions with team members. What kind of relationships are there on your team? Do your employees
feel that you care about them? Do they have a best friend at work? These acceptance issues can impact
team performance significantly. Some group members will reach out to others while some expect others
to reach out to them. A successful leader evaluates and influences these Level 3 issues to get the most
from her team members.
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The concept of ―belonging‖ is very important to most work groups. If a group member does not feel
accepted by the rest of the group, that person‘s contribution could suffer. It is the leader‘s job to be
sensitive to this and to facilitate acceptance. The leader without an awareness of Maslow‘s hierarchy
would be more likely to ignore this or miss it completely.
Level 4: Esteem. The need for recognition.
Esteem needs relate to the employee‘s sense of approval and recognition. Good leaders are concerned
about the self-esteem of their people. Have you sent your people the message that each of them is adding
value? Are you promoting a sense of healthy competitive achievement within the work unit? Good leaders
are definitely concerned about the self-esteem of their people. Every time you interact with a team
member or any employee, your first thought should be for their self-esteem. A pat on the back and small
words of encouragement can go a long way. Each time you interact with an employee, consider making
your first words positive and uplifting. ―George, I know you are busy. Thanks for taking time to see me.‖
Or, ―Phyllis, I don‘t know what we‘d do without your hard work and smiling face. I have a situation I‘d
like to discuss with you.‖ Successful leaders will probably make building and maintaining self-esteem an
important element in their leadership styles. You can be an important and consistent source of personal
and group esteem. Not every team member will respond in the same way to a particular effort at
recognition. Be careful to discover what are the preferences of each. Providing approval and recognition
for employees is a critical part of a leader‘s job.
Level 5: Self-actualization. The need to fulfill one’s potential.
The highest level within the hierarchy, self-actualization is the need and desire to reach one‘s full
potential and be all you can be. It is the leader‘s job to figure out what self-actualization looks like to
each employee. For some, it may mean being listened to and feeling that their input is appreciated. Other
workers may need to be given new challenges that allow them to reach knew professional heights.
Wherever you work, there are people who always seem positive. They are problem solvers and often
come up with new ideas and new solutions. It is very easy to shut these folks down either by ignoring
them or making light of their suggestions. It is a terrible situation when a person is eager to self-actualize,
but the boss is blind to the person‘s potential. These people often respond well to a challenge because it
makes them feel complete, even fulfilled. Now, that is some pretty heady stuff. But you have people like
this; many more than you might now know. Part of your challenge as a leader is to help these people find
challenges worthy of their efforts.
As a leader, perhaps one of the most important insights you can have is to know where you are on the
Maslow scale. It can impact how you deal with others, but it can also facilitate your personal
development. We mentioned that there can be an element of loneliness that comes with the role of leader.
Awareness of your needs for socialization, esteem and self-actualization may help you with this
dimension of increased responsibility. What is self-actualization to you? There may be elements of it that
compensate for the isolation that often accompanies increased leadership responsibility. This may include
the feeling of satisfaction that comes with coaching and mentoring others.
As you review the hierarchy you will note that it is possible for a person to be on multiple levels at one
time or to move back and forth between levels. For example, a person thought to be at Level 5 (Self-
actualization) may be adversely impacted by inclement weather (a Level 1 issue), which temporarily
impacts his quality of work. A person at Level 4 (Esteem) may become focused on security issues because
of a recent rash of muggings or rapes in the neighborhood (a Level 2 issue). As a leader, your awareness
of these subtleties can give you the insight to take appropriate action. You may consider providing
21
umbrellas to counter the inclement weather, or perhaps increasing security patrols in the parking lot to
reduce employee concerns about security there.
As you spend time getting to know your people, you will have the chance to evaluate them in terms of
their fundamental needs. Understanding this hierarchy of needs gives you insight into what makes people
tick and what motivates them. Everyone is striving to fulfill a need. Your job is to discover what that need
is and use it to create a productive worker. This will open up to you the entire concept of motivation.
Herzberg on Motivation
Interested in determining what factors truly motivated employees in the business environment, Frederick
Herzberg researched employee motivation in the mid-20th century. Herzberg‘s studies resulted in the
Two-Factor Theory, which differentiates factors that motivate employees to work harder from factors that
influence people to accept or stay at a particular job.
Let‘s listen in on another exchange between Marsha and Jim. Marsha has been in her new position as
supervisor for a few weeks.
Marsha: Thanks, Jim, for taking time to talk with me. I feel as though I am banging my head against a
stone wall.
Jim: (With a concerned smile.) What do you mean?
Marsha: I have been trying to take your advice. I want to be a shepherd – not a sheep herder, but I have
two people who just are not motivated. Everything with them is ―minimums.‖ You know, do only what
they have to do to get by. I have tried to motivate them, but it just doesn‘t work.
Jim: Are you certain that they have the skills needed to perform their jobs?
Marsha: Yes. They have been in their positions for quite some time and they know the technical part of
the job. They are just lazy.
Jim: Well, what have you done to motivate them?
Marsha: First I told them both that the rest of the team is counting on them and that they are hurting the
entire team, but that had no effect. Then, I mentioned that performance ratings for annual pay increases
are coming up. I saw a little improvement, but only for a few days. Then they both went right back to the
same slow pace.
Jim: What do you think motivates people?
Marsha: Well, I thought it was the basics. You know, pay raises, not letting the team down; I even made
extra sure that I was treating them fairly and not singling them out for the tougher jobs. Everybody knows
that our benefits package is one of the best. I should think that alone would motivate most people!
Jim: Marsha, the things you have mentioned – benefits, good wages, a fair and honest supervisor, these
are the reasons people come to work here. They are maintainers. I mean if your people don‘t get those
things, they are dissatisfied, but getting them does not motivate people.
22
Let‘s stop here and discuss just where Jim is going. He is about to turn Marsha‘s idea of motivation
upside down! He will do this using information from Herzberg.
For years many companies and government organizations focused on providing salary increases, benefits,
and better working conditions to motivate employees to be more productive. Herzberg found that these
things were not actually motivators but ―maintainers.‖ The maintenance factors maintain an employee‘s
current level of performance and are usually the reasons a person takes a job. Maintainers can prevent the
employee from becoming dissatisfied on the job, but they do not motivate employees to improve
performance. The maintenance factors are usually decided by the organization. The supervisor rarely has
input or any control over them. This is also true to a great extent for middle managers and even
executives. On a day-to-day basis maintenance factors are a given. It is the motivator factors that these
people directly influence. These include recognition, personal growth, and the nature of the work itself.
Motivators can be influenced by leaders at every level. Motivation is the inner drive that directs a person‘s
behavior toward goals. Genuine motivation must come from within the employee; he must desire personal
growth. To influence that drive, the leader must provide an atmosphere that encourages constructive risk
taking and creativity, with the opportunity for added responsibility, recognition, and advancement.
According to Herzberg‘s Two-Factor Theory (See Figure 4) six key elements motivate people to strive for
higher standards and improve performance
HERZBERG’S TWO-FACTOR THEORY
Motivators Maintainers
Achievement Benefits/Company Policy
Recognition Supervisor
Growth Salary
Responsibility Job Security
Advancement Interpersonal Relations
Work Itself Working Conditions
(Decision to sustain high (Decision to take the job

performance is based on is based on above factors.)
above factors.)
Fig 4
Herzberg noted that if a supervisor ―stays on a person‖ and constantly threatens corrective action, that
employee‘s work may improve for a short time, but the only motivation that has taken place is on the part
23
of the supervisor. The supervisor is motivated to get the employee moving, and the employee moves. But
the employee is NOT motivated. Again, true motivation must come from within the person.
Although Herzberg developed his theory in the mid-20th century and numerous studies since been
validated his work, many leaders still operate under invalid assumptions about employee motivation.
Understanding the difference between motivators and maintenance factors enables leaders to examine
current motivational techniques and make adjustments as needed. Your ability to motivate individual
employees and your team as a work unit is very important to their effectiveness and productivity.
Due to the impact of people like Herzberg, Maslow, McGregor and others, we know more about the art
and science of leadership. We know more about what motivates people. Later, we will present tools that
can help you assess individual needs and motivations. This will give you an awareness of individuals to
determine how best to lead them. These theories and concepts suggest powerful behaviors for the person
looking to become a successful leader. Keep thinking in terms of application, application, application.
How will you use this knowledge?
The Target Model
Aimed at organizational improvement, the Target Model2 defines levels of leadership control and
influence. The model helps leaders realize what they can and cannot control, setting the stage for realistic
expectations of yourself and others. The model is shaped like a target with four concentric circles.
Envision you, the leader, at the center. The core or inner most circle is the Sphere of Control. The other
spheres radiate outward with Sphere of Influence, Sphere of Concern, and finally, Sphere of the
Unknown on the outer most circle.
As you begin to accept the challenge of leadership, it can be helpful to step back to consider your
expectations of yourself. As a leader, what impact do you think you can have on your organization? In
order to have a realistic view of your role as leader, it will help for you to become aware of the things you
can and cannot control. These things will vary considerably depending at which level you are in the
organization. Both the supervisor and the executive have control over much of the people and activities
that happen close to them. However, the decisions of the executive have a greater impact on the entire
organization than do those of the supervisor.
Fig 5
24
A leader‘s time and energy is well spent when focused on those things she can actually control. The
Sphere of Control represents areas the leader can manage and organize. These often include information
flow and feedback (i.e., education, training, and idea sharing) as well as schedules, tools, and
organizational decisions. As the spheres get farther from the center, the ability of the leader to impact
decreases. In the Sphere of Influence, the leader can contribute to change and sometimes decisions; but
the leader has little or no actual control over these elements. This does not mean that the leader should
disregard her impact. Influence can be a powerful tool. Examples of elements in this sphere for the front
line supervisor are the organizational culture, some personnel issues, and many organizational policy
issues. The Sphere of Concern contains those elements that may impact on the supervisor‘s work unit,
but over which she has essentially no power or authority (i.e., death and personnel changes made from
above). The Middle Manager or Executive may, on the other hand, be able to exercise influence or even
control over these matters. Finally, the Sphere of the Unknown includes changes in governmental
policies, acts of God, and other external phenomena that are unpredictable and uncontrollable.
With this model as a backdrop, the leader will be better equipped to determine priorities and better
allocate time and energy. Although you may be concerned about a particular issue, you can ask yourself,
―Is this something I can control?‖ The successful leader will not be shoveling sand against the tide, but
rather will focus energy on those things within her Sphere of Control, while remembering that
―influencing‖ can also be an important tool.
The Target Model is a very simple concept that requires no measuring or specific metrics. The point is
that any leader will be more effective if she knows the difference between things she can control, and
influence. Stephen Covey in his Seven Habits of Highly Effective People takes the concept to another
level by discussing how it impacts the leader‘s attitudes and actions. Too often leaders spin their wheels
and become frustrated because they worry about things outside their Spheres of Control or Influence. This
can lead to negativism and a sense of helplessness for the leader. When we dwell on events and
circumstances outside these spheres, we feel frustrated because we have no control. As leaders we want to
be proactive, but when we worry about things over which we have no control it wastes our time and
energy.
Target Model Case Study
Consider this situation in light of what you can control or influence.
Your staff department has been criticized for not processing orders fast enough. You recognize that your
software is outdated and that newer software is available that would speed up processing significantly.
There is money in the department budget which can be made available for this. What you will need to do
is evaluate your current order processing and project for growth in order to establish requirements and
criteria for an improved system. Your department can make this happen with minimal coordination or
approval from higher in the organization. This activity seems to fall within your Sphere of Control.
Most of the training and implementation of the new system can be accomplished within your department.
However, there are some customers who could also benefit from your new software if they were to make
minimal investments and train their people to use the new software. You cannot direct your customers to
do this, but you feel confident that you can encourage them to make the change. Those that do not will
still be able to do business with your department. You do not have direct control over these customers;
25
however, you have a good relationship with most of them and believe you can probably convince most to
make the change. This activity falls within your Sphere of Influence.
You have checked with the organizational Information Officer about this project. Although you will have
no problem planning for, buying and implementing the new software in your department, you also realize
that the entire organization could benefit from a similar upgrade. The Information Officer has been
making other important upgrades in the operations area which have required considerable funding. These
have been planned for some time. The information systems budget for the next several years will not
permit a software upgrade similar to yours to be purchased for the entire organization. It would be an
important improvement, but just is not in the cards right now. Although it is clear to you how helpful a
new system would be, this activity is simply not something you can influence at the organizational level.
It is within your Sphere of Concern. It is not something you can influence and would not be an issue for
you to pursue at the organizational level.
By understanding the Target Model, you may become more skilled at ―picking your battles‖ and saving
yourself frustration and wasted energy.
Remember that you do have control over your own attitude and actions. Be open to change and
new opportunities for improvement and advancement. If you are proactive and focus on events
and circumstances within your control, you will be a more successful leader and your organization
will excel.
26
Target Model Activity
Read each item and determine whether it is within your Sphere of Control, Influence or Concern or if it is
Unknown. Check the appropriate column. Although the answers may change based on your relationship
with higher authority, the comments below present a typical response to each item.
Cont. Infl. Conc. Unk
1. Chances of rain next Monday.
2. What kind of projects you delegate to a team member.
3. Your daughter‘s grade in biology.
4. Your attitude toward diversity.
5. Corporate or organizational health care policy.
6. Promotion of a team member to a position outside your department.
7. Your new boss‘s initial impression of your team‘s efficiency.
8. A team member‘s habitual tardiness.
9. Corporate or organizational off-site training schedule.
10. Selection of team members you can mentor.
Your evaluation of each may vary depending on the amount of control and influence you believe you can
have in each situation. Possible responses are discussed below.
1. Unknown. Although you can watch the weather forecast, you can not know for sure and you certainly
can not change it.
2. Control. As supervisor this is completely within your Sphere of Control. As a middle manager or an
executive, you have direct reports who are essentially your team.
3. Influence. You can‘t do your daughter‘s work for her, but you can influence how and when she studies
and you can encourage her.
4. Control. Your attitudes and behaviors should be under your control.
5. Concern. Depends on your position. At the supervisor level, you probably have little or no influence or
impact on corporate policy. It would probably be a waste of your time and a cause of frustration for you to
dwell on this issue, although it can impact your team. As an executive, policy issues are a day-to-day
interest. Depending on your level of responsibility, this may be either a matter of control or influence for
you.
27
6. Influence. You are not a decision-maker regarding promotions outside of your team and department;
however, you may well be able to influence promotions. This can be done by your written evaluations of
your team members and by informal conversations you may have with decision-makers at higher levels.
7. Influence. While you can control your team‘s preparations, you can not control a new boss‘s
impressions. As you guide the preparations for a new boss, you can influence her first impressions. This is
most likely that case at every level.
8. Control. You are immediately responsible for solving problems such as this. Although you can not
directly control tardiness, you can candidly and forcefully address the situation. Even if you are a CEO
with several directors reporting to you, their punctuality and effectiveness is your immediate concern.
9. Concern. For a supervisor. Again, corporate or organizational decisions may be made without your
input. Whether your input is requested is not your decision. The training schedule may, however, impact
your planning. If you are the middle manager responsible for corporate or organizational training, this
may well be within your Sphere of Control. Although a heavy-handed executive might want to impact on
this as a control matter, most would prefer to see it as within their Sphere of Influence and exercise a
more subtle impact.
10. Control. This is usually your call at whatever level you work.
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Chapter Summary
We have rather quickly highlighted some important developments in leadership over the last hundred
years. Elton Mayo and the Hawthorne Experiments created a breakthrough in management thought.
Paying attention to people was actually found to have a positive impact on productivity. Fifty years later,
Tom Peters applied this knowledge by showing leaders how to Manage By Wandering Around. Not only
is it a way to pay attention to people, but it is also an effective way to gain their input and to identify
problems that may be marginalizing team performance. Maslow, McGregor and Herzberg have given us
insight to both leaders and workers. Motivation is much more than making people feel good; it is a matter
of linking individual needs with organizational goals.
The ideas and models discussed above can provide a leader with important insight to people. Being able
to recognize your own feelings and those of the people you lead and to adapt your leadership behavior has
been referred to as ―emotional intelligence.‖ In short, knowing yourself and how you tend to relate to
others can help you to understand people and situations better, thus enabling you to modify your behavior
for the good of the group you lead and the entire organization.
Successful leadership requires study and commitment. It begins with knowing yourself and understanding
people. Many people have found themselves thrust into leadership because they performed well as
individual contributors, but they have not been trained in the attitudes, skills and competencies that make
a leader effective. Whether you are new to leadership or have been in a leadership role for a long time,
you may want to consider what has changed for you. That will be the subject of the next chapter.
29
1
Frederick Winslow Taylor (1911). The Principles of Scientific Management. Harper & Brothers
2
Diane Hanson and Jerry Bapst, The Performance Improvement Journal –
30
NOTES
31
1.3 Levels of Leadership
You don‘t become a leader over night. It is a journey from being an individual contributor that may
evolve gradually through a developmental process. Individual contributors become grass roots leaders,
usually supervisors. Supervisors grow from leading small teams to larger ones and some take the next step
into middle management. At this point you are no longer managing individual contributors but you begin
the more complex task of managing managers. In this phase of growth as a leader, you continue to employ
the basic leadership tools but you also expand them adjusting to changed organizational expectations.
Some middle managers are selected to take the next step becoming executives. Responsibilities become
even broader and still more complex.
With each new position your view of the world tends to change. Throughout this developmental process
you build on the skills and competencies of your preceding responsibilities. Each change requires you to
reassess your mind set and how you are being evaluated.
Transitioning from a technical job to a leadership position is the most critical time in the life of a new
supervisor—yet it is often ignored. New leaders are typically selected because they performed well as
individual contributors and exhibited leadership capabilities; therefore it is often assumed that a transition
is not necessary. This is a dangerous assumption, and it can be responsible for a new supervisor‘s failure
as a leader.
Because many people are thrust into leadership positions with little or no preparation, they often behave
and work the same way that made them successful in their previous job. Supervisors promoted to middle
management often continue to apply the same leadership techniques they had been using. Each level,
however, has a unique leadership profile based on the organization‘s expectations for that level. At each
leadership level the leader has a different focus. This includes her relationship with those being led, how
she spends her time and how success is measured. For the supervisor, success is no longer based on
individual performance, but on the performance of the team. Becoming a leader requires a new mindset
and perspective, new skills, and new behaviors. New leaders at all levels within the organization should
consider a deliberate and careful transition to equip them with the tools for success at the new level.
For the purposes of our discussion, we have defined three basic leadership levels: Supervisors, Middle
Managers, and Executives. As illustrated in the diagram below, Supervisors are largely tactical,
concerned with the nuts and bolts of the organization. Executives, on the other hand, have more of a
strategic focus as they develop the vision for the organization. In between these two levels is the Middle
Manager who focuses primarily on the operational side of the business. It is important to note that every
leadership level has responsibilities across all three dimensions—all good leaders spend some portion of
time on tactical, operational, and strategic areas of the business.
The main responsibilities of leaders at each level are outlined below.
 Supervisors manage a team, or small group of transactional/technical workers. The supervisor is

evaluated on how well the team performs; not how well he performs as an individual. Supervisors
must adapt to be successful; they must begin to learn more people and leadership skills, such as
motivating, delegating, encouraging, and communicating effectively.
32
Working supervisors. Some individual contributors gradually assume the mantle of
leadership. Some supervisors wear two hats: they are responsible for leading the team, but
also must accomplish individual tasks. Some of their responsibilities may be those of the
individual contributor. This requires the very difficult act of living two lives—one as a
leader and one as an individual contributor. The working supervisor is measured by both
his ability to align, guide and inspire and his ability to produce. This requires an even
greater level of skill.
 Middle Managers typically manage a team of supervisors or managers. They are primarily
concerned with quotas, schedules, and budgets. Providing an important link between the
supervisors and executives, the middle manager typically handles project management activities
and oversees team relations. This does not at all minimize his role as a leader. The middle
manager leads a group of other leaders or managers. This requires a different set of skills and a
new mindset. While the supervisor spent most of his time aligning, guiding and inspiring
individual contributors, the middle manager is more directly involved with leading supervisors.
 Executives manage an entire segment of the business, such as a group of Vice Presidents or
Regional Managers. They are usually in charge of an entire division (E.g. sales) and have 10 to 15
middle managers working for them. The executives are responsible for all the strategic issues,
such as the organization‘s goals, vision, and long-term planning. Leadership remains an essential
part of what an executive does.
Although there is overlap, there are special competencies and skills needed to be successful at each
leadership level. Moving into these positions requires important transitions; technical knowledge becomes
less important and people skills become the essential building blocks for success.
33
The figure below provides a visualization of the levels of leadership and the varying organizational
focuses.
LEADERSHIP LEVELS AND ORGANIZATIONAL FOCUS
Executive Strategic
Mid Manager
Operational
Supervisor
Tactical
Fig 6
There are expectations of certain skills and competencies that are of primary importance at each of these
levels. As one climbs the ladder of leadership responsibility leadership tools and techniques learned are
never discarded. They remain a part of the leader‘s repertoire. A list of these is presented below. We have
included general skills and tools of the Individual Contributor as a point of departure.
Expectations (Skills, Competencies)

By Management Level.
Individual Contributors
Focusing on tasks.
Technical proficiency.
34
Devoting time to individual success.
Completing assigned tasks on time.
Planning own (individual) work.
Conforming to organizational rules and standards.
Producing quality results.
Supervisor Level 
Limited technical focus.

Leading the team.
Focusing on team success.
Devoting time to group success.
Doing less individual technical work.
Being responsible for the work of others.
Planning work of others.
Assigning tasks.
Motivating others.
Coaching others.
Evaluating others.
Supporting others.
Solving others‘ problems.
Delegating.
Coordinating with middle management.
Recognizing the value of leadership.
Middle Management Level 
Selecting and developing future leaders.

Minimal technical contribution.
Selecting new supervisors.
Assigning management responsibilities.
Evaluating supervisors.
Mentoring and coaching supervisors.
Increased awareness of the ―big picture.‖
Long term (strategic) thinking.
Teaching supervisors to manage and lead.
Addressing budget issues.
Managing cross-functional teams.
Recognizing the value of leadership.
Executive Level 
Selecting and developing future executives.

Managing broad areas of responsibility.
Managing and leading middle managers.
Focusing on strategic and cross-functional issues.
Orchestrating middle management groups and functions.
Being responsible for a profit center.
35
Managing unfamiliar functional area.
Balancing future goals with current requirements.
Developing and executing long term (strategic) plans.
Taking time to reflect.
Considering organizational culture.
Leading and using staff functions wisely.
Compare the expectations listed for each level of leadership. The skills expected of each change as do the
time spent on various activities and the mindset required at each position. For example, supervisors have
limited or reduced technical focus and concentrate on success of the team. Middle managers have less
technical focus and spend most of their time leading supervisors. Executives have little interaction with
supervisors. They lead middle managers and focus on strategic and cross-functional issues.
An important part of assessing your potential is to understand your talents. This subject is discussed in
detail in First Break All the Rules, an excellent book for new leaders. The book explains why some people
succeed and others fail, even though they all possess equal amounts of experience, intellect, and
willpower. The authors believe that (1) individual talent is the driving force behind job performance, and
(2) talent cannot be taught.
It is worthwhile to assess your talents so you know what you have to offer. Your talents are your drives,
needs, capacities, and abilities. If you enjoy organizing and lending structure to situations, this could be
one of your talents. Seeking responsibility and having a willingness to accept personal accountability for
projects and tasks may be another talent. Some people demonstrate an affinity for numbers. Still others
have a strong tendency to look on the bright side of things; yes, optimism can be a talent.
In order to focus on your talents, you will need to identify those things you truly enjoy doing or are
particularly comfortable with. Once you identify them, the next step is to develop a way to use them to
achieve organizational goals. A list of possible talents could be long, indeed. Here are a few to help you as
you seek to identify your own.
 Developing people. Encouraging, guiding, mentoring, and coaching.

 Planning. Envisioning a process as it unfolds.
 Understanding and enjoying numbers. Being comfortable explaining and finding logic in things
through numbers.
 Helping others succeed. Facilitating and supporting others in their activities.
 Organizing. Making order out of chaos.
 Seeing the big picture. Able to relate the minutia to a larger vision.
 Accepting personal responsibility. Not being afraid to take the bull by the horns.
As you consider your potential, it is also helpful to review the qualities of leaders you have worked for.
Who is the worst leader you ever worked for? Who is the best? Do you ever remind yourself of either of
these people? If so, in what ways? This can give insight into both good and bad habits you may have
subconsciously incorporated into your leadership persona.
After taking time to seriously assess your leadership potential, identify two or three important talents that
will help you grow as a leader. You may want to outline a profile of yourself as a mature leader, including
the specific strengths on which you can build. List goals you see as extensions of these strengths.
36
Likewise, note the areas you need to further develop. Finally, develop a personal action plan based on
strengths and weaknesses.
In light of your talents, how well do you currently execute the leadership activities listed below? Indicate
whether you are fully competent (Yes) or whether you think you need improvement (NI). For each
leadership skill area, indicate any action you believe you need to take. Give yourself a time frame for
reevaluation. (If these items do not match your talents, create leadership activities that do. Be flexible.
Modify this activity as fits your leadership needs.)
37
Example: Yes NI
Time Management:
I make good use of my time. X

I rarely waste time on unimportant things. X
I avoid spreading myself too thinly. X
Action: Spend less time on unimportant things. Avoid interruptions. Re-look by June 1st.
LEADERSHIP PROFILE
Name __________________ Date __________
Yes NI
Delegating:
I trust my people.
I am willing to take a risk.
When I delegate, I do not micro-manage.
Action:
Communication:
I listen more than I talk.

I am honest and do not mince my words.
I speak directly and have good eye contact.
Action:
38
Time Management:
I make good use of my time.

I rarely waste time on unimportant things.
I avoid spreading myself too thinly.
Action:
Managing Meetings:
My meetings are run efficiently.

I have a clear purpose for every meeting.
I respect my people‘s time.
Action:
Building Relationships:
I take time to really know my people.

My people come to me with personal and professional concerns.
I relate well to people at every level.
Action:
Problem-solving and Decision-making:
I am decisive.
I follow through and press for results.
I recognize that input from others can improve my solutions.
My decisions are based on facts and not emotions.
Action:
Personality:
I am approachable.
I am open to feedback and criticism.
I work will with others.
I don‘t let power or status go to my head.
Action:
39
Chapter Summary
Leadership is a matter of continued growth and development. It is a journey and not a destination.
Maturing as a leader is a cumulative effort. As you move to positions of increased responsibility you
continue to use the skills you have previously learned and demonstrated while continuing to learn new
ones. While supervisors focus on tactical issues and guide teams of individual contributors, middle
managers and executives must learn how to lead leaders.
The process of assessing your potential is only worthwhile if you take action as a result of it. In other
words, you must decide to change. Many of us set goals but keep them to ourselves. This often means
that we are not serious about following through with our plan. Consider enlisting the help of a coach or
mentor to be a guide and sounding board on your journey. Share your action plan. This effort at
accountability can make the difference between success and failure. By becoming aware of your talents
and focusing on them, you can develop productive team members and achieve more as a leader.
Regardless of your current leadership level, assessing your potential is a confidence-building exercise to
help you gain a better understanding of self and make the changes necessary for successful leadership.
The next chapter digs deeper into your understanding of self, with specific tools and exercises to help you
further your knowledge. Consider your current action plan for your development as a leader to be a work
in progress. After reading and experiencing the next chapter, you may want to modify it.
40
NOTES
41
1.4 Understanding Self
Successful leadership requires an awareness of self and others—and an understanding of human
emotions. Improved knowledge of yourself will allow you to manage yourself, your team, and your career
better. Furthermore, many of the tools and techniques used in this effort can also be used by a leader to
develop a greater understanding of others.
The process of understanding yourself is a natural extension of assessing your potential, but it goes much
deeper into who you are. The renowned leadership author, Peter Drucker, said ―…success in the
knowledge economy comes to those who know themselves—their strengths, their values, and how they
best perform.‖ This implies a look into your personality type, self-esteem, stress tolerance, ability to deal
with change, and the values and beliefs which underlie these factors.
The tools presented in this chapter can help to strengthen your self-awareness and understanding of how
you relate to others, individually and in a group setting. They provide insight into the greater world of
organizational leadership, shedding light on behavioral and relationship-based areas you may need to
improve in order to become an effective leader. Accompanying each model is an assessment for rating
your own leadership potential and behavior. Many of these exercises can be self-administered, while
others (FIRO and Myers Briggs) require a certified administrator. These tools are:
 The Johari Window & 360 Degree Assessment

 Fundamental Interpersonal Relations Orientation (FIRO)
 Myers Briggs Type Indicator (MBTI)
 Thomas-Kilmann Conflict Mode Instrument (TKI)
The Johari Window1
This Johari ―communications window‖ uncovers the different types of information you share with or
conceal from others. It can be a very powerful tool for understanding how you interact with your team
members, as it reveals how much you and others know about ―the real you.‖ As a result, you can compare
how you see yourself to how others see you. The Johari Window model forms a perfect square with two
columns and two rows.
Fig 8
42
The columns identify what you know or do not know about yourself. The rows identify what other people
know or do not know about you. The columns and rows intersect to create four panes: The Arena, Blind
Spot, Façade, and Unknown. The panes indicate how the different types of information are perceived by
yourself and those around you.
The Arena pane contains ―common knowledge‖, i.e., information you and others know about you. This
reflects information you are comfortable sharing with others—therefore it is in the ―public arena.‖
Examples include how you conduct meetings, like your coffee, or personal information about your family
(where you children attend day care).
The Blind Spot contains information that you do not know about yourself, but others do know. This
information is often transmitted in subtle ways, such as via non-verbal cues, mannerisms, tones of voice,
or facial expressions. Your blind spots can include insecurities or subconscious prejudices. For example,
you roll your eyes whenever a certain person offers a suggestion, but you are not aware of doing so.
The Façade pane contains information you know, but others do not. In other words, it represents the
―you‖ that no one else knows. Think about the details you know about yourself but keep hidden from
others. You believe that if others knew this information they might think less of you, or it might be more
difficult for you to do your job. These may also be things you are simply embarrassed about. For example,
you may think you have poor public speaking skills.
The Unknown pane contains information that neither you nor others know about you. It may include
things such as latent early childhood memories or unrecognized knowledge about your strengths,
weaknesses, or talents.
The panes are not constant; they can be enlarged or reduced depending on how you share information
with other people in different work situations. The smaller your ―façade‖, the more your relationship with
others will be based on honesty and trust. Often, team members appreciate a leader‘s willingness to risk
sharing sensitive information about themselves.
Becoming a More Effective Leader by Decreasing Your Blind Spot & Facade
Philip G. Hanson provides suggestions leaders can use to work toward decreasing their blind spots,
thereby becoming more aware of those things others know about you, but of which you are unaware.
Hansen says the only way you can increase this awareness is to solicit feedback from the group—develop
a receptive attitude that makes group members feel comfortable about providing feedback and being
honest with you. The more you do this, the more the vertical line will move to the right.‖ (Article: The
Johari Window: A Model for Eliciting and Giving Feedback, Philip G. Hanson. University Associates
Publishers, Inc.)
One way to solicit feedback and validate your information from the Johari Window is through the 360
degree assessment. Through this assessment process you receive input on your behavior from those in the
best position to observe it.
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The 360 Degree Assessment
The 360 degree assessment (See Figure 8), an excellent leadership development tool for obtaining
accurate and honest feedback, solicits feedback from multiple sources. This tool can be used to expand the
arena pane of your Johari Window. Typically, performance appraisal has been limited to a feedback
process between employees and supervisors. But with the increased focus on teamwork, employee
development, and customer service, the emphasis has shifted to employee feedback from a full circle of
sources—including supervisors, peers, subordinates, customers, and one‘s self. This multiple-input
approach to performance feedback is sometimes called ―360-degree assessment‖ to connote that full
circle.
Research has shown assessment approaches with multiple rating sources provide more accurate, reliable,
and credible information. For this reason, Hi-Perf Inc. supports the use of multiple rating sources as an
effective method of assessing leadership performance.
A very basic example of 360 Degree Survey questions would be to ask your colleagues, supervisors, and
employees the following types of questions:
 What am I doing well?

 What do I need to improve?
As with any of these tools, the effectiveness of the 360 Degree Survey is predicated on how you use the
information. After reviewing the results, we encourage you to share this information with those who
participated in the survey. Encourage them to expand on specific survey items in order to help you
understand how you can address them. Then, build your action plan based on this feedback.
You may also want to check with your HR department to see if they already have a 360 instrument your
organization uses, or you can create your own based on leadership expectations.
Fig 9
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Based on the results from your Johari Window and 360 Degree Assessment, you may also want to reduce
your Façade to improve your leadership skills. Hanson explains that since this area contains information
you have been keeping from the group, you can reduce your façade by talking to the group, or individual
group members, regarding your perceptions, feelings, and opinions about what is going on with the group
and with yourself. In this case, you give feedback to others. Through this process the group knows where
you stand and does not need to guess about or interpret your behavior. The more self-disclosure and
feedback you give, the farther down you push the horizontal line.
Decreasing the blind spot and façade panes will take practice, but you can overcome many of these issues
if you are open and willing to change. This is where ―risk-taking‖ becomes part of the leadership
equation.
The Johari process addresses your trust issues and the honest exchange of information. One of the greatest
impediments to leadership effectiveness and productivity is poor communications. Reducing your blind
spot and façade can greatly improve information sharing and minimize misunderstanding. As you seek to
become a more effective leader, the Johari Window and 360 Degree Assessment help to bring your
perceptions closer in line with your team‘s perceptions and expectations—increasing the authenticity
between you and those you lead. Honest feedback and open communication is at the heart of this
process.
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ACTIVITY: Johari Window Self-Rating Sheet
The Johari Window Self-Evaluation Instrument can help you understand how comfortable you are sharing
information with others—information about you that they would normally not know.
The Self-Evaluation Instrument is composed of two continuums running horizontal and vertical. The
horizontal scale (top) indicates how much feedback you normally ask for from others about yourself and
your behavior (i.e., ―How am I doing?‖). The vertical scale indicates how much feedback you normally
give to others (individual or group) about how you see them and where you are in relation to their
behavior; ―I like this but don‘t agree with that.‖
Self-administration of the instrument. Think of a specific work or personal relationship. It may be with
an individual (boss, colleague, spouse, etc.) or a group (work unit, family, etc.). Keep this specific person
or group in mind as you conduct the evaluation. Remember this is about how you currently behave and
not about how you want to behave.
1. On the horizontal scale, mark the level to which you normally ―solicit feedback‖ from others. This
can range from never requesting feedback (1) to more open than closed (9).
2. On the vertical scale, mark the level to which you normally provide feedback to others regarding
how you feel or react to their behavior. This can range from never giving feedback (1) to always or
usually letting them know how you feel regarding what they are doing (9).
3. Extend those marks into the square until the lines intersect. Mark that spot and extend the lines
down and across to form four squares or rectangles within the original square.
4. This creates your Johari Window. The upper left hand box is your arena. The lower left hand box
is your Façade. The upper right hand box is your blind spot, and the lower right hand box is your
unknown area.
5. Ask multiple people in your group (colleagues, supervisors, your subordinates) to rate your
feedback skills as well. Compare the information: How do others see you versus How do you see
yourself? Is it a similar picture, or are there discrepancies in perception
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Fig 10
47
Dialogue #2: Marsha Looks At Her Johari Window Scores
Marsha: Jim, I completed my Johari Window Self-Rating Sheet as you suggested. It turned out all
lopsided!
Jim: I hope you didn‘t expect it to be a perfect square with every pane the same size.
Marsha: (With an embarrassed look.) Well, I guess I did. My Arena and Blind Spot are both pretty big,
but my Façade is small. It looks like this.
Fig.11
Jim: Good work! It looks like you were very honest with yourself when you completed this. Your
relatively small Façade pane means that you are comfortable letting others know your feelings and beliefs.
Marsha: That‘s me. ―What you see is what you get.‖ But what about the big Blind Spot pane?
Jim: (With a smile.) Marsha, it is not a matter of good or bad. The Johari Window is a way of helping you
realize how you deal with feedback—giving it and getting it from others. The small Façade indicates that
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you don‘t mind speaking up about what you like or dislike. The larger Blind Spot implies that you are not
eager to know what others think of you or your ideas.
Marsha: So, what do I do with this information?
Jim: That‘s entirely up to you. If you are trying to build an effective team, it is important to solicit
feedback from others—give them permission to be open and honest, to disagree with you and tell you
what they think of your decisions.
Marsha: So, Johari is telling me that I will be a better leader if I pay more attention to what my team
members have to say. I need to solicit more feedback from them?
Jim: Yes, but even more than that. You need to do something with the feedback! For example, if someone
says that you don‘t seriously consider team member suggestions, how would you respond?
Marsha: I suppose I could encourage an open discussion of the situation; you know, gather other‘s
opinions so that they can see that I am seriously considering other possibilities. How would that work?
Jim: That‘s a great start. Remember to really listen to what they have to say, and then do something
observable with the information.
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Fundamental Interpersonal Relations Orientation (FIRO)
The FIRO Theory
Developed by Will Schutz, the Fundamental Interpersonal Relations Orientations (FIRO) theory and
accompanying FIRO-B instrument provide an understanding of human interactions by measuring three
behavioral dimensions that occur in any group setting: Inclusion, Control, and Openness. Schutz believes
that all groups have the capacity to experience these three phases of development.
Although FIRO is a group development model, it can help you understand yourself better both as a leader
and as a group member. As workers in an organization, each of us is constantly thrown into group
situations—i.e., meetings, training classes, conferences, and seminars—where we must choose how and
to what extent we want to become involved with others.
For example, when placed in a different work unit or team, you must choose whether and to what level
you want to be included (Inclusion). Then you decide what role you will play in that team (Control). You
will also make intimacy decisions about the depth of your relationships with others and how much of your
feelings and emotions you want to share with them (Openness). Each member of the group has ongoing
opportunities to make these decisions. Therefore, the FIRO model describes a highly dynamic, ever-
changing process.
Since groups are composed of people, individual behavior is at the heart of understanding the evolution of
any group. Schutz believes that people can learn enough about themselves through FIRO to decide to
change how they relate and behave in groups. By assessing the three behavioral areas, FIRO provides the
opportunity for individuals and groups to improve self-understanding, interpersonal relationships, and
group development and effectiveness. Let‘s examine the three behavioral dimensions.
(1) Inclusion relates to the extent an individual wants to belong to and participate in a group. Some
people are eager to be included; they are outgoing and like being with a group. Others are less outgoing
and prefer to take a back seat, maybe even becoming a silent or less active group member.
During inclusion, people get to know each other and determine what level of participation they will
provide. The talk initially focuses on safe topics, such as war stories and sharing incidents which
demonstrate personal successes in previous situations. There may also be discussions about the group‘s
purpose and what norms can be expected. Some will withdraw and others will talk a lot. The basic
concern of Inclusion is ―in or out.‖
Some individuals will quite candidly admit that this group is not for them. They may physically separate
themselves, leave the meeting, or find some reason to excuse themselves from the group. Although some
of these individuals may physically remain, the group may move on to the Control phase but these
members remain in Inclusion. They may become the nay-sayers, challengers, and devil‘s advocates.
It is important to note that Inclusion is not a one-time event. There can be inclusion issues on a daily
basis, depending on the number of group interactions (i.e., conference calls, meetings) and individual
encounters.
(2) Control is about clarifying roles and responsibilities—determining what role you and each member
will play in the group. Some people seek out increased responsibility while others want as little as
possible. Some people like being in charge; others are content being followers. There are those who want
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to be involved with decisions, while others want to have reliable people make decisions for them. After
the work is distributed, group members may deal with more complex control issues, such as leader
competence, leader integrity, individual influence, and methods for providing input.
Some people rebel against the idea of someone else being in charge. In their view, being disruptive may
be a method of gaining control. Others are comforted by a strong leader who will encourage them to play
another role. The successful leader will be aware of these control issues and recognize the need to work
through them. Many groups become comfortable in the Control stage of group development and never
move to the next level.
(3) Openness relates to the level of comfort a person feels when expressing emotions in a group setting.
This ―emotional openness‖ can be a very complex and delicate phase of group development, as it involves
trust and confidence in the group. Every person has a certain comfort level for emotional relationships
with others. This may vary from family, to social, and work situations. Some people enjoy being close to
other group members. There are others who resist this kind of familiarity. They usually remain on the
periphery of the group in an Openness dimension.
Work groups that achieve Openness have a special personal and professional relationship that allows them
to function at an exceptionally high level of productivity and competence. Examples of such might be
Emergency Medical Response Teams, Police Tactical Teams, or even managers assigned to solve a
particularly complex problem. The key here is that they have developed a relationship of mutual respect
and professional competence in a non-judgmental and highly open setting.
Trust is a big issue in the openness phase. How comfortable is each person with taking emotional risks?
Trust includes not only sharing knowledge of a more intimate nature, but also believing in the technical
and professional competence of other individuals. Individuals who have learned to embrace openness
usually value genuine honesty and candor in relationships. This allows open and honest criticism without
offense in an effort to produce the best possible result for the organization.
Individuals and groups can move back and forth between the three phases for a variety of reasons—some
due to significant events and others less notable. As members come and go, as projects and working
conditions change, phases will change. For example, if a new member joins a group that is already in the
Control phase and has been productively working together for a year—the group moves back into the
Inclusion phase when the new member joins. Depending on how easily the new person integrates with the
group, it will gradually (sometimes quickly) move back into the Control phase.
On the other hand, if a new group member is not easily accepted by the other members and has trouble
gaining their trust and respect, they could remain in Control for a long time and might never evolve to
Openness. There may also be short spurts of time when groups firmly in Control or Openness fall back
into Inclusion in a more casual, almost off-handed way. This may be precipitated by something as simple
as returning after a long weekend, or a change of instructor.
FIRO – How it Helps You Become a More Effective Leader
One of your key responsibilities as a leader is to facilitate the development of group dynamics so that each
individual member can be most effective. By understanding FIRO and realizing that groups go through
three different developmental phases, you will have a greater level of confidence as a leader.
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You are now better equipped to observe and know whether a group is in Inclusion, Control, or Openness
and how to help that group move through the process. When you enter a group, you can expect some
Inclusion issues: checking you out, credentialing, and war stories. As the group moves into Control you
will be ready for some testing, boasting, and possible power struggles. Since you know what to expect,
you will be better prepared to deal with these issues.
This has implications for your effectiveness as a leader at staff meetings, planning meetings, and project
management activities. You may recognize that Monday morning might require some time spent simply
walking around re-establishing relationships. As you organize, you may also recognize control issues such
as the need to clarify who is doing what. To promote openness you may choose to share some personal
information with the group.
Think about how you normally act in Inclusion or Control situations. If you have a tendency to be
impatient, you may want to move on to Control issues before the group is finished dealing with Inclusion.
How comfortable are you in each of these phases? Are you eager to be part of a group? How do you
approach becoming the formal group leader? How open are you willing to become in the group?
The FIRO-B instrument, which is administered by a certified FIRO professional, offers added insight and
self-awareness to this process.
The FIRO-B Instrument Model
Fig 12
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Caption: This graphic may seem to imply that passage through these phases is a one-time activity, but it
is actually a much more dynamic concept/process. As mentioned above, it is normal for any group to
move back and forth between Inclusion, Control and Openness. For example, a group that has worked
together for a long while and has developed tremendous interpersonal respect and confidence is in the
Openness phase. A change of mission or a specific change in technology could temporarily move the
group back into the Control phase. Roles and relationships may be reevaluated and reestablished. After
these changes have been dealt with, the group may move back into the Openness phase. The fact that
groups can move easily between the phases is what makes this concept dynamic rather than static.
The B in FIRO-B stands for behavior—the instrument provides feedback to help you understand your
behavioral preferences for Inclusion, Control, and Openness. FIRO-B has the potential to increase your
knowledge of group development and personal relationships when working with teams. The instrument
measures how you behave toward others and how you would like others to behave toward you.
FIRO-B can help you gain insight to these two behavioral areas across Inclusion, Control, and Openness:
expressed behavior and wanted behavior. ―Expressed behavior‖ is the level of inclusion, control, and
openness you display to others in the group. ―Wanted behavior‖ is the level of inclusion, control, and
openness you want other group members to extend to you.
Let‘s look at each of the stages of group development to see how the instrument can help you as a leader.
Inclusion
Your “expressed inclusion behavior” indicates the extent to which you make an effort to become part of
the group. Do you seek to belong? Do you dive in to social situations or are you tentative? Your “wanted
behavior” relates to the extent you want others to make an effort to get you involved. Do you eagerly
desire invitations to join in?
Control
Your “expressed behavior” in a Control situation relates to how you act in the group and toward other
group members. Do you usually assert yourself and take control of most groups? Or do you prefer to take
direction from someone else? “Wanted behavior” is the behavior you prefer from others. Do you expect
others to take control and get the group focused? Are you comfortable letting someone else tell you what
to do?
Openness
“Expressed behavior” in Openness reflects how comfortable you are becoming close to others.
Openness relates to friendly and affectionate feelings and normally includes professional trust and respect.
How much of your own emotion and innermost thinking are you willing to share with others? “Wanted
behavior” deals with the extent to which you want others to reach out to you. It includes being
comfortable with others expressing open and honest information and emotions with you. Is it acceptable
for others to demonstrate a high level of disclosure of their own thoughts and feelings to you?
It is possible for expressed and wanted behaviors to compliment or contradict each other. For example, if
you want others to be in charge and you are comfortable when they do so, your expressed and wanted
behaviors are in line with each other. However, if you want others to take charge, but dislike it when they
do, there is a contradiction that you may need to tackle.
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Addressing the three phases seems best accomplished sequentially. As you develop relationships deal
with Inclusion issues first, and then matters pertaining to Control. Openness issues should be last. The
scales are not terminal; they change as you change.
Finally, there is no substitute for actually taking the instrument and getting insight to your potential for
building relationships. After all, relationships are at the heart of leading. You will find that FIRO-B is
compatible to the Myers Briggs Type Indicator and several other tools used for personal growth and
organizational development.
Myers Briggs Type Indicator (MBTI)
Leaders who have insight into how they prefer to gather and use information, and how they like to make
decisions, have a distinct advantage over those who don‘t know these things about themselves. Their
ability to lead successfully is further enhanced if they know these things about others with whom they
come in contact, such as team members, bosses and customers. If you know your boss does not like
Italian food, it would not be wise to take her to an Italian restaurant. The Myers-Briggs Type Indicator
(MBTI) is used to help leaders understand information gathering and decision-making preferences of
themselves and others. This knowledge can be vitally important to you as a leader.
The MBTI is an instrument, not a test. Just as some people ―prefer‖ to use one hand rather than another,
they do use both hands to perform a variety of tasks. The MBTI is an instrument that helps people
determine the ways of thinking and acting that they prefer over others. This preference does not imply
obligatory behavior.
The instrument compares how you relate to four dichotomies. Your choices between these can create one
of sixteen possible combinations or types. None of these is better or worse than another. They simply
indicate your preferred way of interacting with information and people. Furthermore, having one
particular set of preferences does not preclude you from behaving in other ways. In fact, knowing your
own MBTI type and that of others, can help you understand differences among people and, when
necessary, you may choose to adapt your behavior in order to achieve your objectives.
The words that have been selected to label these four dichotomies can be misleading. It is easy to
misunderstand them because each has a commonly used definition with which we are all too familiar. For
example, we normally assume that extroverts are live-wires or party animals, and that introverts are
excessively shy and somewhat unsociable. This does not conform to the Myers-Briggs definitions. The
Myers-Briggs extrovert receives energy from the external world and is energized by activity. The Myers-
Briggs introvert is more comfortable with the internal world of ideas and reflection and is drained of
energy by activity. Knowing this, if your customer is an introvert, it might be a good idea to have your
meeting early in the day before she begins to feel the impact of excessive activity. Both extroverts and
introverts can function and be successful, but they have differing preferences as to how they operate.
The MBTI compares the following four dichotomies.
Extroversion and Introversion. How one relates to the world or people and events. Behavior and action
versus ideas and reflection.
Sensing and iNtuition. How a person gathers and uses information. Concrete versus intuition.
Thinking and Feeling. How decisions are made. Judging people and situations. Detachment and logic
versus association and empathy.
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Judging and Perceiving. How you approach life. Ordered with structure and goals versus spontaneous
with flexibility.
How can MBTI knowledge impact your leadership success? Communications can be difficult between
Extroverted and Introverted people. Extroverts prefer to relate to the external world. They act, then reflect
and then act again. Introverts, on the other hand, relate better to the internal world of ideas and reflection.
The introvert prefers to reflect, then act, and then reflect again. Therefore, when the extrovert asks a
question he expects an immediate response. If the question is asked of an introvert, that person may take
time to reflect on the question and consider various ideas before responding. The extrovert may interpret
this slow and deliberate response as uncertainty or a lack of self confidence when it is merely a preferred
method of responding. If the extrovert is aware of this preference on the part of the other person,
communication can be enriched and more effective.
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Various combinations of these four dichotomies produce sixteen types. As an example, two of these types
are presented below.
ISTJ – Introverted, Sensing, Thinking, Judging

ENFP – Extroverted, Intuitive, Feeling, Perceiving
Becoming familiar with the MBTI profile of individuals with whom you work, as well as within your
team can help you as a leader. Being aware of your preferences and those of others can provide a tool to
help you anticipate how others may respond in a variety of situations. For example, people with a J
(Judging) in their type profile tend to be somewhat impatient. They want to get it done now. Those with a
P (Perceiving) tend to want to wait until all the information is available before taking action. It is easy to
see where people with these different preferences might conflict. Being aware of your own preferences
and how they might affect others can help you be more sensitive to them. In the end, the final response
from you and your team will be enhanced.
The FIRO-B and MBTI instruments can give you insight into your own preferences and help you
understand the dynamics of how you relate to others. For best results these instruments should be
administered and interpreted by someone certified to do so. Furthermore, this information and insight can
be multiplied when team members also participate in them. The Johari Window can give you a tool to
gather additional insight by helping you seek and share feedback from others. All three are intended to
help you modify your behavior and understand and better relate to the behavior of others. These pertain to
normal, day-to-day interactions. When conflicts arise, there is a slightly different relationship can
develop. The last tool we will present can help you deal with conflict situations.
Thomas-Kilmann Conflict Mode Instrument (TKI)
Much of a leader‘s work pertains to resolving conflict. An important part of understanding yourself and
others deals with how people respond to conflict situations. As with so many aspects of leadership, how
one responds to conflict is situational. Therefore it is supremely useful for a leader to understand the
nature of conflict, to become aware of his or her style of responding to conflict, and to recognize that
several options are available. The Thomas-Kilmann Conflict Mode Instrument (TKI) has been
successfully used by individuals and teams to enhance performance and improve productivity. It is a tool
developed to measure an individual's response to conflict situations. Along with the tools already
discussed, the TKI can help you develop as a leader. The TKI is a self-scoring instrument or survey. It
consists of only 30 items and can be completed in about 15 minutes.
There are two basic aspects of responses to conflict. These are ―assertiveness‖ and ―cooperativeness.‖
Each can be applied to varying degrees. The TKI measures these and places respondents in one of five
Conflict-Handling Modes. They are Competing (Assertive and Uncooperative), Accommodating
(Unassertive and Cooperative), Avoiding (Unassertive and Uncooperative), Collaborating (Assertive and
Cooperative), and Compromising (Moderately Assertive and Moderately Compromising). See the figure
below.
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The Five Conflict-Handling Modes
RM-7
Copyright © 1996 by Xicom, Incorporated. Revised binder © 2003 by CPP, Inc. Xicom, Incorporated, From Thomas-Kilmann Conflict Mode Instrument by K. W.
is a subsidiary of CPP, Inc. Permission is hereby granted to reproduce this overhead for workshop use only. Thomas and R. H. Kilmann, 1974, 2000. Mountain View, CA:
Duplication for any other use, including resale, is a violation of copyright law. Xicom, Incorporated, subsidiary of CPP, Inc. Copyright 1974,
2000 by CPP, Inc. Used with permission.
Fig. 13
Since every conflict situation is different, no one Conflict-Handling Mode is right or wrong in every case.
Knowing and understanding each gives the leader greater flexibility in how he chooses to respond to any
given situation. Therefore, it will be helpful to outline each mode and discuss its uses.
Competing “My way or the highway.”
This mode reflects a strongly assertive approach to the situation. In many environments competitiveness
is encouraged and even rewarded. The goal is to win or successfully achieve. This can be a useful mode to
address conflict when speed is important or when unpopular decisions need to be made. It requires moral
courage and the ability to stand up and be counted as well as being able to clearly state your position. It
may be particularly appropriate if the leader is experienced and the team is not. It may also be needed at
times when a decision has come from higher in the organization and there is no room for dissent.
The competing mode may be inappropriate when the leader could benefit from the feedback and
suggestions of others. Overuse of this mode can undermine the growth and development of a team
because it does not encourage individual input and empowerment. If a leader uses the competing mode to
excess, team members may quit trying to make contributions and become ―yes‖ people.
There are times, however, that decisions need to be made and action must be taken. When this is the case,
the leader can judiciously apply the competing mode.
Accommodating “It would be my pleasure.”
This mode suggests a strong desire to cooperate. As with all of these modes, accommodation can be
useful or inappropriate depending on the situation. It may be seen as ―keeping the peace‖ or creating
goodwill. When used to excess it is often perceived as weakness, lack of conviction or extreme
unassertiveness.
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Being able to accommodate requires the ability to yield and forgoing one‘s own desires, usually for the
good of the team. In an organization filled with assertive and forceful people, this can be a rare
commodity. However, when overused good ideas may be overlooked and the more assertive people may
constantly get their way regardless of the facts. This can result in poor quality decisions and marginal
team performance.
When used appropriately accommodating can promote rapport and good morale. It can demonstrate a
willingness to place the success of the group above a personal victory.
Avoiding “I’ll think about it tomorrow.”
At first blush, many people consider avoidance in a negative light. It is often used to imply avoiding
responsibility. There are times, however, that unimportant issues need to be avoided, or when temporary
postponement can be a valuable approach. Avoiding is characterized by unassertiveness and
uncooperativeness. The goal is to delay or postpone. Avoiding, as a Conflict-Handling Mode, can be
difficult for some individuals to master. It requires the ability to withdraw from or sidestep certain issues
and requires a good sense of timing.
As a leader, it is important to recognize both the advantages and disadvantages of avoiding. Certainly, if
overused, it can create a leadership or decision-making void. Issues that need attention may be allowed to
fester. It can also create a climate of caution and inaction within the group.
On the other hand, when avoidance is ignored as a possibility, it can force decisions that could have been
postponed until circumstances were more favorable. Individual feelings can be hurt because a conflict
situation was prematurely brought to a head. Finally, a heavy workload may require prioritization
resulting in delaying certain issues until more important ones are addressed. A successful leader knows
which conflict situations should be avoided until later.
Collaboration “Two heads are better than one.”
This mode requires a special combination of assertiveness and cooperation. It strives for the win-win
resolution of a conflict situation. It promotes synergy and improved team relationships based on open and
honest communications. It can also gain commitment for the implementation phase of a solution.
Collaboration demands the ability to listen, understand and empathize. Individuals need to feel
comfortable with honest disagreement and non-threatening confrontation. However, while collaboration is
often a useful approach, it is not always appropriate. It usually requires more time than most other modes.
Too much time spent on trivial matters may be detrimental to team productivity. Additionally,
collaboration is seen by some as a way to keep responsibility cloudy. Leaders should be willing to step
forward and assume responsibility.
The use of collaboration can be an excellent tool for the leader to develop commitment and group
identification while promoting empowerment and innovation. When time and the situation permits it can
be a useful technique to enhance team building.
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Compromising “Let’s make a deal.”
Compromise sounds like a good idea and it can be a useful approach; however, it can also water-down a
solution and result in a half-hearted effort. It is a blend of assertiveness and cooperation. Its goal is to find
the middle ground and make everyone happy.
If a ―perfect‖ or ―best‖ solution can be found, compromise will usually miss it. Therefore, it may be
useful at resolving issues of moderate importance or creating temporary solutions. When other modes
seem to be resulting in stalemates, compromise may be a good alternative. It is characterized by
negotiating and making concessions. This requires mature individuals willing to put aside their personal
stakes for the good of the group.
If compromise is seldom or rarely considered, it can lead to unnecessary confrontations that might be
avoided by a negotiated compromise. Power struggles can be reduced or minimized by judicious use of
compromise.
The TKI is a helpful tool for leaders. The instrument itself provides a simple and practical approach to
understanding and dealing with conflict situations. It presents the five Conflict-Handling Modes and gives
insight the leader needs in order to know which to apply in a given situation. The TKI can give you
greater understanding of yourself and how you tend to respond to conflict. Finally, it can be administered
to team members in order to help them deal with conflict in a more constructive way and thereby build a
stronger team.
Chapter Summary
The tools presented in this section can help as you find a greater awareness of yourself and others. With
the exception of the Johari Window, they all require assistance of someone trained to administer and
interpret the results. Their value can not be over-emphasized. Leadership is a personal and often an
emotional challenge. Because many leaders ―don‘t know what they don‘t know‖ they may act in ways
that limit their effectiveness as they attempt to influence others. These instruments can help you to better
understand how you relate to people in a variety of situations.
How well do you accept feedback? Do you ask for feedback from the people you lead? The Johari
Window is an excellent tool to help you communicate better. It can help you understand the importance of
giving and receiving feedback. It will also permit you to gage your improvement in these areas. The
FIRO-B and the MBTI are vehicles to help you understand how you prefer to relate to others. That
includes your peers, team members, customers and your boss. They can help you recognize the stages of
group development and the various ways you might interact with group members. Your behavior impacts
those around you. These instruments can provide insight to what you expect from others and they can
help you understand and, if necessary, modify how you treat others. Since conflict is a normal occurrence
in most groups, the TKI can be useful to assist you, the leader, to understand it better and to recognize that
there are several different responses to conflict situations. All together, these instruments provide a
powerful resource to help you understand yourself and others. By using them, you can become a more
successful leader.
Thus far we have focused on you as a leader and on leadership as a discipline. In the next section we will
concentrate on the organization in which you practice your leadership skills.
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The Johari Window was originally developed by Joseph Luft and Harry Ingham.
60
NOTES
61
1.5 Understanding the Organization -- Systems Thinking.
Understanding yourself and others is essential to your growth as a leader. Leadership, however, is usually
exercised within the context of an organization. Understanding the organization as a system will enable
you to see how the various parts compliment and support one another. It is essential for you, the leader, to
understand your organization, its purpose, its culture and how its parts interact with each other so that you
can guide it to achieve organizational goals.
Like the human body, organizations are systems composed of interdependent parts, or subsystems. The
overall health of the human being requires all the parts to work effectively together. If one subsystem is
not functioning at its best, or experiences a change, it can impact the entire system. A stomach virus, for
example, can negatively impact the entire body. The organizational system is much the same.
Fremont E. Kast and James E. Rosenzweig were among the first organizational theorists to describe
organizations as systems. By applying a General Systems Theory1 to organizations, Kast and Rosenzweig
sought to understand how organizations develop and how the various parts interact and influence each
other. Since a system is defined as a set of interrelated and interdependent parts combining to produce a
single entity, they theorized that the interrelated elements of an organization form a system composed of
various subsystems. A change in any one subsystem, no matter how small, can impact other subsystems
and eventually the entire organization.
Organizations are comprised of sales, operations, finance, HR, and many other subsystems. These
subsystems may function well, but the overall health and effectiveness of the organization is based on
how well they function as a whole. This means that people and departments depend on one another and
must work together to be successful. (Kast, F.E. & J. E. Rosenzweig, Organization and Management (4th
Ed) McGraw Hill, Singapore, 1985)
The K and R Model (See figure on next page.) for understanding organizations as systems divides the
organization into five major subsystems existing in an environment. The five subsystems are Goals and
Values, Technical, Managerial, Psycho-Social, and Structural. The Environmental Subsystem may
include customers, competitors, suppliers, and government rules and regulations. Changes in the
environment, such as customer demands or government specifications, can require significant
organizational change in order for it to remain competitive. While change may be uncomfortable, failure
to respond to changes in any subsystem can have devastating impact on the organization.
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Fig 14
This figure illustrates how subsystems overlap and interact with each other. The Managerial Subsystem
and organizational leaders are responsible for aligning, guiding, and directing the organization.
As organizations adapt to the pressures of our changing society, greater stress is placed on certain parts of
the system. Private companies and government agencies are responding to demands for greater flexibility
and increased sensitivity to customer requirements. Flatter organizations require new channels of
communication and information flow. Control and authority may become clouded. Each change has the
potential to impact another part of the organization.
The tools described above can be employed as a leader strives to apply a systems approach to the
organization. They are:
a) The Johari Window & 360 Degree Assessment

b) Fundamental Interpersonal Relations Orientation (FIRO)
c) Myers Briggs Type Indicator (MBTI)
d) Thomas-Kilmann Conflict Mode Instrument (TKI)
Each of these provides understanding and perspective. Effective systems thinking occurs in an arena of
open and honest communications. This includes a deeper understanding of your own attitudes, tendencies
and behaviors and a willingness to seek out and access feedback from others.
With public and private organizations becoming increasingly complex, it is helpful to view the
organization as a system of interrelated elements functioning as a whole. Understanding the idea of
―Organizations as Systems and Subsystems‖ can help leaders improve their strategies and management.
Leaders do not benefit from operating in a vacuum, without regard for how changes in their part of the
organization impact the rest.
Over the years since this idea was first presented countless examples have been published validating the
systems concept. Therefore, we can safely say that the leader who views the organization as a system has
a better chance of successfully managing, developing, and changing that organization.
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The most important thing to know about a system is that a change in one subsystem can eventually cause
some type of change in the rest of the system. The impact may be for better or worse, but unintended or
unplanned consequences can throw an organization into turmoil. Additionally, changes in the system may
impact the environment. For example, if your work increases total sales, it will impact production,
transportation, and several other subsystems.
Consider your impact on the total organization. It is not unlike a stone thrown into a pool of water. As a
supervisor, the stone may be small, but its ripple effect can reach out to the rest of the pool. As a middle
manager or executive the size of your stone, that is your impact on the system, increases. The ripples are
larger and they extend to the entire pool. Regardless of the size of the stone, the impact of ripples can be
felt far beyond the place where it entered the water.
Let‘s present a situation that demonstrates how the organizational system can be influenced by a change
in a subsystem.
Your organization‘s computer system (technical subsystem) has been in place for seven
years. It is adequate to the current requirements of the organization; but it needs up-
grading. A committee investigates and determines that a new computer system with
streamlined software will provide improved service to customers and be expandable for
future growth. Plans are made to purchase and install the new system. Although these
plans are no secret, most of the people in the organization are not concerned with the
change. It is believed that its impact will be primarily on customer service, the finance and
billing departments.
Six months after the new computer system is up and running, its impact is felt throughout
the organization. How and where?
 The Management Information System (MIS) requires new, expanded facilities and
people with different skills.
 The training budget must be enlarged to address changing requirements for
technical proficiency.
 The Personnel Department is informed that hiring practices need to be adjusted to
consider the need for more technically proficient employees. New initial screening and
interviewing procedures are required.
 Processing time for customer services has improved to the point that customer
complaints are reduced by 80%. Customer service people are under-employed. Some have to be
transferred requiring training in new skills. Morale is impacted.
 The new computer system is capable of collecting and sorting customer satisfaction
data. The reasons for specific customer complaints are tracked and the sources of problems are
identified. This creates pressures for improved quality performance in other departments.
 Increased customer satisfaction results in increased demand for organization
products and services. This impacts operational requirements.
 Leaders in several departments are required to address new problems resulting
from increased work-flow and integration of new employees.
This simple and straight forward example demonstrates how changes in the various subsystems within an
organization can impact the entire system. When leaders train themselves to think from a systems
perspective, situations such as this can be planned for and negative impact mitigated.
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Looking at your organization as a system can help you see it from a broader perspective. Whether you are
supervising a team or managing a department, it is wise to consider the impact of your actions and
decisions on the entire organization. When you begin to think from a systems perspective, you become
aware of the importance of building organizational synergy. Synergy is the effect of two or more elements
working together to produce an effect that is greater than the sum of the parts. Said another way, it is the
combination of factors which multiply the effects of the others rather than merely adding to them.
ACTIVITY K & R Systems Model

In the past, leaders have focused only on the part of the system (organization) for which they were
responsible. This is no longer the case. It is essential that you recognize how important the entire system -
with all its subsystems – is to what you do on a day-to-day basis. Look at the K & R Model and think
about your organization, not just your team or your department, but the larger company or agency.
Think about how they interrelate. What happens in operations if the people in finance do not plan
effectively? What happens to organizational growth if there are no clearly understood goals?
Consider the parts. How can each impact your part of the organization (your team or department)? There
may be positive or negative impacts. Using the tool below and the K & R subsystems, note a positive and
a negative impact each could have on your work unit.
System Worksheet
Technical Subsystem
Facilities. Positive: Clean, serviceable, modern facilities can improve morale and productivity.
Negative: Cramped office space could reduce morale and damage productivity.
Managerial Subsystem
Planning. Positive: Good planning can make it easier to prepare training for new products and
technology.
Negative: Failure to plan in detail can cause chaos during times of expansion.
Using the example above as a model, and visualizing your organization, identify a positive and a negative
impact for every subsystem aspect listed below on your team or department.
Goals and Values Subsystem

Culture. Positive:
Negative:
Philosophy. Positive:
Negative:
Group Goals. Positive:
Negative:
Individual Goals. Positive:
Negative:
Technical Subsystem
Knowledge. Positive:
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Negative:
Techniques. Positive:
Negative:
Facilities. Positive:
Negative:
Equipment. Positive:
Negative:
Psychosocial Subsystem
Human Resources. Positive:
Negative:
Attitudes. Positive:
Negative:
Group Dynamics. Positive:
Negative:
Leadership. Positive:
Negative:
Structural Subsystem
Tasks. Positive:
Negative:
Work Flow. Positive:
Negative:
Authority. Positive:
Negative:
Procedures. Positive:
Negative:
Managerial Subsystem
Goal Setting. Positive:
Negative:
Planning. Positive:
Negative:
Organizing. Positive:
Negative:
Take a few minutes to consider how the various parts of your organization depend upon and influence
each other.
There is a tendency among many people and often among leaders to focus on their immediate
surroundings to the exclusion of the rest of their environment. Becoming a systems thinker can help
leaders anticipate problems and produce better plans. As your leadership responsibilities increase, the
systems approach can help you see the big picture. It promotes the strategic perspective that can be
valuable to middle managers and executives.
The systems approach can also be applied to understanding organizational culture. Attitudes and
behaviors at every level and in every subsystem of an organization impact its personality. The culture or
personality of customer service people influences both customers and others within the organization. A
spirit of service and teamwork in staff sections such as personnel and finance can influence attitudes
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throughout the organization. Whether you are a supervisor, middle manager or executive, thinking in
terms of systems can help you be more effective.
Chapter Summary
A system is a collection of parts that interact with each other to achieve a set of organizational goals. The
various subsystems influence each other. This influence can be intentional or unintentional, planned or
unplanned, positive or negative. It is the leader‘s job to plan and make decisions with this in mind. If one
part of the system is modified, removed or changed in any way, the entire organizational system is likely
to be changed.
The systems approach helps leaders look at their organizations from a broader perspective. Organizations
used to be more vertical and hierarchical. Today they are flatter and therefore the subsystems interact
more frequently and often more powerfully. Now, more than ever before, the successful leader must be
able to see beyond her team or department and anticipate how interactions with other parts of the
organization may impact the entire system. Being aware of these interactions and their influences can lead
to improved leadership and productivity.
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1.6 Leadership Styles and Situational Leadership
Leadership was once seen as a rather monolithic entity. There was one view of how to be a good leader. If
everyone subscribed to that model in all situations, it was believed, they could be effective and successful
leaders. Traits were very important. If a leader acted in a certain way, he or she was supposed to be
successful. Unfortunately, this was often not the case. That one style and set of traits did not work in
every case. In recent years we have learned that styles of leadership are centered on a balance between
task and relationship. The authoritative leader focuses more on the task, while the participative leader
leans more toward relationships. Often, this was seen as an ―either-or‖ choice. Leaders who focused
heavily on task were often considered hard, crusty or impersonal. On the other hand, those who
emphasized relationships were considered to be soft, or easy. Recent developments in leadership thought
and numerous observations of successful leadership have found that the leadership equation is more
complicated than that.
Jim and Marsha had another talk about leadership. Let‘s listen in.
Marsha: (With a bewildered look on her face) Jim, I have been told countless times over the years that
good leaders are fair with their people!
Jim: That‘s a fair statement. Are you having trouble being fair?
Marsha: Yes I am. Although I‘m very busy, I try to treat all of my people the same, but sometimes I feel
like they resent me for it. When I give people jobs to do, I make sure that I give the same amount of detail
to each person. That way, I make sure they know what to do and they don‘t think I am playing favorites.
Jim: So you give detailed instructions to everyone, regardless of experience.
Marsha: Well, I recognize that the old hand doesn‘t need as much guidance, but I don‘t want to belittle
the new person either. I am really busy most of the time, so I have a short checklist to make sure I don‘t
forget anything.
Jim: Marsha, you get a ―well done‖ for being diligent. Now, consider this. How would you feel if your
boss gave you a mission for your team to accomplish and then took ten or fifteen minutes to tell you the
details of how to get it done?
Marsha: Of course, I want his ideas, but I don‘t need him to tell me how to do things, especially if I have
done them before. But it‘s not the same for me. I have fifteen people to supervise, and I don‘t want them to
think I am playing favorites. Besides, I have some strong opinions on how things should be done. I know
how to do most of their jobs just as well as they do.
Jim: Let‘s take a minute to review the bidding on this. Would you say that your people have varying levels
of work maturity and experience?
Marsha: I guess so. (Her eyes look to the ceiling.) Yes.
Jim: Would you also say that some of the tasks you have can be properly accomplished in several ways –
other than the ―Marsha approved‖ manner?
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Marsha: Sure, but …
Jim: (Raising his hand with a coy smile.) Hold on a minute! You complain about being busy and yet you
insist on giving the same kind of supervision to each person. You could save yourself a lot of time and
stress if you spent less time giving detailed directions to the ―old hands‖ as you call them. If there is more
than one way to get a job done, does it really matter which one they pick as long as the end product is a
quality one? You could be coaching or training some of the others to be more competent, and eventually
they would become ―old hands‖ and need less of your attention. In a manner of speaking, you do a
disservice to your people when you don‘t recognize their differences. Each has a different time on the job,
different experience level, and different interests and talents.
Marsha: (Breaking in.) But I thought a good leader pays attention to detail and keeps her fingers on the
pulse of the organization.
Jim: Marsha, it seems to me that you have a mental picture of the best way to be a leader and you want to
apply that to everyone regardless of their work maturity and experience. Of course you are busy and
probably stressed out. You are trying to be everywhere at once and giving the same level of supervision to
every team member. Consider the potential advantages of becoming a Situational Leader! (Jim paused to
let that statement sink in.) I am going to give you two pieces of advice. First, let your old hands know you
trust them by treating them like old hands. The newer, less experienced people need more attention. They
will be pleased that you are helping them to grow in their jobs. Second, read Ken Blanchard‘s great little
book called Leadership and the One Minute Manager. It explains that there are basically four levels of
maturity for you to consider as you decide how to relate to each of your people.
Marsha: Jim, I don‘t have much time to read text books on leadership.
Jim: This book is barely 100 pages and I promise it will save you time and make you more effective as a
leader.
Marsha: What you have said about different skill levels makes sense, and if it can save me time. Maybe in
the long run it will be worth it. Thanks, Jim.
Authoritative leaders are task oriented and get some jobs done very well. They make quick decisions and
perform well in crisis situations. On the other hand, they may create employees who feel dependent and
submissive. Employee innovation can be intimidating to a leader. Increasingly open communications
from employees can become risky. The authoritative leader restrains these.
The participative leader usually has a happy crew, but the task is often ignored. Employees have
considerable freedom and better communications, but the organization may lack direction.
These are two extremes. In truth, neither is good or bad, but neither will be effective in every situation.
There is a need to consider each situation before determining what leadership strategy will work best for
it. Rather than having a rote response based on a particular leadership style, consider the advantage of
being flexible enough to employ any one of several leadership strategies purposefully based on an
understanding of the particular situation you are addressing. The successful leader will act in a certain
way to achieve a specific purpose. There may be times for you to be forceful and persuasive, but there
may be other times when it is more appropriate to hang back and see how things develop. In every
situation, the leader can choose which strategy to employ.
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As Jim was explaining to Marsha, the essence of situational leadership is to evaluate each situation and
determine the best leadership approach or strategy to apply. Effective leaders learn to assess the
experience and task-maturity (or readiness level) of an individual or a team, then consider the specifics of
a given situation and determine a strategy appropriate to that combination. Would you treat a new
transactional worker who has been at the job two weeks in the same way as you would treat one who has
eighteen months on the job? Would you use the same decision-making technique in an emergency that
you would in a strategic planning session? Obviously, different situations require different approaches.
The successful leader must be able to evaluate a given situation and determine what approach is best. 20
Leaders at various levels within the organization may tend to use certain strategies more than others. An
executive leading a meeting of functional vice presidents or regional directors must recognize the maturity
and experience of those in the meeting.
Look at the model below. As the experience and readiness level (R) of the individual increases, the degree
of direction from the leader changes.
Situational Leadership
High High Task
Relationship & High
& Low Task Relationship
Relationship Behavior
Participating Coaching
S3 S2
S4 S1
Delegating Telling
Low High Task

Relationship & Low
& Low Task Relationship
Task Behavior
Directive
Follower Readiness
Able and Willing Able but unwilling Unable but Unable and unwilling
Confident Insecure Willing or Confident Or Insecure
R4 R3 R2 R1
Follower Directed Leader Directed
Source: Hersey/Blanchard
Fig 15
Look at the four strategies and the situations in which they might be used. The variables on which we are
focusing at this point are Task Behavior (based on Readiness Level) and Relationship Behavior (various
levels of interaction from the leader). Notice that as readiness or task-maturity level increases (R1 being
low and R4 being high) the type of relationship behavior on the part of the leader changes (follow the bell
curve). Each combination of variables creates a new strategy.
The lines drawn on this graphic are not intended to suggest sudden changes. Neither leadership
approaches nor people change so dramatically. Who would say that on May 31 Les was at R2, but on June
1 he became an R3? As leaders, we guide our people and help them develop their maturity levels.
Gradually, we will adapt our approach to leading Les as his maturity grows. While he may be an R3
regarding this task, he may still be an R2 at another. As leaders, we respond accordingly.
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Application of Situational Leadership to Individuals
We will begin by looking at how the leader relates to individuals. Later, we will address leader/group
interactions. Every situation that a leader confronts is essentially different. Each must be assessed by the
leader and evaluated in light of several variables. This is an assessment of ―follower readiness‖ for the
specific task (situation) at hand. The ―R‖ factors in the model refer to levels of employee readiness or
task-maturity. Although no two situations are exactly the same, for simplicity sake, Hersey and Blanchard
have created four readiness or developmental levels.
―R‖ factors are evaluated by the leader using three variables: ability, willingness, and confidence level.
This evaluation is the first step in the application of Situational Leadership.21
At Readiness Level R1 the employee is ―unable‖ which means a lack of skills or knowledge. ―Unwilling‖
implies a lack of confidence or motivation. At Readiness Level R2 the employee still lacks ability (some
skills), although this skill deficit may not be as fundamental as at the R1 level. Willing but unable implies
that the employee has grown in confidence and an awareness of a support system (willing). However, the
―unable‖ refers to a lack of necessary skills.
Readiness Level R3 (Able) is an improved level of skills and ability. Employees tend to be more capable
(usually due to experience and training). However, because of higher expectations on the part of the
leader and the organization, they may be classified as ―unwilling.‖ These higher expectations contribute to
a lack of confidence. It does not imply unwilling as in not wanting to do the work, but rather hesitant to
assume the responsibility. This is why the leader must exercise a greater relationship effort. Finally, at the
R4 level the employee has matured to the point of possessing the skills (able) and the confidence (willing)
to handle the situation with minimal supervision.
Think about the individuals currently on your team. In some situations they may be R2s but in others they
may be R3s, or some other combination. Later, these descriptors of readiness will be applied to groups
rather than individuals; however, the principle will be the same.
Although the terms at the left and lower axes of the model may seem obvious, let‘s take a minute to
ensure they are clearly understood. Hersey and Blanchard say Task Behavior is ―the extent to which
leaders are likely to organize and define the roles of the followers.‖ When a leader is engaged in ―high‖
task behavior, such as in the TELL strategy, he or she pays much attention to the details of the activity. In
―low‖ task behavior, the leader leaves the details to the individual. Relationship Behavior is a little more
complex. Hersey and Blanchard say it is ―the extent to which leaders are likely to maintain personal
relationships between themselves and individuals.‖ In both the Tell and Delegate modes leaders minimize
their relationship behavior, but for very different reasons.
TELLING (S1). In ―tell‖ situations, the leader recognizes that the individual transactional worker is not
equipped to perform the task without detailed instruction. Any decision required has already been made.
The situation may require new skills or perhaps knowledge that the individual does not currently possess.
The leader evaluates ―follower readiness‖ as R1. The individual is unable, and unwilling or insecure.
Under these conditions the leader may issue orders or directives. Communications is one-way – from the
leader. No feedback is needed or wanted.
Here, the leader must be seen as knowledgeable and confident. The employee should be ready to respond
with speed and enthusiasm. Remember, Marsha tended to treat all her people the same way. She did not
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take time to evaluate their readiness level. Jim encouraged her to assess each situation and determine what
the best leadership strategy might be for each person in a specific situation.
COACHING (S2). In this type situation the decision has also been made. The leader evaluates ―follower
readiness‖ as R2 -- willing but unable. (R1 people have gradually developed. The leader has probably
been gradually reducing task orientation and increasing relationship behavior.)
Although the leader remains quite directive, there is an advantage to ensuring the employee understands
the logic behind the decision. Sometimes a policy change or other decision is to be transmitted to an
individual. The individual may be resistant to the change, or the task may be one that is unfamiliar. The
task may require explanation and some supervision. In any event, the leader believes that by sharing the
reasons for the decision and perhaps answering a few questions, employee acceptance and cooperation
will be enhanced; hence, an increase in supportive behavior from the leader.
In this situation, the leader is truly an influencer. The individual is more mature than in the ―tell‖
situation. He or she may possess more, but not all, of the needed skills and, therefore, is still considered
unable. The leader understands the logic behind the decision, is willing to share that information, and is
comfortable answering questions about the task.
In these situations, the leader may perceive that there is a disconnect between the team goals and those of
the larger organization. Employee understanding and acceptance of the rationale will promote execution
and hopefully increase productivity. This requires a leader with excellent communications skills and who
has the confidence of the individual employee.
PARTICIPATING (S3). When considering the PARTICIPATING and DELEGATING strategies the
decision usually has not been made. In order for the ―participating‖ strategy to be selected, the leader
evaluates ―follower readiness‖ level as R3 -- able but unwilling or insecure. Although the skills are
present, the employee may be hesitant to accept greater responsibility.
In ―participating‖ situations, the leader may have a preconceived idea about how things should go, and
retains the right to make the final decision! However, the leader sees advantages to getting input from the
individual in order to improve the quality of the outcome. By participating, the leader and the individual
employee become a problem-solving team.
This strategy is characterized by a highly supportive leader with the patience and facilitation skills needed
to work as a collaborator with the employee. It requires a fairly mature individual contributor who should
have the experience, knowledge and skills to deal with this particular situation.
For this strategy to work consistently the organizational culture should promote risk taking and
innovation, and the leader should be genuinely open to employee input. Increased trust, honesty,
confidence and improved communications can all be by-products.
DELEGATING (S4). Now we are talking about a really task-mature individual in whom the leader has
supreme confidence. The decision has not been made, and, in fact, the leader is willing to accept whatever
decision the individual selects. The ―follower readiness‖ level is clearly R4 -- able, willing and
confident.
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By ―delegating‖ the leader demonstrates confidence and exercises very little direction. It is essential that
responsibilities and decision-making parameters are clearly set and understood. The task and the
expectations of the leader must be crystal clear.
It is an interesting turn of events that the most task-mature and confident individual requires the least
interaction and involvement from the leader. Relationship behavior on the part of the leader is low. The
leader does not ignore the employee, but demonstrates confidence by not closely supervising while being
available if needed for consultation. This is because the leader wants to send a message of confidence and
trust to the employee. It is important, however, to remember that a particular employee may be rated R4 at
one task but not at all other tasks.
Coaching and development of individuals is an ongoing effort. We as leaders are constantly evaluating
and developing our people. New tasks or new technology may put an employee in the R1/S1 mode until
they can be mastered. Look at the Situational Leadership model above. An employee may be at several
places along the bell curve simultaneously depending on the leader‘s evaluation of his or her task maturity
for a specific task or situation.
You have chosen a particular strategy for several good reasons. You have evaluated the task and the
circumstances surrounding it. You predict that the quality of the outcome will be good because you
believe the employee is ready to perform the task with the leadership strategy you have selected. A part of
any task or project can be developmental. As you coach, train and develop each employee you are moving
that person along the bell curve as far as that task is concerned.
There you have it. Whatever your leadership style or personality, one of your most important attributes as
a leader is your ability to be flexible about how you approach various situations. After all, if there is a
dangerous safety situation, you are not about to ask individual employees for their opinions before you
decide what to do. It is clearly a ―tell‖ situation. Other tasks will require separate evaluations. As a leader,
you are now armed with the ability to evaluate any task, problem, or situation and decide which strategy
will yield the best result. You will be making a purposeful choice. You are open to a variety of leadership
solutions.
As you take time to digest what you have learned about Situational Leadership and how it applies to
individual members of your team, take a look at the short situations described below. Remember that your
first thought should be to determine (diagnose) the readiness level of the employee. Then, decide which
leadership strategy you would employ for each situation. Make notes in the space provided. Try to put
yourself in the employee‘s place. You want to get the task accomplished while making an effort to
develop confidence, knowledge and skills in your team member.
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Situational Leadership Activity
(Individual)
Case 1
George came to your organization approximately six months ago. After an initial burst of energy his
productivity began to drop and has not improved. He has participated on several work teams and has
been successful when his role is clearly defined. In his everyday work he has to be continually reminded
to have tasks completed on time.
Diagnose George‘s Readiness Level: R _____.
Your thoughts.
Which strategy would you choose? ________.
Case 1 Solution
Diagnosis = Low Readiness (R1)
Leadership Strategy = Telling. George is at a low level of readiness, not only in terms of willingness, but
also in experience. His productivity is decreasing, but clarifying roles with him has helped in the past.
Case 2
Susan has been a star performer on your team for several years. Recently you have noticed that other
members of the team have started avoiding working with her or going to her with questions. Even though
you have a fairly tenured team, she is your most qualified person and frequently acts as a mentor to
others. She has worked well with others until recently.
Diagnose Susan‘s Readiness Level: R _____.
Your thoughts.
Case 2 Solution
Diagnosis = High Readiness (R4)
Leadership Strategy = Delegating. Susan is at a high level of readiness and has demonstrated the ability to
maintain goals and interact with others. Unless things escalate, you should consider letting Susan work
out the issue with the team.
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Case 3
Your organization recently approved a new change that will affect Frank more than the others. He is one
of your more tenured employees. He understands the importance of the change, but has often resisted the
changes that he does not initiate. He is one of your better performers.
Diagnose Frank‘s Readiness Level: R _____.
Your thoughts.
Case 3 Solution
Diagnosis = Moderate Readiness (R3 to R2)
Leadership Strategy = Participating or Coaching. The decision has been made. Get Frank involved in the
change, but don‘t turn it over completely. Monitor the progress and be prepared to Coach if necessary.
Case 4
Karen has been with your team for six months. Her performance is improving and she responds well to
one-on-ones with you where you review her roles and standards.
Diagnose Karen‘s Readiness Level: R _____.
Your thoughts.
Case 4 Solution
Diagnosis = Low to Moderate Readiness (R2)
Leadership Style = Coaching. Karen‘s potential for development is clear. You should be sensitive to your
roll as mentor and developer. Encourage her to ask questions and be prepared to answer them.
As you apply the concept of Situational Leadership, you are also developing a relationship with each of
your people using the fundamentals of leadership described above. Regardless of your level of
responsibility within the organization, you will be confronted with situations requiring that you assess
individual readiness and lead in a way that is compatible to individual skills and experience. It is within
the context of Situational Leadership that you will apply skills and tools, such as delegation, problem-
solving, and motivation.
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Application of Situational Leadership to Groups
Now that we have looked at how Situational Leadership applies to individuals, we can turn to how it may
be applied to workgroups or teams. A team is a group of two or more people working together to
accomplish a common goal. As a supervisor, your work group may be the team you supervise directly. As
a middle manager or executive you continue to lead groups. They will often be comprised of other leaders
and managers or possibly functional or regional directors. Although it is essential for you as a leader to
relate to individuals, it is also very important for you to recognize that your effectiveness is tied closely to
your ability to build a team that can produce outstanding results with minimal waste. Your effectiveness
and ultimate success will be connected to your ability to assess your group‘s readiness in light of specific
situations.
The above Situational Leadership Model, and especially ―follower readiness‖ can be used to help choose
the best leadership strategy to select for a particular group under specific circumstances. As with
individual application, the first step is to assess the ―R‖ level of the workgroup. This involves your
familiarity with the technical competencies of the group as well as its cohesiveness and its maturity as a
team. Then, the same general guidelines apply.
A new team or one unfamiliar with the task or lacking confidence may require you to use a TELLING
(S1) strategy. A slightly more mature team (R2) could benefit from a COACHING (S2) approach in
which you as the leader are more supportive through a stronger personal relationship. An R3 group will
require your participation -- PARTICIPATING (S3), but less detailed direction from you. Finally, the
most mature and confident group will most likely perform best if you give them the task or project and
leave them to solve it. This requires a DELEGATING (S4) strategy. It should not imply that you give
them the task and abandon them. They should know that you are available for guidance and support.
When applying Situational Leadership to workgroups, ―time‖ becomes a more critical factor. Here we are
not referring to the leader‘s time. Rather, we refer to the time available to accomplish the task or project.
Time available is one of the factors the leader should take into consideration when evaluating a situation
and selecting a leadership strategy. As time available increases, the strategy that is most appropriate may
be impacted. When time is minimal, for example in an emergency, immediate decision and action are
required. In situations such as this, the TELL (S1) strategy may be the most appropriate. Likewise, in
some training situations the schedule is tight, and time is at a premium. As time available to perform the
task increases, other options may be considered.
In a situation where more time is available for discussion and encouragement, COACHING (S2) or other
strategies may be considered.
When the leader is considering a PARTICIPATING (S3) strategy, time is important from several
perspectives. Certainly this type of team action requires more time available for the project than telling or
coaching. The participating strategy has the value of generating innovative solutions and improved
performance; however, this strategy can also present an excellent opportunity for the leader to train and
mature the group and move it on to higher levels. This can be time consuming, but it is undoubtedly part
of a successful leader‘s responsibility.
Here is an example of a situation requiring a participating strategy. Your department manager has asked
you to develop a training program for new interns. You have at least two months to present a finished
product for her review. Your team is comprised of fairly experienced people; several of whom began their
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employment as interns. They work well together as a team and you believe that as a group they are at the
R3 level of task maturity. You have seen several interns come through the department and you have some
definite views on the process; however, you are a strong believer in synergy and you believe your team
members can make a valuable contribution. You ask for volunteers to form an ad hoc group to develop
the training program. This will be open to the entire team. The department head has authorized some
regular work time as well as overtime for the project. You will chair the group, but you make it clear that
you want them to be open and honest with their opinions of how interns need to be trained in order to give
them the best possible start in the organization.
Time is available for the group to work on the project. They have the experience and interest to address
the issues involved. You want to be involved, but you also want the group input. The Participating
strategy will work here.
DELEGATING (S4) generally requires a significant amount of time available for the project. There must
be enough time for the group to become involved. The problem should be large and complex enough to
require the attention of the group. This usually demands time for meetings, data collection and analysis.
Time available is important, but it is not the sole determinant in making a decision which strategy to
apply. Although time available may be abundant, if the team is not mature enough to accept the
responsibility, then participating or delegating will not be considered an option by the leader.
A delegating strategy requires that the leader have supreme confidence in the team. This means that you
believe they can organize and manage the problem-solving process independent of you. It would be
counterproductive to give them the task or project and then ―hover‖ over them to ensure they do it the
way you want. Before choosing this strategy you will want to reconcile yourself to accept whatever result
the team produces. For this reason it is very important to ensure that you clearly outline your expectations.
A superior outcome is what you want. How they get it will be up to them within the parameters you set.
As we continue to discuss Situational Leadership in workgroups, let‘s briefly revisit the ―Decision
Making Continuum‖ discussed above on page 18.
Leadership Continuum
Traditional High Performance
Management Leadership
Use of Authority
by the Management
Area of Freedom
For Employees
Manager Manager Manager Manager Manager/ Leader Leader

Makes “Sells” Presents Presents Leader Defines Permits
Decision Decision. Ideas and Tentative Presents Boundaries. Employees
And Invites Decision, Problem, To redesign
Announces Questions. Subject Gets Work within
It. To change. Suggestions, Established
Makes Boundaries.
Decision.
Fig. 16
The Decision Making Continuum provides a visualization of the relationship options that a leader has
with a workgroup. It is a linear presentation of the leader‘s options beginning with a highly directive
approach (far left) and gradually migrating toward a more participative approach. Keep in mind that,
based on the Situational Leadership Model, there is no single best approach. The leader‘s mandate,
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however, is to develop the group to a readiness posture that facilitates participating and delegating.
Doubtless, there will always be times when telling and coaching are necessary and appropriate choices.
As the leader makes these choices, the focus is on development of a highly effective team that will
achieve organizational goals.
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NOTES
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Situational Leadership Activity
(Group)
Below are four short case studies the will give you a chance to apply the Situational Leadership concept in
a workgroup or team setting. For each, consider the situation, evaluate the task-maturity of the group,
evaluate whether the organizational culture will be supportive, and your own relationship with the group.
Then, make a diagnosis of your team‘s readiness for the task or project, and select a strategy: Tell, Coach,
Participating, or Delegating.
Case 1
Your organization has been working a traditional 40 hour week (five days) as far back as anyone can
recall. The new agency head has been considering ways to improve employee morale and increase
efficiency. The HR folks have suggested that moving to a new four day week might be a good option. The
department director has said your team could adopt this new approach if you wanted to. You know that
your team has talked casually about it. There are some gnarly problems that would have to be straightened
out before it could be tried.
You have been in your position for two years and you have confidence in your people. Most of them have
longevity and experience doing their jobs and dealing with company bureaucracy. It is a pretty cohesive
team that has tackled other problems successfully. You are content with the present work routine, but feel
you could easily adapt to a new one. If you want to try this new scheme you have to submit the plan
within a month. All the ―what ifs‖ need to be ironed out. There is a large inventory project coming up in
about six weeks. This change, if implemented, will not impact on other groups.
Which leadership approach would you select and why?
Case 1 Decision is not already made.
Situation: Time available is not an issue. This is an unusual requirement.
Group: Your team is capable of making the decision.
Culture: This has the blessing of higher management.
You: You have confidence in your team and are willing to accept their decision.
Diagnosis: High Readiness (R4)
Strategy: Delegating.
Case 2
Your team has been given the job of performing an in-house inspection for another team whose
performance has been substandard. Your team has an excellent record and because of that you have been
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directed to inspect and ―straighten out‖ the work of the other team. It is an unpleasant task that will
require some unwanted overtime for your people, but your team has been given the task. In addition, they
will have to maintain their own workload. Your team is fairly confident in their normal work, but they
have never done this sort of thing before. This is part of an overall effort of the organization to raise the
standard of the services it renders to the public.
Your people are complaining and, although you are flattered that your boss has selected your team for the
job, you know it is a burden on them. You have been the team leader for a while and you have a pretty
good relationship with the team members. They listen to you. You know that the other team may be
somewhat resentful of your team coming in ―to help.‖
Which leadership strategy would you adopt? Why?
Case 2 Decision already made.
Situation: This is a mandate from higher up.
Group: They are fairly competent but they feel abused.
Culture: There may be some inter-departmental resentment.
You: You feel confident that they respect you and will listen to you comments.
Diagnosis: Moderate to Low Readiness (R2)
Strategy: Coaching.
Case 3
You have been temporarily pulled out of your position as team leader in the budget office to train a group
of eight newly hired employees in the duties and techniques of customer service. They have received
initial orientation, but nothing job-specific. You were once on a customer service team and know the in‘s
and out‘s of being a good Customer Service Representative. You will spend two weeks in the classroom
and then give on-the-job supervision for another week. Their jobs are complex and quite demanding
because of your sophisticated products and services.
What leadership strategy should you use for the first two weeks?
Case 3 The decision has been made.
Situation: Training new and inexperienced people.
Group: New people with little knowledge who need training.
Culture: New hires open to being told. Little or no preconceptions.
You: You are totally equipped for this assignment.
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Diagnosis: Low Readiness Level (R1)
Strategy: Telling.
Case 4
Because of the outstanding record your team has had with customer satisfaction, you have been asked by
members of top management to develop a new procedures handbook complete with helpful hints for the
entire division to use. The belief is that your team is doing some things that are highly effective, but have
not been institutionalized. You know of several small things that your people have been doing, but
certainly not enough to write a handbook. You suspect that there are many more.
This team was already above average before you took over a year ago, but with your energetic approach
and inspired leadership, they have become ―the best.‖ They have demonstrated pride in the total
organization, and they work well together. You have up to three months to put the handbook together in a
rough draft. Professional publishers will take it from there.
Which of the situational leadership approaches will you use and why?
Case 4 The decision has been made to write the handbook. What to include is not decided.
Situation: There is plenty of time.
Group: They have the knowledge, experience and dedication to do the job.
Culture: The team is proud of the organization. They are high performers.
You: You are confident in the group and you need their input.
Diagnosis: High Readiness Level (R4)
Strategy: Delegating or Participating, depending on how much control you wish to retain.
Your roll as a leader is to achieve organizational goals while developing your workgroup. It may begin as
a collection of individuals, but your job is to steadily and persistently make it into a TEAM. That team
will become increasingly high performing as you demonstrate a heart for people and a desire to see them
succeed.
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Chapter Summary
People and situations are not static. Training, experience and general development change people. While
situations are often similar, they are rarely identical. Varying situations present challenges and
opportunities for leaders at all levels within the organization. There is a constant struggle or competition
between task and relationship. The leader has the challenge of finding the proper balance in every
situation. Knowing yourself and knowing your team can make the difference in how well you apply
Situational Leadership.
The leader‘s response is rarely all task or all relationship. The kind of emergency situation that requires
total and complete focus on task does not happen often. As the leader evaluates the readiness or R Factor
of an individual or a group, there is also a requirement to understand and select what kind of task and
relationship behavior is appropriate for that situation. Task behavior need not be for the leader to provide
high structure and detailed directions, although that may be an option. It may be simply to ensure that
people have the resources and support they need to accomplish the task. Relationship behavior need not
be doting and pampering. It may simply be ensuring that people know they are appreciated and trusted
and that they have someone they can count on when they need help.
Evaluation of the individual or group readiness or task maturity is the first essential step in the Situational
Leadership process. This requires the leader to have a thorough knowledge of the team and its members.
How long have they been on the job? Are they capable of independent action? What kind of performance
have they had up until this point? Knowing the answers to these questions will be vital to the process.
As you consider various strategies for a given situation, there are two factors that should be considered
early in the process. First, has the decision been made? If it has, then participating and delegating will
usually not be options. This is not to be over-simplified. In Case 4 concerning the new procedural
handbook, the decision had been made to develop the handbook; however, the decision as to what it
should contain and how it should be complied had not been made. Therefore, participating or delegating
were considered. The second factor that should be considered is time. A short time fuse may require a
leader to ―tell‖ simply because there is no time for any of the other options. As the time factor increases,
more options may be considered.
Become familiar with the Situational Leadership Model. It can be the path to greater options for you as a
leader. It can also be helpful to keep in mind that an individual or a group may be mature and completely
ready (R4) to perform one task or project, but be unprepared to perform another. That is why your
judgment as a leader is so important.
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Section 2: A Guidebook for Leaders
2.1 Supervisor Leadership
Introduction
Marsha and Jim set the scene for Supervisory Leadership.
Jim: Well Marsha, you have been in your supervisor position for over four months now. How is it going?
Marsha: Jim, I am finally getting my sea legs. I think I am beginning to get this leadership stuff down
pretty well. And I am following your suggestions, especially about listening and evaluating each situation
before I decide how to handle it. Now, I can spend a little more time on improving quality. You know,
focusing on the nuts and bolts of the business.
Jim: I know you want to improve quality, and that‘s really the bottom line. Consider this. Sometimes the
most direct approach ends up being the least successful. When you focus on improving performance, you
can miss another very important dimension of your job. If you focus on your responsibilities as a
shepherd and develop your people, the quality will improve and you will also be providing well grounded
future leaders for your organization. It‘s an indirect approach, but I have found it very successful.
Marsha: I want to do that, too, but I want to make a name for myself by improving production.
Jim: Marsha, I know you are ambitious and want to succeed. Your growth as a leader is at the heart of
your success. Have you considered how to delegate and coach your people in a way that prepares them
for increased responsibility?
Marsha: I know I need to do those things, but I haven‘t had time to actually plan the details.
Jim: Marsha, now that you have made the transition to a supervisory role, you need to look at the skills
and competencies that you will need to acquire before you move on to middle management. Your
development as a leader is a never-ending process. If you focus on improving productivity, you may get
some short term pops! If you take a less direct approach, you can train your people, build a successful
team, and show your boss that you want what is best for your organization in the long run.
Marsha: That‘s a tall order. Where should I start?
What do you think of Jim‘s advice? New supervisors often are eager to make changes and to get people to
improve their performance. This is a natural inclination. Surely, continuous improvement and improved
productivity are essential to the success of any leader and any organization. Jim was not suggesting that
these things are not important. He was saying that the best way to make real improvement in these areas
may be by a slightly less direct approach. Conventional leadership wisdom suggests that you need to take
charge, be more directive, and ensure that all your people are putting out one hundred percent. That
approach begins and ends with you. It de-emphasizes teamwork and synergy. We have found that good
leadership often involves just the opposite of conventional wisdom. Another approach to leadership
recognizes a few very fundamental facts.
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If I make my people successful, I will be successful, too. And, there will be someone ready to take
over when I move on.
If I help make my boss successful, I will be successful.
If I build a team that can work well together and produce above average work, I will be successful
with less personal stress and frustration.
If those who have led us in the past have treated us more like children rather than as mature adults, then
we in turn will be tempted (even driven) to follow that model. This approach to leadership can only take
you so far. It will not produce long term success and a successful career.
In a manner of speaking, it presents the indirect approach that Jim was telling Marsha about. Of course,
day-to-day operations must go on. Decisions need to be made, and problems need to be solved. As these
things are happening, successful supervisors are perfecting those skills and competencies that they need to
fulfill their potential as middle managers and executive leaders. We are suggesting that you consider
becoming the leader who conforms more closely to the shepherd; one who knows how to facilitate the
success of others. This requires both head and heart, and it does not happen overnight. It demands a
conscious effort to develop specific skills. Among these are:
Manage Emotional Intelligence. There can be no true success in leadership without emotional
intelligence. Supervisors must first become more emotionally self-aware and then help their team
members to do the same. Learn to avoid Emotional Hijacking.
Build a Healthy Environment. Understand the greater organizational culture and take actions to create
an open, honest and productive climate in which the team can reach maximum efficiency. This includes
the skills needed to develop new leaders as well as understanding union interactions and collective
bargaining implications.
Provide Discipline. Discern the difference between skills/training issues and motivational issues.
Develop positive discipline and responsible employees. Develop counseling and negotiation skills, while
increasing employee ―self confidence.‖
Leverage Diversity. Understand the nature of diversity and building on individual strengths while
respecting differences. The impact of individual and group values and norms is also discussed. What is
diversity and how does a person learn or develop skills in ―doing‖ it? What is the potential impact of not
discussing or acknowledging values and norms?
Build Productive Teams. Understand the fundamentals of group dynamics and learn to create a team
based on mutual respect and a common understanding of purpose. Generate and leverage synergy. Create
a productive team. Here, an understanding of self is essential to relating to others. Your goal as a
supervisor is to develop a high performing team capable of identifying and solving problems with
minimal reliance on you for help.
Communicate Effectively. Develop effective communications skills. Use all dimensions of the
communications paradigm to convey meaning efficiently. Focus on oral skills with emphasis on active
listening.
Resolve Conflict. Recognize the positive and negative impacts of conflict and stress on a group. Deal
effectively with interpersonal and inter-group conflict. Confront it and use it as a tool to develop people
and teams. Identify conflict management tools and strategies.
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Promote Customer Service. Demonstrate commitment to customer service and building productive
customer relationships. Identify all customers and recognize their role in the organization‘s purpose.
Balance conflicting requirements. Recognize that sometimes the customer needs help to understand what
is best. Understand Customer Relationship Management?
Motivate. Understand what motivation is and is not. Recognize values, responsibilities, control issues and
the role of reward and recognition. Develop the ability to correctly identify the difference between
training needs, motivational needs and systems support.
Coach. Accept responsibility for developing both transactional and leadership skills of others. Understand
the coaching process and recognize its importance within the organization. Become an effective coach.
Learn coaching, tools, skills and methods. Merge other competencies within a coaching framework, such
as Situational Leadership and Delegation.
Delegate. Understand the value of delegation. Learn to apply it as a training device as well as a function
of organizational effectiveness. Recognize that there are both good and bad ways to delegate. Recognize
the relationship between coaching and delegating.
Solve Problems and Make Decisions. Learn several options for problem solving protocols.
Acknowledge and learn to apply individual and group problem solving methods. Become familiar with
and utilize effective problem solving techniques, and learn to make decisions, when necessary, with
inadequate or incomplete information.
Effectively Manage Time and Meetings. Make time management a natural part of the leadership role.
Focus on doing the ―right‖ things. Understand how others try to manage your time. Take control. Plan and
manage productive and efficient meetings making the best use of everyone‘s time.
Support Change. See change as inevitable and positive. Plan for it and embrace it. Help others to deal
with the potentially negative impact of change. Demonstrate an understanding of change management.
This is quite a long list of competencies. They are not to be learned or studied in an academic vacuum. It
would be difficult to prioritize them or to suggest that one should be learned before or after another.
Ideally, you should become familiar with the list and the gist of each so that it can be referenced as actual
situations present themselves. This is a ―guidebook‖ not a text book. Each competency is presented to
give you the opportunity to apply the skills and techniques presented in its section.
You as a supervisor, play an essential role in your organization. You give names and faces to grand
designs. You provide the link between management and those who toil performing the intricate details of
organizational requirements. You translate the vision and policies of management into concrete actions
taken by those who actually get the work done. Leaders at all levels align, inspire and guide the activities
of their teams. For you to accomplish these functions you need these fundamental skills. You will want to
combine knowledge and effective behaviors to create a healthy and productive work climate. Remember,
however, that your success as a leader is no longer a matter of how much work you can do in a day or a
week. It is about how much your team can accomplish. Your ability to deal with people on a personal,
one-on-one basis is critical to this. Without honing your emotional intelligence you can not hope to be all
you can be as a leader.
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To accomplish this, you may choose to not to focus on your own success. Rather, you may find yourself
focusing on the success of others. Your team must know that you care about them personally. You have a
greater impact on them than does any other part of their environment. Second, you may begin to see your
peers as team members. Sharing information with them and sharing in their success can become
invigorating and satisfying. Finally, it is almost impossible for you to be successful if your boss is not
successful. This does not mean to ―kiss up‖ to him or her. It does mean to be honest and truthful with
praise and criticism.
In their book, First Break All the Rules, Buckingham and Coffman discuss ―what the world‘s greatest
managers do differently.‖ They boil down measuring the strength of a workplace to the twelve questions
discussed in Part I . As you develop the competencies needed to become the very best supervisor you can
be you will be able to relate those skills and competencies to these twelve questions. As you apply
techniques from this part of the guidebook, keep in mind that you want to create ―yes‖ responses to these
questions from your team members.
Each of the competencies listed above is discussed in one of the chapters that follow. They are not in
order of importance or in an order in which you must read them. First, skim them all. Become familiar
with their content. Use each chapter as a reference to help you address specific issues as they arise. Be
persistent. Really good leaders never stop learning.
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2.2 Delegation
What is Delegating All About?

Delegation is defined as assigning a team member or other leader specific responsibilities or tasks along
with the appropriate organizational authority. It enables the supervisor to accomplish things through
others. Many define leadership as exactly that; getting things done through others. Therefore, the
supervisor who attempts to be successful without using the tool of delegation may be missing some
powerful leadership opportunities.
Theodore Roosevelt once said, "The best executive is the one who has sense enough to pick good men to
do what he wants done, and self-restraint enough to keep from meddling with them while they do it."
Another highly successful leader said, ―I have tried to surround myself with people that know more about
business than I do. This policy has always been very successful and is still working for me."
Delegation may be the most important skill a supervisor can develop. In fact, teaching others to delegate
is a valuable skill multiplier, as well as a tool for training future leaders.
If delegation is such a valuable skill, why don‘t more leaders do it? Why do many supervisors actually
fight the concept? Sometimes it is a matter of ego. ―If I let my people do everything, I will appear to be
superfluous and risk getting the axe.‖ Sometimes it is a matter of prioritization and planning. ―It is easier
for me to do it myself than to take time explaining to someone else all I want done. Besides, no one can
do it quite as well as I can.‖
Why delegate?
Marsha: (With a look of frustration.) You said to delegate, but it just isn‘t that easy. To begin with, I am
still pretty new and I just don‘t want people to think I am laying off my work on them!
Jim: I understand. You are concerned that you will be perceived as taking advantage of your people. Let
me ask you a question. (Pause) Do you have a team member that has good potential to be a leader in the
future?
Marsha: Yes. Patrice Lumpkin. She does good work and seems eager to learn and to take on more
responsibility. But she does not have the knowledge to go off on her own. It would take me longer to guide
her through some of the tasks I need help on than it would for me to do them myself!
Jim: How do you expect her to learn? Part of your job is to bring her along and help her to be able to
assume more responsibility. I know that initially you will have to spend more time showing her what to do
than it would take you to do it yourself, but the second time she will be more prepared and you won‘t have
to be so involved. Ultimately, she will be a real asset to you and your team.
Marsha: That sounds good, but you still haven‘t dealt with my concern that she and the others will see me
as just palming off the work on someone them.
Jim: If you let Patrice know that you see her potential and want to encourage her, do you think she would
be pleased?
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Marsha: Yes, I think so.
Jim: (With a big smile.) Great! Then, explain that you were once in her position and that no one took the
time to help grow you as a leader. Tell her you‘d like to do that for her, but that it will require a little
more work on both your parts. (Marsha was about to say something, but Jim continued.) I am pretty
certain that she will get the word to the others that you are not just shifting the load to her.
Marsha: Then, won‘t some of the others expect … (She paused.) Oh, I see. We have just opened up the
door to more delegation.
Jim: That‘s right. And you have to be ready to handle that training mission. So, you‘d better read up on
the proper way to delegate, because if it is done incorrectly, you can create quite a problem for yourself.
Why delegate? In business and government today the environment is becoming increasingly complex.
Even leaders that have come up through the ranks are finding that technology and methods are changing
rapidly making it difficult for them to be ―the best‖ at every skill and task. By delegating, you can put the
most talented person on the job. Not only does the task get done correctly, but you have used leverage to
accomplish more. By delegating several such tasks, the leader‘s value to the organization is multiplied.
Every leader has a choice. 1) Do the work of one person, or 2) manage the work of several. What would
be your choice? The measure of a supervisor‘s effectiveness is productivity. Delegation permits a single
person to accomplish much, much more.
How effective would the President of the United States be if he had to do the work and make the decisions
of the Secretary of State, Attorney General, and Secretary of Defense himself?
Furthermore, the process of delegation is closely allied to coaching and leadership development. Good
leaders are eager to develop other leaders. They build an atmosphere of teamwork and trust within their
organizations. Delegation, well planned and executed, results in team members who are confident, willing
to take appropriate risks, and who respond well to change and new challenges. The payoff is success in
the form of increased productivity, mission accomplishment, and an organization with depth.
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In First Things First by Stephen R. Covey, the author compartmentalizes our activities. He establishes
four quadrants. Quadrant II is labeled ―Important but Not Urgent.‖ Activities in this quadrant (QII)
include preparation, planning, relationship building and empowerment among others. Unfortunately, most
of us spend far too little time on QII activities. We prefer to ―put out fires‖ which is a QI activity
(Important and Urgent). As you become a successful delegator your QII time will increase and you will
begin to grow as a leader. Your contribution to the organization will multiply.
Urgent Not Urgent
I II
 Crises  Preparation
 Pressing problems  Prevention
 Deadline-driven  Values
Important projects, Meetings, clarification
preparations  Planning
 Relationship
building
 True re-creation
 Empowerment
III IV
 Interruptions,  Trivia, busywork
some phone calls  Some phone calls
 Some mail, some  Time wasters
Not Important reports  ―Escape‖ activities
 Some meetings  Excessive TV
 Many proximate,
pressing matters
 Many popular
activities
Fig. 17
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Essentials for a Good Delegation Attitude
In the world of nano-seconds and global involvement, decisions and actions are occurring at a fever pitch.
Never before has there been such a need for ―quick turnaround.‖ In order for us to get things done quickly
and correctly, there must be a shared vision and a sense of trust and teamwork in which every decision
and action is taken to further the organizational mission and purpose. This means that, in the absence of
detailed instructions, individuals know what is best for the success of the organization and its customers.
This is precisely the atmosphere in which delegation thrives and makes its greatest contribution.
Some supervisors do not realize they may be fighting the problem. They may have reasons for not
delegating. Often, these reasons speak to the attitude of that supervisor. Here are some symptoms which
may indicate that you need to learn how to delegate more effectively. Do these describe you?
 No time for planning

 Not enough time to return phone calls and e-mails.
 No time to see people on business matters.
 Missed deadlines.
 Still do the job that got you promoted.
 Work nights and weekends. Have no time for yourself.
These reasons are not remote or unusual. Most of these leaders realize that something is wrong, but they
are too busy to step back and review the situation and begin to make changes. Appropriate delegation may
reduce personal stress in your life and may even save your marriage or prevent a heart attack.
The effective delegator has:
 A recognition of personal (own) limitations.

 An appreciation of the potential of others within the group.
 A willingness to take calculated risks.
 A desire to see others succeed.
 An ego that is willing to share success.
 Good judgment that leads to appropriate delegation.
Tom Peters says, to be successful, delegation must be considered in light of the following factors:
 Really letting go! This implies trust.

 Not taking it back – even inadvertently. Know where the Monkey is.
 Managing the delegation in the most productive way. By a) establishing a high standard, b)
developing commitment to a shared vision, and c) encouraging mutual faith and respect.
Delegation can not be effective without empowerment. Along with the responsibility delegated must
come the authority needed to accomplish the task! Leaders who fear the aggressive, success-oriented
employee may never be successful delegators, and therefore, they may not be supremely productive.
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Who’s Got the Monkey?
Patrice: Marsha, thanks for taking time to help me with the problem I have.
Marsha: What‘s going on?
Patrice: You gave me until the 12th of the month to get the review done on the Filbert Customer Service
question. I have started it two of three times, but just can‘t get a handle on it.
Marsha: Have you gathered the data you will need to analyze the situation?
Patrice: No, I was hoping you could give me some ideas about what data would be the most helpful.
Could you give me a list of information sources I can use?
Marsha: Sure, give me a few hours. I‘ll have some ideas for you by tomorrow morning.
Marsha, in an effort to be helpful, has allowed Patrice to place the monkey back on her shoulders.
In 1974, Harvard Business Review, authors William Oncken, Jr., and Donald L. Wass offered a
theoretical framework for seeing this delegation situation in its true light. In the article Who's Got the
Monkey? the authors tell the tale of an overburdened manager who allows employees to delegate upward.
When a supervisor takes an unsolved problem from a subordinate, the monkey (burden) is being given
back to the supervisor. As the monkeys accumulate, the supervisor‘s work load is increased. This added
burden detracts from the supervisor‘s efforts to develop her people. In the final analysis, the work is
probably not done as efficiently as it could have been and the team member is not trained to perform the
task.
Oncken and Wass offer a well defined basic law for managing monkeys. It is:
At no time while I am helping you will your problem become my problem. The instant your problem
becomes mine, you will no longer have a problem. I cannot help someone who hasn't got a
problem. You may ask my help at any appointed time, and we will make a joint
determination of what the next move will be and who will make it.
When and How to Delegate

To be an effective delegator implies having trust and confidence in the employee. You must also be
willing to give that person all the authority needed to accomplish the task being delegated, and willing to
take the risk that there is a possibility that something might happen to derail the action. Feeling secure
about yourself and your position enables you to make a calculated decision that the benefits of delegation
to yourself, the organization and the associate are worth the risks.
Before delegating, it is essential that you have a clear idea of what you want done and the ability to
communicate that vision to the employee. The decision to delegate must be judiciously made. You are
getting the job done, giving yourself valuable time to perform other functions, and developing an
individual into a more valuable member of the team. However, it is possible to delegate poorly or botch
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up the process. In that case, you might do serious damage to yourself, the organization, the individual, or
all three.
What tasks should be delegated?
There are tasks that the leader should or could do, but are excellent opportunities to delegate. Delegating
these tasks is a sign of confidence in your team members. Sometimes tasks normally done by senior or
more experienced employees might also be delegated to less experienced team members. It is good to
cross train. It is also prudent to spread the workload. Here are some other tasks that present good
opportunities for delegation.
 Repetitive matters. This assures the leader that someone else is prepared to handle that task
whenever it comes up.
 Minor decisions that must be made frequently. Obviously, this will alleviate a burden on the
leader.
 Time-consuming details. Things that have become rote, but which take up a leader‘s time.
 Parts of the job that you, the supervisor, are least qualified to handle. There are tasks at which you
may have at one time been competent, but are now rusty. Some tasks require a familiarity with
certain pieces of equipment or procedures that you lack.
 You can also delegate routine tasks, fact-finding assignments, analytical studies, preparation of
drafts of written material, and tasks that will challenge the team member‘s ability.
Remember, delegation is a tool for the leader, but not simply a way to lighten your workload. Delegation
is a wonderful training and coaching tool. Delegate things that do not ―demand‖ delegation, but will
impart new skill and knowledge to an employee.
Delegation can be a reward. Here it is essential to know your team members and what motivates them.
Many will react positively to a chance to prove their skills or to develop new skills.
A good leader delegates for a variety of reasons and does so often.
Which tasks should not be delegated?

Are there tasks that should NOT be delegated? Of course! Usually these are simply inappropriate.
Leaders do not delegate the job of terminating an employee. Some are the wrong tasks at the wrong time.
The same task may be right to delegate at another time or to another person.
Here are a few tasks that should not be delegated.
Highly personal matters such as discussions of evaluations, or the development of other employees.
Tasks for which the person is grossly under-trained or lacks needed skills. This can be counter productive
and demoralizing to the team member.
Terminations or performance counseling.
Tasks which (for a particular employee) may violate contract agreements or union policies.
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To whom should a leader delegate?
Selection of the person to which a task is delegated is an important issue. Delegation should not be a form
of punishment. Never delegate to someone you believe will fail. Match the person and the task. Assess the
person‘s chances of success. Does this person have the needed skills or can it be reasonably expected that
the person can acquire them as the task unfolds. Is the person willing to accept this assignment?
One of the strategies in the Situational Leadership approach is called ―Delegating.‖ (Refer to Part I on
Situational Leadership.) This does not mean that there can be no delegation unless the team member or
group is at a general Readiness Level 4 (R4). Delegation can be a viable training vehicle for most
employees provided the task is selected to be compatible with the employee‘s development. On certain
occasions, a task may be delegated purely as a training opportunity.
Unfortunately, the old saying ―Work a good horse to death,‖ often relates to poor delegation. Sometimes
when leaders find someone on whom they can rely, they tend to dump too many tasks on that person. This
means that one person may be overworked and may feel unappreciated, while others may miss out on the
training associated with being delegated new tasks.
Employees cannot be expected to take responsibility for work they have not been trained to do. An
effective leader starts out early by selecting people that can be trained to take more responsibility. This
training is done by first giving small amounts of responsibility to an employee or a team, and monitoring
progress.
Some supervisors may delegate when stress has gotten to a level beyond manageability. Others delegate
when they find themselves repeatedly stalling or avoiding specific duties. Successful leaders, however,
use delegation so regularly that it is, for them, second nature. When it is clear to you that others can do a
specific task faster and more proficiently than you – delegate. When a team member needs training or
coaching, consider delegation. When motivation or reward is needed, perhaps delegation is the answer.
In the words of Stephen Covey, "Twenty or thirty years ago, only 30 percent of the value added to goods
and services came from knowledge work. Now it's 80 percent. So if companies hope to survive, they must
empower people to think for themselves and draw on their experience and wisdom."
This is particularly true when ―service‖ is focused on knowledge work. Here are five points to consider as
you develop your delegation skill.
1. Make Yourself Let Go
For many executives, the path to more effective delegation begins with reexamining two basic
assumptions about their roles. First, many managers "continue to assume that it's faster and more efficient
to take on employees' problems than to teach them to handle their own," notes Patti Hathaway, author and
business adviser with the company The Change Agent, based in Westerville, Ohio. Second, "they believe
they know more than their direct reports do."
These assumptions, Hathaway says, only increase managers' desire to control problem solving and
decision making rather than empower their employees. To help counteract this, she encourages her clients
to think as leaders, not as managers. Managers, Hathaway advises, "manage details (for example, by
solving direct reports' problems). Leaders manage people by encouraging a sense of ownership and
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accountability among subordinates." By envisioning themselves as leaders, managers become more
comfortable and open to delegating tasks initially and to passing monkeys back to their owners.
Kyle Beaty, formerly First Vice President of Washington Mutual National Operations Center, agrees. "If
I'm micromanaging my people," he frequently reminds himself, "that behavior sends the message that I
don't need them."
2. Ask, Don't Tell
Letting go of problems is only as effective as the manner in which you delegate them. To that end, skilled
delegators know to ask questions rather than dictate orders. "Asking 'What do you think should be done?'
teaches people to come up with proposed solutions the next time they bring you a problem," says Joyce
Gioia, president of the Greensboro, North Carolina-based consulting firm The Herman Group. Additional
open-ended questions—such as "What do you think led to this problem?" "What are things we might
consider if we implement the solution you're proposing?" or "How did we handle this situation with
customer B?"—can reveal the degree to which subordinates have thought through their respective
problems.
As Edward Massood, president of MGM Transport in North Carolina, notes, "When I ask my people how
they plan to deal with a problem, we can then explore the ramifications of each idea and make sure we've
covered every important consideration." Massood has benefited immensely from using this approach.
"Before I started asking questions, people used to be lined up outside my door, and I was staying at the
office until seven or eight at night to clean up problems. Now they come to me less frequently. And when
they do, we resolve problems a lot more quickly because they've thought through several possible plans."
Florence Stone, editorial director at the American Management Association (New York City) and author
of The Essential New Manager's Kit (Dearborn Trade Publishing, 2003), recommends using silences in
addition to questions. Instead of responding immediately to what you're hearing, she advises, wait a
moment to give the person ample time to generate and evaluate ideas for handling the problem in
question.
3. Match Tasks to People
Managers can avoid taking on subordinates' monkeys by matching delegated tasks and problems to
individuals based on their assessment of each direct report's capabilities and development needs.
"Delegate in ways that enable people to stretch," advises Bette Price, a management consultant at The
Price Group (Chicago), "and treat mistakes as growth opportunities. Explain your assessment of each
member's capabilities so they understand why you're handing certain tasks back to them."
Covey emphasizes the power of delegating based on subordinates' deepest passions. "Find out what each
of your direct reports does best and loves doing most," he recommends, "then marry their unique talents
and passion to the job's needs. With passion, people don't need supervision: They'll generate creative
solutions to problems on their own."
4. Cultivate Independent Thinking
The more an employee thinks independently and feels a sense of ownership in his job, the fewer monkeys
he tends to bring to his supervisor. At Planterra, a Michigan-based interior landscape company, Director
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of Business Development Shane Pliska uses a "monkey rating" system adapted from the approach Oncken
and Wass described in their article.
"We ask employees to rate their problems on a number scale," Pliska says. "One means the manager
solves the problem; two means the manager tells you how to solve it and you follow up; three means you
propose a solution and ask for your manager's approval; and four means you take action and tell your
manager about it afterward." When people come to their supervisor's office, Pliska explains, the manager
asks, "What number is it?" To cultivate a sense of ownership, Planterra managers encourage employees to
make as many "four" decisions as possible.
Spencer Adamson, Senior Director of American Sales at Foster City, California based printing-equipment
manufacturer EFI, uses an even more streamlined version of this system. "I tell employees I want them to
make me aware of problems," he says, "but I also want them to come prepared with observations and
multiple suggestions for how they'll solve the problem."
To that end, MGM Transport's Edward Massood specifies three categories of expectations for employees:
"What their actual job responsibilities are, what knowledge I expect them to have, and how much
empowerment they have." This is an important point, experts note. You can't expect someone to solve a
problem if she's unclear about whether she has the authority to do so.
Interpersonal workplace problems—for example, a person complains about his boss to another
supervisor—present special challenges for managers. To avoid taking on that particular breed of monkey,
Kellie Wardman O'Reilly, Director of Membership and Marketing at the Greater Manchester (New
Hampshire) Family YMCA, holds people accountable for bringing complaints back to the original source.
"I ask them when they intend to confront the other person," she says, "and I follow up to make sure
they've done it."
5. Link People With Resources
Linking direct reports with the resources they need to solve a problem will also aid in reducing the
number of monkey-toting reports at your door. Think of resources in broad terms—as people, tools,
information, and developmental opportunities that can help employees resolve issues on their own.
Serving as a resource connector can be as simple as saying, "You need to talk to Joe in marketing."
Informational tools can also be valuable. For example, The Change Agent's Hathaway advises clients to
provide an intranet phone directory organized by department and function, not by name, for new
employees who don't know anyone yet but who need to know where to bring specific types of problems.
Some executives also establish mentoring systems. Bo Calbert, President of the Southwest Division of
McCarthy Builders in Phoenix, authorized his company's training group to develop a mentoring program
that matches senior leaders with new managers who need to master delegation skills. "People have raved
about the new insights they've gotten from the program," he says.
Michelle Van Dyke, Senior Vice President of Retail at Ohio-based Fifth Third Bank, leverages the power
of information. "I use e-mails and meetings to share information with employees about our industry, our
bank's strategic focus, and our financial performance. They need to know the same things I know if
they're going to make smart decisions and solve their own problems.‖
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The Delegation Process
A review of management literature reveals that there are several ways to outline the steps in the
delegation process. The number of steps range from four to ten, but there is no firm number. There are
four phases in the delegation process: assessment, delegation, monitoring, and evaluation. In the
HiPerf, Inc. model below, Assessment is divided into Preparing and Planning, thus yielding five phases.
Here is one way to look at the process. It is essential for the leader to have a mental picture of how the
delegation process unfolds in order to ensure that all the bases are covered. You may choose to create
your own set of steps.
A Process for successful

delegation
Prepare
•Objective
•Task
•Person
Plan
•Share Task
•Request Plan
•Open Discussion
Discuss
•Workplan
•Resources
•Deadlines Monitor
•Consequences
•Minimal Involvement
•Ask Questions
•Adjust
Recognize
•Feedback
•Reward
•Debrief
October 25 - 26, 2005 HIPERF, INC. 31
Fig. 18
Assessment. (Prepare and Plan) The first step in the process is not to holler out your office door, ―Hey,
you!‖ at the first person you see. The assessment phase is pre-work and much of it goes on in the mind of
the leader doing the delegating. Before defining the task, you should consider ―why‖ you are delegating.
What is your objective? Is it primarily a function of coaching or training? Is it something that has been
delegated before and is fairly routine? It is essential that you have your reason for delegating clearly in
mind.
Step 1. Define the task to be delegated.
a) Understand why it needs to be done.

b) Assess how complicated it is.
c) Visualize the result or outcome.
During Step 1 you must wear both an operations and a trainer‘s hats. Matching task to person is
extremely important. As you gather this information, you should consider the best way to present the task
and make an estimate of the time required to accomplish it.
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Step 2. Select a person qualified and willing to accept the responsibility.
a) Consider all possible candidates.

b) Be aware of individual workloads.
c) Balance the need to accomplish the task and the opportunity to train a staff member.
d) Evaluate experience and skills against the task, and determine if any preparatory training will be
needed.
e) Use your personal knowledge of individual interests and passions to aid in your selection.
Step 3. Anticipate the delegate‘s need for authority. Make provisions before meeting with her.
Delegation. (Discuss) This is the actual presentation of the task to the delegate and a two-way discussion
of your expectations. Every meeting or interaction with one of your team members ought to begin with a
conscious effort to maintain or enhance that person‘s self-esteem. Remember, it is essential that you
encourage participation in this meeting.
Step 4. Outline and discuss the task being delegated.
a) Explain the need for delegation – why it is important.

b) Share the results you are looking for. Include date for completion (deadline).
c) Explain the advantage or benefits to the delegate. (Inspire.)
d) Discuss the task in a general sense, and ask for the associate‘s view on the mission.
e) Present the authority needed to accomplish the task. E.g. Coordinating outside the department,
or clarifying spending limits.
Step 5. Confirm the delegate‘s understanding of the task and the time constraints.
a) Ask the delegate to describe the task.

b) Have the delegate provide a brief verbal sketch of how the task might be accomplished.
c) Ask the delegate to share any concerns or requirements for assistance.
d) Discuss the need (or not) for IPRs. Remember that they should be very brief and not an
opportunity for you to ―take back the monkey.‖
e) Talk with the delegate about a work-plan if the task requires one, and any need for resources.
f) At this time you might also discuss the consequences or what might be at stake if the project is
not completed on time or is not completed to standard.
g) Re-confirm the mission by stating, ―Then I can expect (state the task) to be completed with
(state results) by (state date and time). Right?‖
Monitor. This can be a ticklish area. Many leaders become impatient or nervous when they do not have
all the information they would like to have regarding a task they have delegated. The way the task is
―monitored‖ may determine the success of the delegation process.
Step 6. Be available, but not to solve problems or make decisions for the delegate.
a) Minimal involvement is the key phrase here.

b) Encourage the delegate to bring suggestions.
c) Ask questions, rather than provide answers.
d) Be sensitive to the delegate‘s concerns, but do not take the monkey back in whole or in part.
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e) Make adjustments if necessary.
Evaluate. There are several reasons for an ―after action review‖ of the completed task. One is to improve
your delegating skills. Another is to inform the delegate of successes and things that might have been
done differently or could be done better next time. It is a learning opportunity.
Step 7. Follow up. Provide feedback and recognition. Determine whether the results matched
your expectations.
a) This is an excellent chance to enhance self-esteem. Provide recognition in a variety of ways.

b) See it as a training opportunity.
c) Let the delegate talk and provide feedback on the process. Do not become defensive.
Initiating Delegation.
Your efforts at successful delegation are closely allied to your previous relationship with the delegate and
the culture of the organization. You must, nonetheless, meet the employee where he or she is and use this
interaction as an increment in the development of a strong relationship.
a) Focus on the future.

b) Encourage the employee‘s participation.
c) Create a climate of open communication.
d) Listen.
e) Have a clear vision of the task before meeting with the employee.
f) Use as few words as possible to describe the task and your expectations.
g) Be aware of non-verbals. Yours and the employee‘s.
Evaluating Your Success as a Delegator
Do You Need to Delegate?
An exercise.
 Make a list of those things you currently do, yet someone else could do.
 Decide to give up 20% of your role to others within your organization within a defined timescale
(1 – 3 months). 50% within a year. Value your time for what your strengths can uniquely provide.
 Check out your own, personal ‗nice-to-do‘s‘ rather than ‗need-to-do‘s‘. I.e. Is it something you are
choosing to do because you like doing it rather than it being important enough to warrant your
time and effort?
 Review how the extra time can be best used to accomplish the more challenging parts of your role
– especially regarding future goals and visions.
 Spot check that you are also enabling others to develop and remember that they may well require
clarity and coaching in new activities.
Consider this. Doing the 'stuff' you do, rather than achieving your true worth, may be escapism - it is
finding things to 'do' rather than thinking, creating, challenging and firing yourself up.
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So You Think You're a Delegator?
Answer each statement with the corresponding number using this code:
1 = always
2 = sometimes
3 = never
I find that my associates consistently look for ways to relieve the pressure that top management
faces without being asked.
I am free to ―think big‖ because my colleagues and associates handle all the daily operational
stuff.
As our agency continues to grow rapidly, I am totally comfortable letting go and putting others
in charge of pieces of my business rather than clinging to control.
I prefer to spend 30 minutes training an associate to do a new task rather than just doing it
myself in five minutes.
I say to an associate ―Let me show you how to do that,‖ far more than I think to myself, ―If I
don‘t do it, it won‘t get done right.‖
I look for opportunities to praise my managers for delegating to their associates.
Review you‘re answers. If your total score is 6-8, then you're an excellent delegator.
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Teaching Others to Delegate
A final note on delegation. Once you have become a habitual delegator, the job is not finished. Your
ultimate success is linked to the leadership skills of all the leaders and potential leader in your
organization. In order for your department or organization to be successful, it is essential that you train
other delegators. This begins with creation of an environment that promotes calculated risk. Errors, and
mistakes can and ought to produce learning and increased wisdom. It is up to you to establish a culture
that promotes innovation and a judicious amount of risk taking.
As you delegate, try to remember that you are getting the job done and training others at the same time.
Remain conscious of your role as trainer and coach. When you commit to being a delegator, let your team
know what you are doing. They may not be mentally prepared for this change. Have a meeting, class or
an impromptu gathering to walk through the delegation process with them. Encourage them to ask
questions. Draw them out. Explain the value of delegation. This may be a good time to consider using the
FIRO-B Instrument. Understanding ―expressed‖ versus ―wanted‖ behaviors could be beneficial to the
delegation relationship. (See FIRO-B in Part I.)
Most important of all, don‘t chastise people when results are below your expectations. Make your
criticism constructive. Encourage them to try again with tips from you. Remind them that everything your
organization does should focus on serving the customer. That should be the guiding vision of your
delegation and coaching efforts.
Conclusion
As a supervisor you are no longer evaluated on what you can accomplish through your own skills as an
individual contributor. The success of your team is your success. This requires a new focus. By delegating
appropriately and effectively you will build a team that is cross trained and primed for added
responsibility. Remember, ―shepherds‖ develop their people. As you perfect your delegation skills, you
will increase your ability to accomplish more for the organization.
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2.3 Coaching
Jim: (Singing in a vaguely familiar melody.) ―You've got to accentuate the positive -- Eliminate the
negative -- Latch on to the affirmative -- Don't mess with Mister In-Between.‖ 1
Marsha: I think I heard that somewhere, but what does it have to do with my problem?
Jim: You said you wanted to develop the individuals on your team. That old song lyric is a good starting
point. You have been working to develop trust among your people, and that is the first and most important
step in becoming a good coach. The next is to ―accentuate the positive‖ even when you are tempted to do
just the opposite.
Marsha: (With a slight grimace.) Jim, let‘s be realistic. When people screw up they need to be corrected
and sometimes that hurts, but it has to be done.
Jim: Much of that depends on your mindset. If your first thought is ―punishment‖ so they won‘t do it
again, you are going to be disappointed with the results. When people make mistakes -- and they will, try
to redirect their energy toward positive performance. Don‘t emphasize the negative. Accentuate the
positive. Ken Blanchard says to ―re-channel energy.‖ Either give them another chance to do it right or
direct them toward some other part of the project they can do well. 2
Marsha: So you are not telling me to ignore the poor performance.
Jim: Certainly not, but I am advocating a response that focuses on helping the person be successful.
I will tell you what does get ignored though! Marsha, what happens most of the time when you do
something right?
Marsha: (After a long pause.) I don‘t know. Usually nothing happens at all.
Jim: That‘s right! What does get ignored is good performance. One of the best coaching techniques is to
be on the lookout for good work and then to recognize it immediately. Just say, ―Wow! Patrice, that was a
great job the way you handled that situation.‖ One sentence of praise and encouragement does more
good than a dozen corrections. Before you get into the details of coaching, read Whale Done by Ken
Blanchard. It will help you get off on the right foot.
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What is Coaching
As a supervisor and leader you are charged with the responsibility of developing those who work for you.
By doing this successfully you are helping them, the organization and yourself. Although every
interaction with your team members is a potential training and development opportunity, coaching is an
effort that specifically addresses this function. It is an on-going process that differs for each person
because it is based on his or her current skills and competencies and looks toward improving them.
It might help to think of coaching from two perspectives. The first is helping team members improve their
skills as individual contributors. This includes helping them to become fully capable of performing their
current responsibilities to the highest standard, while cross training as appropriate to give depth to the
team. The second perspective is that of helping selected individuals grow as leaders. This requires that
you identify those with both the potential and the desire to develop as leaders. Both perspectives apply
similar and often identical techniques. While in the former, you may be helping individuals acquire
specific technologies and procedures, in the latter, you are helping the coachee to develop a broad variety
of leadership oriented competencies. These may include problem-solving, organizing, and other more
creative skills.
Why Coach?
Why should you take time to coach? Because, it is a short term investment with long term benefits. As
you successfully coach your employees, you will have to supervise them less. They will have more self-
confidence. You will have more confidence in their actions. Your productivity and that of your
organization will improve. Coaching pays off.
Hiring the right people is essential to good leadership; however, once they are part of your organization, it
usually costs less to develop their skills than to hire someone else and start from scratch. Through the
coaching process your team is molded and morale is enhanced. As an active and concerned coach, you
build trust and loyalty within your team.
What is Coaching All About?

Coaching is the process of improving the performance of an individual through a collaborative effort. It is
not something a leader does to a person; rather, it is something a leader does with a person. It is not
directive in nature. It is developmental. Effective coaching depends on the ability of the leader to develop
a positive, growth oriented relationship with the employee.
Coaching is a process that closes the gap between where a person is and where that person wants to be in
terms of work efficiency and career development. This process begins with
a) An assessment of specific work related competencies, and

b) An agreement to work together to improve performance in specific competencies. Then,
c) you and the employee discuss the present situation and options.
d) Together you identify and commit to a course of action concerning a specific competency goal.
e) The coachee then implements the action with support as needed from you. This is done as a learning
experience to improve long term performance.
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f) The coach schedules and conducts a feedback session regarding the coachee‘s performance on this
specific goal. The process is then repeated around another skill or competency.
Coaching is not the same as mentoring or training. It is a collaborative effort to improve an individual‘s
performance by developing specific competencies through an interactive relationship. The ultimate goal
of coaching is to develop team members who can perform efficiently and effectively with minimal
supervision.
Coaching philosophy is simply an extension of good leadership. The coach should focus on process over
content. It is easy for the coach to become overwhelmed by the details of an action and forget that the
purpose is to help the person become an independent thinker who needs minimal supervision. Good
coaches help team members learn from their mistakes and improve their ability to assume responsibility.
Therefore, the coach must focus on the how’s rather than the what’s. How is the coachee making
decisions, influencing others, and organizing people and materials?
Keep in mind that the flip-side of coaching is that you grow as a leader while you are coaching! Everyone
wins when you take the time to learn how to coach effectively. As a leader your goal is to create a team or
an organization that gets the job done with very little detailed supervision from you. This will allow you
to become a boundary manager – one who deals with customers, suppliers, and other departments rather
than micro-managing your own people. You have confidence that they can perform without you. Think
about this quote from Lao Tzu. ―A leader is best when people barely know he exists, when his work is
done, his aim fulfilled, they will say, We did it ourselves.‖
As preface to all this, the leader who would be an effective coach must first establish an open and honest
relationship with the team members. It is essential that this relationship encourages risk taking, and sees
honest failure as a learning opportunity. Therefore, the would-be coach must be a positive influence who
is committed to development of a healthy environment.
In First Break All the Rules by Marcus Buckingham and Curt Coffman, they note that employees in a
healthy, productive workplace believe that ―my supervisor, or someone at work, seems to care about me
as a person.‖ If you are the kind of manager that treats people poorly or without dignity, you probably
have minimized your chances of becoming a successful coach. Before beginning a coaching effort, you
might consider establishing a healthy climate in which those you lead are willing to let you help them
become more productive in a rather intimate way. They must trust you and your intentions. Coaching is
based on open and honest communication and a willingness to accept constructive criticism without
feeling reprimanded! In order to be successful as a coach, you must know your people well and be in tune
with their goals and aspirations.
Essentials for a Good Coaching Attitude

Successful coaches generally have a positive mindset about the potential of their people. Productivity
increases with the amount of positive interest and attention supervisors pay to their team members.
Therefore,
 Leaders should consider making coaching one of their highest priorities.

 Do not delay coaching because ―there is no time for it.‖ Make time.
 Delegate tasks to stretch your team member‘s abilities.
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 Delegate tasks that you could have done. Delegate as a reward because you trust the person to
accomplish the task.
 Ensure members of your team understand what coaching is all about, that it is a natural part of
their development, and it will improve team productivity.
 Get to know each of your team member‘s goals and aspirations.
 Think like a coach. Seize every appropriate opportunity to coach.
Principles of Coaching
In The CCL Handbook of Coaching, Sharon Ting has provided a view of coaching for leadership
development.3 She has provided a framework for coaching that begins with six principles of leadership
coaching. ―These rules of engagement ensure that our knowledge of leader development is applied across
a wide variety of effective coaching styles and coachee needs. Ting‘s principles are outlined below.
Principle 1: Create a Safe and Challenging Environment.
This means that the coach has the responsibility to ensure the coachee is comfortable with
the process and knows that risk taking is encouraged. Above all the coach should endeavor
to maintain the coachee‘s sense of self worth and confidence.
Principle 2: Work with the Coachee‘s Agenda.
The coaching process is driven by the needs of the coachee and the organization. The
coach should be aware of conflicting motives and agendas. The goal to keep in mind is the
growth and development of the coachee to the benefit of the organization.
Principle 3: Facilitate and Collaborate.
It is often tempting for the coach to promote a personal agenda, pet theory, or information
from past successes. This process is not about the coach. It is about the coachee. The coach
is not to lecture or make decisions. Rather, the role of the coach is to encourage the
creativity, problem-solving, and organizational skills of the coachee. This is best done by
being a good listener and questioner.
Principle 4: Advocate Self-Awareness.
Help the coachee to understand self and the reasons behind his or her behaviors.
Principle 5: Promote Sustainable Learning from Experience.
Successful coaches apply the Experiential Learning Model so that coachee‘s can learn
from their experiences. An essential part of this is charting new behaviors based on an
analysis and understanding of past experiences. Coaching is a learning process.
Principle 6: Model What You Coach.
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The coach should practice what she preaches. The relationship between coach and coachee
should mirror the leadership relationship being advocated between the coachee and her
team members.
Ting also discusses three levels of coaching (Behavioral, Underlying Drivers, and Root Causes), coaching
focus and skills, and other aspects of coaching that the successful coach may need to consider. We
recommend The CCL Handbook of Coaching to leaders who want to become successful coaches.
When and How to Coach

Leaders may coach individual team members, or they may choose, under certain circumstances, to coach
a group or team. Coaching may even be done long-distance using telephone and internet. Coaching a team
is more complex and requires that the team agree on mutual goals. For our purposes, we will focus on
coaching individuals.
Deciding When and How to Coach
Reasons for Coaching Actions to Take
BUILDING SKILLS 
Use coaching to break up large-scale tasks into
Set up opportunities for new skills to be learned and smaller ones, gradually introducing new skills.
practiced.  Before selecting a training program, coach your staff
to identify performance targets they want to achieve.
PROGRESSING PROJECTS  Link coaching sessions with progress reports
Oversee progress and monitor any problems on projects. over the life of the project.
 Work through problems that could hinder
the successful completion of the project.
SOLVING PROBLEMS  Encourage staff to define the problem and to come up
Help staff to identify problems and possible routes to a with their own route to a solution.
solution.  Remain sympathetic to your staff‘s difficulties, while
encouraging them to deal with problems robustly.
DEVELOPING CAREERS  Work on coaching goals that could result in
Prepare staff for promotion or show them a clear career path. recognition for staff achievements.
 Focus on long-term projects that are
challenging and bring out potential, rather than small-
scale jobs.
OVERCOMING CONFLICTS  Coach staff to develop greater insight into
Defuse disagreements among team members. others‘ perspectives and therefore avoid
misunderstandings.
 Overcome friction by directing attention to
results rather than personalities.
REMOTIVATING STAFF  Establish people‘s needs and aspirations and
Restore enthusiasm and commitment within the team. link these to performance targets.
 Be prepared to dig for the issues that really
concern the associate and be ready to talk through
them.
RE-FOCUSING  Accentuate the generation of creative options rather
Direct the creative input of the team to keep projects on track. than getting bogged down in problems.
 In team coaching, take a lead by offering creative
ideas of your own, and then invite the team to assess
them.
Fig. 19 * From Coaching Successfully by John Eaton and Roy Johnson, Dorling Kindersley Publishing, New York, 2000, P. 15
106
Initiating the Coaching Relationship.
Confidentiality is a key element of any coaching relationship. The coach should make it clear that
everything discussed as part of the coaching relationship is strictly confidential. This may be one of the
first steps in developing a productive coaching relationship. The coach/coachee relationship is at the heart
of successful coaching. It is the coaches responsibility to nurture a positive and trusting relationship with
the coachee.
Next, it is essential for the coach to understand the team member‘s strengths and weaknesses. This is
often accomplished by using some type of evaluation tool. It may be the standard appraisal form or some
other list of competencies. However, it is important to let the coachee know that this is a developmental
effort and that it requires mutual agreement on the goals and the process. It should be clear to the person
being coached that mistakes will occur and that they are part of the learning process. Encourage the
individual to share ideas about the organization and about the coaching process. Learning means taking
risks.
The Coaching Process

Coaching may be done using formal coaching sessions. This lends structure to the process. It can also be
done in a less formal setting, but in that case it is essential for the leader to ensure the team member
knows what is going on, that this is, in fact, coaching and there will be follow-up.
It is important to establish a protocol for the typical coaching session so that the employee knows what to
expect at each.
Agree on when and where you are going to meet. Select a place and time that will be undisturbed and
conducive to discussion. Have a flip chart or ―white board‖ available. Do your home work, and be certain
you have available any documents or materials that will be needed.
Begin every session with an effort to maintain or enhance the team member‘s self-esteem. This is a
general leadership technique and should be part of your repertoire.
Greet the person warmly and with a firm handshake and eye-to-eye contact. Take a few moments to break
the ice and build rapport. Clarify the purpose of each session.
Coaching is an organized process. Ensure the team member is aware of the process you two will be
conducting.
The Process
 The coach assesses specific work related competencies in which the person will be
coached.
This requires gaining correct insight into the team member‘s skill levels and selecting those
competencies and skills which need improvement. This is accomplished prior to the first session.
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Selection of the person to be coached also requires thought and evaluation. Some leaders can
coach more than one person at a time; however, who is to be coached first and why must be a
conscious decision.
 Both coach and employee must agree to work together to improve performance in specific
competencies.
This step in the process includes building a healthy coaching relationship.


The coach must be flexible and willing to listen and consider the person‘s needs and
desires.
 Discuss the present situation and coaching options.
Consider the team member‘s strengths. Improvement in which competency will help the
organization and improve the employee‘s career potential?
During this step, the coach must remember to be a good and active listener. Early in the
coaching relationship it is essential that the team member not feel controlled or
manipulated. There may be many sessions and many goals and action plans. The employee
must see this as a developmental process that is personally beneficial.
 Together, they identify and commit to a course of action concerning a specific competency
goal.
See ―defining goals‖ below. Build an expectation of success.
The course of action is discussed. As appropriate, the coach lets the employee create a
rudimentary action plan that can be fleshed out later.
 The team member implements the action with support as needed from the coach.
This is done as a learning experience to improve long term performance.
 The coach conducts a feedback session regarding the team member‘s performance on this
specific goal.
The process is then repeated around another competency or competency goal.
Emphasize your intention to address a specific competency and develop a mutually agreed upon goal.
Remember that an appropriate goal will be compatible with the employee‘s personal career direction. Try
to find a task, event or project that fits that specific agenda.
There are very few dyed-in-the-wool procedures in coaching. The coach‘s creativity and judgment are
endemic to a successful coaching relationship and positive results.
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Discuss and agree upon a competency and a goal within that competency for the team member to work
on. Discuss options. Build on the team member‘s past achievements. Do not assign a task at which the
employee may likely fail. Let the employee choose the options discussed.
The employee should outline a brief action plan to be fleshed out after the session. ―How do you intend to
begin … ?‖
At the end of the session ensure that the employee is committed to the specific action and agrees on the
time for its completion.
Ensure that the employee knows you are available for support and consultation during the execution of the
action. See Who‘s Got the Monkey.
If appropriate (as with any extensive project), schedule In Progress Reviews (IPRs) to ensure the action is
on track.
Schedule the next (feedback) session before completing this meeting. Put it on your calendar and make it
a ―must‖ event. Let the team member know that it is important.
Tools of the Coach.

Defining Goals
Select goals that challenge the person‘s current wherewithal, but are not beyond his or her ability to
accomplish. The choice of these goals is up to the coachee. The coach is to guide and facilitate this
process.
Use the acrostic SMART to ensure goals are sensible and appropriate for the employee being coached.
S M A R T*
ELEMENTS OF SMART USEFUL QUESTIONS

SPECIFIC What will you be doing when you have achieved the goal.
Ensure everyone knows the aim. What will you want to do next?
MEASURED How will you measure the achievement of the goal?
Define standards to work toward. What will you feel when the goal is reached?
ACHIEVABLE What might hinder you as you progress toward the goal?
Ensure that the goal is realistic. What resources can you call upon?
RELEVANT What do you, and others, get out of this?
Make sure the goal is worthwhile. Have other parties involved agreed to it?
TIMED When will you achieve the goal?
Agree on a time frame. What will be your first step?
Fig. 20 * From Coaching Successfully by John Eaton and Roy Johnson, Dorling Kindersley Publishing, New York, 2000, P.
31
Examples of appropriate coaching goals.
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 To improve the employee‘s planning skills.
 To develop the employee‘s ability to plan and conduct effective meetings.
 To improve the employee‘s scheduling skills.
Once a goal has been suggested and you desire to ensure the coachee has a good grasp on what the goal
entails, you must confirm her understanding of it. You can do this by asking, ―If this is your goal, what
does success look like to you?‖
General Coaching Tips
1. Agree on competencies to be addressed and specific goals for the employee‘s development.
2. Ensure that your team member knows and understands the coaching process.
3. Let your employee develop a personal approach to solving the problem or organizing the project.
4. Remember to focus on the ―how‘s.‖ Do not place un-needed restrictions on the coachee.
5. Do not project the image that you are the ―answer person‖ and that you always have the best
solution or approach. Facilitate, don‘t dictate.
6. Let the team member know that you expect suggested courses of action to address each problem
identified.
7. Coach people based on where they are now. Their growth should be incremental.
8. Ask open-ended questions: ―How can we … ?‖ What do you think about … ?‖
―Why did you … ?‖
Rules for Providing Feedback

Know how to give and receive ―feedback.‖ Feedback is information given to another regarding that
person‘s performance or to confirm your understanding of a communication. Feedback may also be
defined as a way of making a person or group aware of a behavior you see and how that behavior is
affecting you or your organization. It is primarily a method of interpersonal information sharing.
These are general rules for providing feedback. As a coach, you may need to adjust them somewhat to
conform to the coaching relationship.
1. Make feedback descriptive rather than evaluative. Describe the behavior you see and its effect on
you. Do not try to evaluate or imagine the reason for the behavior.
Evaluative Example: ―You were deliberately tapping your foot to distract me.‖
Descriptive Example: ―When I was talking, you were tapping your foot and I found it hard for me
to concentrate on what I was saying.‖
2. Make feedback specific rather than general. Making general statements often leaves people
wondering what you mean.
General Example: ―You‘re sloppy.‖
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Specific Example: ―Your clothes are wrinkled and dirty.‖
3. Make sure feedback is directed toward a behavior that a person can change.
Negative Example: Anger over a person‘s lisp because it makes it difficult to understand is
something about which that the person would have little or no control.
4. Make certain that what you have said is understood. Ask the person to tell you his or her
understanding of what you have said. ―I may not have made that clear. Would you summarize it
for me?‖
5. Make feedback well timed. Feedback that is provided immediately or soon after a given event
reaches the person while the general circumstances are still fresh in the person‘s mind.
Poorly Timed Example: ―Bob, the class you gave last week was really good.‖
Well Timed Example: ―Bob, that was a great class you just presented. It was interesting and to the
point. I found it highly informative.‖
6. Don‘t bombard a person with more than can be handled at a given time. It is easier for a person to
deal with and accept one or two observations than a laundry list. Too many items at once can
cause defensiveness and invalidate all of your comments.
7. Feedback that is asked for is more useful and more readily accepted than feedback that is imposed.
If a person has not asked for feedback, and you feel some feedback is needed, you might ask for
their permission. ―Mary, you haven‘t asked for it, but I have some feedback you may find useful.
Would you mind if I share it with you?‖
8. The receiver of feedback has the option of checking out the information with others to see if they
have the same observations.
9. Make feedback directed to and not about a person. Talk to and look directly at the person to whom
you are giving feedback. Do not talk behind someone‘s back.
10. Own your own feedback. Say ―I‖ rather than ―we.‖ Let others speak for themselves.
Note: If your intention is to punish or ―get even‖ your feedback will be ineffective. Do not give feedback
unless you are willing to stay and help that person work through it to resolution. Feedback is a way to
help another person be more effective. It is not a sanctioned way to meet your need to control others.
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A List of Coaching Skills and Attitudes
 Have a positive attitude toward your people. Look for their underlying strengths and talents.
 Focus on achievements – past and potential.
 Be a good listener. Listen actively. Summarize and reflect.
 Be open to negative feedback about yourself.
 Recognize that you still need to improve your own communication skills.
 Create an open and honest example for team members.
 Be open to team input on important decisions. Even in situations that you do not perceive as
coaching, keep in mind that you are constantly a coach and therefore you should model good
coaching behavior.
 Be flexible. Seize opportunities to coach.
 Empower people and give them responsibility.
 Be sensitive to employee‘s motivational needs. (They are not the same for everyone.)
 Recognize underlying concerns that may not be easily identified.
 Recognize that tone and non-verbal signals are important to communications and understanding.
 Keep it simple. Assume that positive changes can be simple to achieve.
 Ask open-ended questions rather than closed ones.
 Be open to different views. Do not be quick to criticize.
 Recognize that when you provide the solution, you are not developing the team member.
 Give negative feedback that is timely, constructive and specific. Re-direct energy if possible.
 Seek specific comments to growth assignments or behavioral changes from associates. They must
commit.
 Mutually establish goals for coaches and link coaching activities specifically to them.
 Follow through. Do IPRs and feedback sessions. Schedule them in advance.
 Recognize team member fears and explore them honestly.
 Be a role model. Do not coach one thing and do something inconsistent with it.
 When asked for advice, ask for suggestions and facts. Do not give directions.
Evaluating Your Involvement5
Team members of varying skill and experience levels need varying degrees of supervision. How much
room in the equation is there for risk of failure or partial failure? It is up to you to determine the
development level of your employees in order to supervise them effectively.
Situational Leadership, developed by Hersey and Blanchard, asserts that the effective leader varies the
amount of structure and personal involvement provided based on the development level of the employee.
As you approach the coaching relationship and especially specific action plans, consider the ―task
maturity‖ of the associate. Ask yourself:
 How skilled is the individual in the competencies necessary to perform this job successfully?
 How willing is the individual to do this job?
 Is this an emergency situation, or is there plenty of time to accomplish the task?
Remember, that you want the employee to be challenged. Based on your answers to these questions,
determine how deeply you need to be involved.
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Challenging Assignments: Who Gets Them?5
One of the most powerful motivators for team members is the opportunity to accomplish challenging
assignments and stretch their capabilities. It is tempting to always give the most challenging and crucial
assignments to proven performers. Coaching activities provide a good time to reassess how assignments
are made.
To assess the way you currently assign projects, try the following process.
1. Examine current and past assignments in your department. For each project, ask yourself:
 How difficult was this project to complete?

 How crucial was this project?
 Who was assigned to this project?
 Why was the individual assigned?
2. Now look at each other team member who might have been assigned to that project. Ask yourself:
 Does this person often perform the same tasks repeatedly, or often take on new
responsibilities?
 Have I given this person opportunities to try new things and develop or enhance personal
skills?
 Does this person ever indicate a desire for more challenging assignments?
 Does this person appear to have the potential to handle more challenging work? If so, what
skills, resources, or experience would help tap this person‘s potential?
 Do I tend to give the most challenging or crucial assignments to the same proven performers?
3. Now look at the overall picture of the group. If your analysis reveals that some employees are not
being challenged by their current assignments, look for ways to handle more challenging work – and
then assign that work to them.
You may combine some coaching with this activity or you may simply save yourself from having to
coach those who are capable of making the stretch without coaching.
Show Interest in Team Member’s Careers5
Effective employee development and succession planning depends in part on understanding their career
goals. You can get a better idea of where to focus developmental activities (including coaching) by
communicating with your team members regularly about their careers.
Schedule periodic individual discussions with team members. Discuss career goals. Address issues such
as:
 What skills must they develop to reach their goals?

 Are their goals realistic considering their skill potential and position within the organization?
 Are their career goals challenging enough given their demonstrated potential?
 What can you and the organization do to help employees achieve their career goals?
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You may use these talks as lead-ins to coaching relationships. Remember the Hawthorne Studies and
Theory Y. By showing attention to your people, you promote improved productivity.
Coaching and Delegation.

Outstanding leaders coach and delegate and they understand the relationship between the two. They are
complimentary. Delegation is inherent throughout the coaching cycle. As team members develop and
mature, they will see that each task delegated is an extension of the coaching process. This sets the stage
for continuous learning.
Do not assume that learning has taken place simply because a delegated task has been accomplished. Set
aside time to review lessons learned from the experience so the employee can reinforce the learning.
It is essential that you, the leader, establish high expectations and make it known that you expect your
team members to live up to them. If you see yourself as a trainer, developer and coach, you will never
delegate and forget about it. You will keep your fingers on the pulse of progress. By doing this, you
model professional leadership behaviors.
In Whale Done, Ken Blanchard emphasizes the following leadership elements. They are of particular
importance to leaders who want to develop their people through coaching and delegation.
 First, build trust.

 Accentuate the positive.
 When mistakes occur, re-direct the energy.
People crave positive feedback, praise and encouragement. If you make the coaching effort a challenging,
positive and rewarding experience you will be a successful coach and leader.
Teach Others to Coach.

Your value to the organization as a leader will grow exponentially as you teach others to coach. Many
employees and junior leaders are so focused on their own development that they ignore their growth as
coaches. Your first responsibility in this regard is to help the person you are coaching realize that
becoming a good coach is part and parcel of personal growth.
Part of this will be accomplished by making your team members aware of the coaching process and that it
should be a conscious effort of a leader. Outline the process itself and ensure that they know what is
happening. The coachee‘s ―final examination‖ may very well be to accept the responsibility of a coach,
guided and monitored by you!
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NOTES
115
Evaluating Your Coaching Skills.
John Eaton and Roy Johnson in their short, but powerful book, Coaching Successfully, have provided an
instrument for Assessing Your Coaching Skills. That instrument is reproduced here.
―Evaluate your performance as a coach by responding to the following statements, and mark the option
that is closest to your experience. Be as honest as you can: If your answer is ―never‖ mark Option 1; if it
is ―always‖, mark Option 4 and so on. Add your scores together, and refer to the Analysis to see how you
scored. Use your answers to identify areas that need most improvement.‖
Options: 1 – Never 2 – Occasionally 3 – Frequently 4 – Always
Coaching Self Assessment
1. I assume that my staff are capable of doing their jobs well.

1 2 3 4
2. When I coach, my focus is on past and potential achievements.
1 2 3 4
3. I prefer to listen to the opinions of others, rather than do all the talking.
1 2 3 4
4. I am ready to receive negative feedback from my team members.
1 2 3 4
5. I am aware of my own limitations when communicating.
1 2 3 4
6. The first impression coaches have of me is openness and courtesy.
1 2 3 4
7. I seek to involve staff in making important decisions.
1 2 3 4
8. I treat my staff as partners rather than subordinates.
1 2 3 4
9. My coaching sessions are free of interruptions and distractions.
1 2 3 4
10. I am flexible in switching between discussing goals and exploring problems.
1 2 3 4
11. I believe that people will exercise responsibility when empowered to do so.
1 2 3 4
12. I make links between my staff‘s motivational needs and their goals.
1 2 3 4
13. I seek to establish what is at the heart of my employee‘s concerns.
1 2 3 4
14. I am alert to small nonverbal clues when interpreting communications.
1 2 3 4
15. I presuppose that everybody had underutilized strengths and talents.
1 2 3 4
16. I summarize and reflect on what is said in order to check understanding.
1 2 3 4
17. I assume that positive changes can be simple to achieve.
1 2 3 4
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18. I prefer to ask open-ended questions rather than closed ones.
1 2 3 4
19. I am not afraid to coach my superiors and colleagues as well as my staff.
1 2 3 4
20. I believe good communication is based on seeing different views.
1 2 3 4
21. When coaching, I assume that my staff can find their own solutions.
1 2 3 4
22. I believe that some of the best coaching results come from creative insight.
1 2 3 4
23. When I give feedback on weak performance, I am constructive and specific.
1 2 3 4
24. I close coaching sessions by getting a specific commitment to a task.
1 2 3 4
25. I control coaching sessions by linking what has been said to the goal.
1 2 3 4
26. I follow up coaching by asking for briefings on progress.
1 2 3 4
27. I introduce reporting safeguards, but let staff take responsibility for decisions.
1 2 3 4
28. I assume that coaching will succeed when staff are able to take responsibility.
1 2 3 4
29. I deal with fears by exploring the needs that lie behind them.
1 2 3 4
30. I consider it important to be a role model for the coaching approach.
1 2 3 4
31. If asked for advice, I offer it in the form of suggestions, not directions.
1 2 3 4
32. I keep telephone and e-coaching as direct and brief as possible.
1 2 3 4
Analysis
―Now that you have completed the self-assessment, add up your total score and check your performance
by referring to the corresponding evaluation below. Identify your weakest areas, and refer to the relevant
sections in this chapter to develop and hone your coaching skills.
32-64: There are many skills that you need to practice in order to be a successful coach. Work on your
personal attitudes to coaching values, as well as specific skills.
65-95: You have reasonable coaching skills, but certain areas require improvement. Focus on
improvement in the areas of your test where you scored low marks.
96-128: You are a successful coach, but do not become complacent. Keep striving to get the best from
your team, and to develop coaching values in others.‖
Be aware of your coaching successes and failures. Your own personal development as a leader hinges on
your ability to develop a productive team. Good coaching skills are essential to making you successful.
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Terse Tips for Coaching
These tips may be helpful, but they are no substitute for a deep understanding of the benefits and specific
procedures of coaching.
 Leaders should make coaching one of their highest priorities.

 Do not delay coaching because ―there is no time for it.‖ Make time.
 Delegate tasks to stretch your employee‘s abilities.
 Delegate tasks that you could have done. Delegate as a reward because you trust the associate to
accomplish the task.
 Ensure all members of your team understand what coaching is all about, that it is a natural part of
their development, and it will improve team productivity.
 Get to know each of your team member‘s goals and aspirations.
 Think like a coach. Seize every appropriate opportunity to coach.
 Meet with team members individually to identify what you can do to help them be more effective
in their jobs.
 Practice observing the behavior of people in order to give good feedback. Learn to be more
descriptive and less evaluative in your feedback.
 Remember that people grow by successive approximation. Help them to make small steps in their
growth toward larger change.
 Help employees identify their strengths and limitations. Try to have each work on one limitation
and enhance one strength at a time. Be specific as to what steps can be taken to meet the goal.
 Be alert to articles and development tips that could be of help to your team; pass them on to
appropriate individuals.
 Be certain the people reporting to you know you are willing to support their development.
 Meet individually with employees to discuss career goals and to identify the skills they need to
achieve those goals.
 Identify the weakest performer on your team. Decide whether you feel that person has the ability
to perform adequately. If so, develop a program to bring him or her up to speed.
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References on Coaching
Books and Articles
1. ―Ac-Cent-Tchu-Ate the Positive‖ song by Johnny Mercer and Harold Arlen, 1944
2. Blanchard, Ken, et al, Whale Done, The Free Press, New York, 2002, P.14
3. Ting, Sharon and Scisco, Peter (Ed.) The CCL Handbook of Coaching: A Guide for The Leader
Coach, The Center for Creative Leadership, Jossey-Bass, San Francisco, 2006 P. 16 – 33
4. Eaton, John and Johnson, Roy, Coaching Successfully, Dorling Kindersley Publishing, New York,
2000, P. 31
5. Successful Manager‘s Handbook, Personal Decisions, Inc. 1989
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2.4 Building a Healthy Environment
To build a healthy work environment, supervisors must understand the greater organizational culture and
take actions to create an open, honest and productive climate in which their teams can reach maximum
effectiveness.
Marsha: Jim, I just don‘t know what‘s wrong! Wendell was hired through HR almost two months ago. I
was really impressed with his qualifications and the interview notes. He is punctual, structured, detail
oriented, and he has learned very quickly. The first couple of weeks, he took manuals home to get ahead
on procedures. I know his salary and benefits are better than at his last job.
Jim: Sounds like a good addition to the team.
Marsha: You would think so, but he just isn‘t fitting in. The other team members sense it, and I can tell
that Wendell knows it, too. It really annoys him that Janice comes in at 9:30 a.m. and works until 6:00.
He told another team member that flex-time is a waste of time. I was having a short, informal meeting
yesterday and Phillip and I disagreed about how to structure one of our programs. I liked some of his
ideas, but I could tell that Wendell thought he was out of line. After the meeting he said to me, ―Just make
a decision and we‘ll get to work on it.‖
Jim: Does he ever give suggestions or offer his opinion?
Marsha: Not really. And I made sure he was invited and encouraged to play softball with some of us on
Saturday, but he didn‘t seem at all interested. We are trying to build a family-team and Wendell is strictly
an 8:00 to 4:30 guy. But I have no complaints about the quality of his work. He‘s just not a happy
camper.
What do you think was Wendell‘s problem? This chapter is about building a healthy environment. Marsha
has been encouraging her people to be creative and open-minded as team members. She has encouraged
them to adapt their work hours and build a family relationship with the rest of the team. Wendell has
come out of a highly structured environment in which he was very comfortable. He was used to operating
by-the-book and enjoyed the security of being managed very closely. In short, he left a very structured
work environment for a higher paying job in an organization that expects him to be loose and flexible.
There is hope for Wendell. Marsha will learn that she can be a positive influence to help him adapt. She
has to understand what an organizational culture is and how to influence both the environment and her
team members. Wendell too will have to make some changes, but with time and effort, he can become
more comfortable in his new environment.
In this chapter we will discuss several aspects of building a healthy environment. First, we will address
the definition of ―corporate culture.‖ Then, we will investigate how culture influences individuals and
teams. How does a culture change? What can you as a supervisor do to influence it?
What is a Healthy Environment?

In their book, Corporate Cultures, Deal and Kennedy define organizational culture as ―the way things get
done around here.‖ It has been defined by others as ―the moral, social, and behavioral norms of an
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organization based on the beliefs, attitudes, and priorities of its members.‖ Almost every organization has
a culture unique unto itself. Most have not consciously created a specific culture. It usually evolves from
the values and attitudes of its people or at least of its top team. Some of the exciting organizations that
have grown dramatically over the last 20 or 30 years have become successful based on a culture of
creativity and innovation and nonconformity. Apple Computer and Microsoft come to mind. Fortune
Magazine relates that Hewlett-Packard has a culture based on 1) respect for others, 2) a sense of
community, and 3) plain hard work. That culture has contributed greatly to its success.
Some organizations are ridged, highly structured, and heavily invested in by-the-book operations. These
behaviors have proven successful in the past and therefore they are perpetuated. The trend, however, in
this new millennium is away from that sort of organization. Many organizations have come to realize that
creativity, innovation, risk taking and entrepreneurship tend to produce vibrant and future-oriented
businesses that are often more competitive and successful in the global economy.
To be sure, there are different types of cultures. Individuals bring to organizations their own sets of
beliefs, values and behaviors. Wendell developed individual preferences and behaviors as a function of
his work environment and brought them to his new organization. Teams or work-groups develop their
own ―personalities‖ and become entities with specific behavior patterns and habits that influence their
larger organization and are affected by the greater system of which they are a part. Computer technicians,
school teachers, engineers and many other specialties relate to the culture of those who share that same
professional outlook. Finally, there is the ―corporate culture‖ which is the subject of much discussion and
attempts at manipulation from the executive suites of large corporations and government agencies.
A healthy environment is the subject of this chapter. What is a healthy environment or culture? It is safe
to say that an organization that promotes individual growth while focusing on customer satisfaction and a
positive bottom line probably has a healthy culture. Why? Because it attends to the needs of all those who
are involved. That organization probably has room for rebels and is willing to take risks aimed at a
successful future. It has hired and encouraged people who share those same values and beliefs. In an
organization with an unhealthy culture, there is little common ground among key people. The values of
the organization are unclear and those of the people in the organization may not be in sync with it. Often,
they are steeped in tradition, procedures, and a by-the-book philosophy that leaves little room for
innovation.
One researcher described an organizational culture as ―a cultural web‖. He identified a number of

elements that can be used to describe or influence an organizational culture. They are
“Power Structures: Who makes the decisions, how widely spread is power, and on what is power based?
Symbols: These include the logos and designs, but would extend to symbols of power, such as car
parking spaces and executive washrooms!
Rituals and Routines: Management meetings, board reports and so on may become more habitual than
necessary.
Stories and Myths: Built up about people and events, and convey a message about what is valued within
the organization.
These elements may overlap. Power structures may depend on control systems, which may exploit the
very rituals that generate stories.‖
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From this brief discussion of culture and environment we can see that attempting to understand an
organization through its culture can be very complex. It remains, however, that people know if they are
comfortable in an organization. They will quickly learn whether or not they enjoy going to work each
morning. Most will recognize when they are not appreciated or when their input is ignored. This takes us
back to Wendell.
The People – Culture Relationship

Wendell accepted a position doing something at which he was experienced, making good money and with
good benefits. But, he did not stop to compare the work environment of his previous position with the one
he was joining. The result was an uncomfortable situation.
Culture should be considered during the hiring process. The existing organizational environment should
be described to would-be employees. Apparently, Marsha and her organization are moving toward a
culture that encourages flexibility, innovation and a free exchange of ideas. This can put a heavy burden
on new employees especially if they are not expecting it. Wendell was not prepared for this environment,
but why? If organizational expectations had been shared with him, he may have still taken the position,
but he might have been more prepared. This would have reduced the shock of an organization quite
different from the one he left.
There are several instruments that HR departments use to compare beliefs and values of applicants with
those of the hiring organization. These can be helpful to both the applicant and the hiring entity. If the
applicant is hired, results from these instruments can be summarized and provided to the new-hire‘s team
leader.
Whether this was done or not, Marsha has a responsibility to acclimatize the new team member. This
includes the organization‘s expectations of Wendell. Marsha‘s responsibility for helping Wendell adjust
does not end after one orientation discussion. Good communications is at the heart of helping him develop
into a highly productive member of the work-group. With every interaction, Marsha is sending messages
about the organization and its culture. Her relationship to Wendell is an important element in his
adjustment to a new situation and a new culture.
You, the supervisor, are the prime conduit for conveying the personality of the organization to new
people. This is as true for transfers from within the larger system as it is for new hires. By ―accentuating
the positive‖ you can acknowledge and encourage those things that a new person does which are
compatible with the existing culture. Furthermore, you can also influence changes in the culture using this
same approach. If a supervisor constantly pokes fun or shuts down a team member‘s attempts at
innovation or sharing new ideas, the culture will become sterile. The same thing could happen if the
supervisor allows other team members to do the same thing. Therefore, it is essential for the supervisor to
have a mental picture of the culture of the organization as it is, and one of the culture as you might like it
to be. Then, be prepared to reinforce those individual or team behaviors that suggest the kind of culture
for which you are striving. In order to understand your own organization‘s culture, ask yourself these
questions:
 How important are rules and policies in this organization?

 Do my people feel comfortable disagreeing with me or with higher managers?
 Is communications a two-way street?
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 Do my people come to me with problems, concerns, or ideas about how to improve the job?
 Is humor a part of our daily operation?
 Are our meetings a drag or do people leave feeling invigorated and motivated?
 Do I and my people enjoy coming to work?
Let us assume at this point that your organization has a culture that you wish to encourage. What are some
of the things you, the supervisor, can do to promote it?
Many large organizations have developed mission statements and associated values statements. These are
not intended by top management to collect dust in a desk drawer or to be hung on a wall and forgotten. A
statement of values can be very useful in helping team members become comfortable with the
organizational environment. A successful supervisor may incorporate these into discussions and planning
sessions. Some supervisors select one value a week to highlight with team members. Memos, e-mails, and
newsletters can also be used to keep the mission and values of the organization foremost in the minds of
team members.
When an organization is guided by principles or values, they can provide a standard or measuring device
which can be used to evaluate day-to-day decisions. When decisions violate the principles or values on
which the organization is built, they may be running contrary to the organizational culture.
Your expectations of your team and of individuals should reflect the organizational culture you want to
encourage. Therefore, it is essential that you let your people know what success looks like to you.
Describe the traits you want displayed and then reinforce those behaviors when you see them. Are you
looking for people who work smart and who are always looking for new solutions? Are you building a
team that reflects internal accountability and polices itself? Is it your goal to develop every team member
to become a superstar? How will they know unless you tell them and then follow through with behavior
that supports those expectations?
In a healthy environment almost everyone is someone‘s mentor. Growth and progress is everyone‘s
responsibility. The old hands share growth suggestions with new people while encouraging them to ask
questions and come up with fresh approaches.
Often, the way a meeting is managed will be a good indicator of organizational health. If meetings are
dreaded by attendees, it is not a good sign. When meetings are chaotic and lack direction, it can be a sign
of poor focus and vague goals. The objectives of the meeting should be stated before the meeting and only
people who can contribute to the subject should be invited. Open and honest communications should be
encouraged. When people leave meetings with clear objectives and specific activities, the environment is
tends to be a healthy one.
The essence of a healthy business environment is good communications. If wires are constantly crossed
and misunderstandings are common the organization will suffer. When the next higher level of
management is seen as the enemy it is often because they are constantly telling and directing, but rarely if
ever listening. Open two-way communications and honest feedback speak volumes about ―trust.‖
Employees need to feel that they are trusted and respected as valued members of the organization. If they
think that their word is not heard or that it makes no difference, they will shrivel up and become clock-
watchers and minimal contributors. That is not healthy and it may spell doom for the organization.
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Changing a Culture
Broad, organization-wide changes in culture normally originate at the executive level. Supervisors and
even middle managers normally reinforce the organization‘s existing culture at their levels. It would be
difficult for a supervisor to attempt to create a team culture that is significantly different from that of the
larger organization. At the same time, you can influence and even create a team or small unit culture that
reflects the company‘s but may also be more vital and productive. How should you approach such a task?
Here are a few options for you to consider. You can review these and consider which ones are most
workable in your situation. You might also develop a plan for improving your team culture using all or
most of them.
 Think about customers. Many times organizations become so focused on short range tasks that
they neglect customers. A healthy culture is one that pays attention to the basic purpose of the
organization. That purpose is usually focused on customers -- either internal or external.
 Accentuate the positive. Reduce or eliminate the word ―but.‖ It signifies that a negative or a
criticism is coming. Focus on solutions rather than problems. Before listing the reasons something
will not work, consider the ways it can be made to work. (Caveat: Do not allow your team to
become ―Victims of Group Think.‖ This is the tendency of certain groups to mistakenly believe
they can do anything if they try hard enough. 4) Additionally, healthy organizations do not dwell
on the past. Guide your people to look to the future. How can a better future be created?
 Encourage calculated risk. A preoccupation with safety and ultra conservative thinking can work
against growth. This is not a mandate for recklessness, but that is rarely a problem in
organizations. Often, past success breeds caution, and caution promotes the status quo. As
mentioned, healthy organizations look to the future which means being open to new and different
suggestions. We often talk about ―thinking outside the box,‖ but living it takes a shared
willingness to risk being wrong. As a supervisor, you can not afford to stifle creativity.
 Promote open and honest discussion. Encourage others to share their thoughts and opinions.
Thank them for their contributions. Do not be the first to offer a suggestion. Often, supervisors
inadvertently promote deference by appearing to have ownership in a particular alternative. Team
members must realize that no suggestion should ever be accepted without discussion. Do not
confuse ―accentuating the positive‖ with eliminating critical thinking. ―If we do this, what will be
the long (and short) term results?‖
 Develop a relationship of personal worth and trust. Spend time with individual members of the
team. Get to know about their interests on and off the job. What does each one want from the
work? This will probably require some sharing of your own personal interests and goals. You can
not expect people to share their deepest needs and interests if you refuse to model that behavior.
Do your best to remain non-judgmental. This is occasionally a problem for leaders; however, if
your goal is to develop a healthy and productive environment, it must begin with trust. As you get
closer to the open and trusting relationship you seek, confidentiality may become an issue. Be
sensitive that you do not violate the trust that another person places in you by sharing sensitive
information. Even after a team member moves on to another position or even another organization,
that confidence should remain unbroken.
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 Build a team. Individuals enjoy being part of a winning team. On the other hand, they also seek
individual recognition. As you consider developing a healthy work culture, you must attend to this
dichotomy. Team success should be recognized and celebrated. Individual success, however, can
not be ignored. This is where your understanding of individual interests and motivators becomes
essential to the equation. If an individual feels that his or her contributions to the team‘s success
are not appreciated, that can work as a de-motivator. Therefore, you must keep both levels of
leadership in mind. You are building a team, but it is composed of individual personalities with
different needs and desires for personal and professional success.
At the grass roots level, you influence the organizational environment by your leadership style. Reviewing
the list of options to influence your culture, you will find that they are compatible with good leadership
techniques across the board. This should make them easier to apply; however, the important thing to
remember here is that you can influence the climate within your area of responsibility.
Conclusion
In recent years supervisors, managers, and leaders at all levels have become more sensitive to
organizational culture. This has influenced the kinds of employees business and government are shopping
for. We notice terms like ―self-starters‖ and ―entrepreneurs‖ in job descriptions and interview guides.
Organizations are searching for people who are growth oriented and who can embrace the idea of
continuous learning. Many use vision and values statements to articulate either the kind of organizations
they are or the kinds they would like to become.
As a supervisor, you have all this emphasis on culture to guide and influence how you relate to your
people. It is also important, however, for you to be sensitive to the ―unspoken rules‖ or operating culture
that is not evident from the company‘s mission statement. Only time within the organization can allow
you to identify and respond to them. Some examples: The department head comes in on Saturday,
therefore, those who want to get ahead also come in on Saturday. A particular department has only two
women out of thirty employees and they do not have high profile jobs. These situations are not intended
to create or influence the organizational culture, but they do. In these instances, you the supervisor are
challenged to become aware of them and address them within the context of your team. Many supervisors
will miss them completely, but they often exist and can impact on your people and your team‘s
effectiveness.
If you are to be successful as a supervisor, it is essential that you are aware of what organizational culture
is and how it can influence your efforts as a leader. It is also important for you to understand how you
can build a culture within your team. Many of the things you do without thinking send messages about the
personality of your organization. You must remain aware of everyday occurrences that send these
messages. How are decisions made? How much value is placed on employee input? Which rules get bent
and why?
If you can focus on valuing your customers, developing your people, and producing outstanding products
and services, you can be part of a healthy organizational environment.
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2.5 Positive Discipline
The word ―discipline‖ has a generally negative effect on people. Most supervisors are not comfortable
pointing out where a team member has either not met a performance standard or, even worse, has broken
a rule. Few people enjoy giving negative feedback.
Marsha: It wasn‘t long ago that I was just another team member. Now, I‘m the boss and I feel really
awkward administering discipline. Frankly, I have been ignoring some infractions, and I am worried
about it.
Jim: What do you mean?
Marsha: Well, Bob told me that he is going to start coming in late, because it seems to be OK with me. I
know he was sort of joking, but he was also sending me a message that I am being too lenient. He said it
with a smile. Bob‘s a hard worker.
Jim: Wow! You have opened up Pandora‘s Box.
Marsha: I know. (Marsha exhaled heavily through her nose.) Ignoring these things just makes them
worse, so I can‘t go on doing that. It looks like my reputation as a fair and unbiased leader is linked to
how I handle discipline, but I hate chewing people out.
Jim: Well, stop right there. (Jim held both hands up in the air.) Discipline does not have to be chewing
people out! And it doesn‘t have to be a matter of punishment. After all, your goal is to change behavior,
not beat up on a team member. They are not children; they‘re adults who probably want to do what‘s
right.
Marsha: I can tell from Bob‘s comment that it is important to deal with these things. Getting the job done
right and getting people to abide by the rules is what I get paid for. But, the way I do it can impact on
team harmony and overall performance, not to mention my reputation for fairness. I don‘t want to be a
Grinch, but I have to lay down the law.
Jim: Hold on for a second. I want you to think in terms of positive discipline, not punishment or butt
chewing. Positive discipline. First, you need to ensure that everyone knows your expectations. Make it
clear what the rules are and what kind of performance you expect. Then, determine to treat everyone
fairly -- the good, the bad and the ugly. Five minutes late is the same five minutes whether you are a star
performer or just average. Finally, when you do confront someone, remember to do your homework, and
give them a chance to give their side of the story. But, don‘t let them side track you. Focus on their
behavior and try to get them to acknowledge the problem.
Marsha: You make it sound simple, but I know it‘s not that easy.
Jim: That‘s right. There is a lot to it. Read up on Positive Discipline. The idea is for your team member to
become a partner in solving the problem. I‘ve got to run. Let me know how it goes.
Jim just touched the tip of the ice berg in his brief discussion with Marsha. She knows that it is an
important part of her job as a supervisor to deal with performance problems, as well as dealing with
misconduct. However, she does seem to have some wrong ideas about discipline. Someone once said,
―You can catch more flies with honey than you can with vinegar.‖ It‘s true. You don‘t want to set up a
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win-lose kind of discipline in which your team thinks you are a policeman. The idea behind positive
discipline is to engage the team member in solving a problem that is having a negative impact on
performance.
In this chapter, you will learn to use tools that will not only solve discipline problems, but will also reduce
them. You will learn to
 Involve your people in the discipline process.

 Get them to accept responsibility for their actions.
 Approach situations as a counselor and facilitator rather than as a law-enforcer.
 Identify common mistakes and how not to make them.
 Communicate in a positive way that promotes self-discipline.
 Investigate situations before confronting someone.
 Address discipline situations fairly and legally.
 Properly document discipline related activities.
 Abide by fair and legal methods to terminate employees if necessary.
Discipline
How would you define discipline? Many people think immediately of the negative aspects -- penalties
and punishment for misconduct. Harsh and strict attitudes of management come to mind. This is often the
result of past experience or from a Theory X mindset. Since supervisors have the responsibility to
promote excellence and adherence to the rules, they have approached discipline as their responsibility.
This means that the supervisor has to ―make people toe the mark.‖ With that as the premise, all the
responsibility for the conduct of team members would be placed squarely on the shoulders of the leader.
Therefore, the team member would be pretty much off the hook.
Positive discipline, on the other hand, recognizes that every person is responsible for his or her actions.
Therefore, the supervisor focuses on helping the team member recognize the problem, acknowledge
personal responsibility, and agree to take corrective action. That is the essence of positive discipline.
Every organization must set and achieve high goals that are developed to satisfy the customer.
Performance procedures and objectives contribute to accomplishing these goals. Employees who violate
the procedures or fail to achieve established goals need to be redirected -- corrected. Why? In order for
the organization to be successful.
Furthermore, misconduct or violation of established rules of conduct is harmful to the organization. These
rules have been established for the good of the organization and of individuals. Some promote a safe work
environment. Others promote fairness and harmony among team members. When they are violated, they
undermine the health of the work environment. Therefore, maintaining discipline is simply another way to
say, ―promoting a highly successful organization.‖ Effective discipline is essential.
What situations or actions require some sort of disciplinary action on the part of the supervisor? The first
to come to mind are the obvious and blatant situations. They include absenteeism and tardiness, violations
of safety procedures, coming to work under the influence of alcohol or drugs, and gross insubordination.
Others may be less obvious but are no less harmful to the work environment. They include failing to
complete tasks on time or not meeting established standards, sexual harassment, dishonesty, and racial or
other types of discrimination.
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The Supervisor’s Role
What has been your experience with administration of discipline? Do you believe in immediate, on-the-
spot corrections? What part does privacy play in your corrective action? Do you believe that some slack
should be cut for ―better‖ performers? Can you separate poor attitude from poor behavior? Do you present
a solution and insist that the employee conform? Have you ever used a disciplinary action to set the
example for the rest of the group? Is documentation something that you reserve only for extreme cases?
Empowerment is a word that is often used and occasionally misused in the discussion of leadership and
organizational effectiveness. It usually implies that people can contribute more if they feel comfortable
making suggestions and being innovative about problem-solving. Positive discipline empowers the
employee by encouraging that team member to accept responsibility for his or her own behavior. If, on
the other hand, fear of punishment is the only factor encouraging compliance, employee responses may be
limited to do‘s and don‘ts. If, however, the exercise of positive discipline has generated a sense of self-
discipline in which the team member understands why compliance is a good thing, there is no limit to that
individual‘s contribution to the team‘s success. Hence, the supervisor‘s role is to instill self-discipline in
team members.
What is self-discipline? It begins with an understanding of the impact of non-compliance. For the team to
succeed, all members must contribute their share. That understanding promotes a self-control that works
for the good of the organization simply because each individual is encouraged to contribute to
organizational success. One could say that the ultimate objective of positive discipline is to develop self-
discipline in every team member. This would virtually eliminate disciplinary problems for the supervisor.
A helpful approach for you, the leader, might be to approach discipline as training. Your goal is to train
and coach team members to develop a sense of self-discipline.
Note: There will always be exceptions. All of us have known people who, for a variety of reasons, can not
or will not conform to group norms. They may never develop self-discipline. Therein lays a major
challenge for the supervisor.
Every leader is subject to fall victim to human shortcomings. Leaders, being human, tend to have
―favorites.‖ These are the people we simply click with and find it easy to like. On the other hand, when
performance problems occur, many of us have a natural desire to want to punish the offender. Many of us
have, over the years, developed radar that (we think) gives us insight to people with poor attitudes. They
are just always so negative! All of these tendencies can be impediments to our exercise of effective
discipline.
The antidote to this ―stickin‘ thinkin‘,‖ is to focus on behavior rather than attitude. Who of us can delve
deep into the mind of another human being and discern motive or attitude? If we attempt to correct
attitude, we leave ourselves open to discussion and debate that solves nothing. Additionally, attitude is
almost impossible to quantify. Behavior, on the other hand, is observable and often quantifiable. George
was tardy three times this week. Brenda missed her quota by more than 20% for two months in a row.
Compare that to, George is lazy, and Brenda is just not motivated. Therefore, our first step toward using
positive discipline is to focus on behavior.
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Administering Positive Discipline
Most of us evaluate attitudes or personality traits without thinking. In fact, we have done it so often that
we may even confuse it with evaluation of behavior. It is essential for a successful leader to be able to
differentiate between the two. Attitude is generally subjective. It is often based on emotion and usually is
difficult to document. Behavior, on the other hand, is observable, factual and generally easier to
document. ―Brenda is just not motivated.‖ That statement is general and vague. It is subjective and may
be based on emotion. Finally, it is not only hard to document, but because it is so vague it will be very
difficult for Brenda to correct. ―Brenda missed her quota by more than 20% for two months in a row.‖
That statement meets the criteria for describing behavior rather than attitude. It is factual, specific and
easier to document. Most important, it will be easier for Brenda to correct.
Step Number One in the administration of Positive Discipline is to identify a behavior that has a negative
impact on team success or that clearly violates accepted rules. Then, do your homework. That means
investigate the situation and get your facts in order. Discussion of attitudes usually leads nowhere and can
create an adversary situation. Behaviors can be supported by observations, records and reports. Certainly,
if Brenda missed her quota it is recorded somewhere. That information is factual and not open for
interpretation.
Step Number Two is to meet with the employee. This is not intended to be a one way presentation of
information and alternatives. Remember, we are attempting to approach this as training. As a leader, you
will want to focus on the team mission, productivity and the negative impact of specific behaviors. At the
meeting, you may want to address these points.
 Present the performance violation or other issue. Emphasize its impact on the team and its
performance.
 Ask the team member to comment. The facts are not open for dispute.
 Give the team member the opportunity to recommend a reasonable solution. Encourage a solution
that requires a change for the team member. Do not rush this. If the team member is slow to offer
suggestions, ask for alternatives, but do not be too quick to present your solution.
 Work with the team member to develop a plan to implement his or her solution. Be specific and
put a time to it.
 Schedule a follow up meeting with expectations based on the plan. If appropriate, this might be
the time to present a verbal or written warning in accordance with organizational policy.
Step Number Three is to document the meeting and the agreed upon plan. A record of warnings, meetings
and your actions can be invaluable at a later date. Use the above format for your meeting as a guide for
your documentation. Record facts, not opinions. Be specific. Ask the employee to sign in
acknowledgement of the meeting. If the employee refuses to sign, this could be an indicator of a deeper
concern. After discussion, if the employee still refuses to sign, simply note this on the form and sign it
yourself indicating that the employee refused to sign.
Step Number Four is the follow-up meeting. If the effort was successful and the appropriate changes were
made, the team member should be encouraged to continue on the new path. If the process was less than
successful, remember that the responsibility for change is in the hands of the employee. This is an
important element in the process and should not be omitted simply because the process was successful
and the behavior has improved. The employee should be recognized for the success.
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Earlier, we asked several questions regarding discipline. Do you believe in immediate, on-the-spot
corrections? What part does privacy play in your corrective action? Do you believe that some slack should
be cut for ―better‖ performers? Can you separate poor attitude from poor behavior? Do you present a
solution and insist that the employee conform? Have you ever used a disciplinary action to set the
example for the rest of the group? Is documentation something that you reserve only for extreme cases?
Some of these have already been answered. However, a few may need specific comment.
Do you believe in immediate, on-the-spot corrections? There can be value in correcting an error
immediately. Some discretion may be needed, however. Corrections should be made in private so as not
to embarrass the employee. This may require some postponement. Furthermore, it is crucial that the
supervisor recognize when the correction is really needed. Is it a matter of perception? Are you
superimposing your own attitude or prejudice on the situation? Sometimes supervisors make corrections,
not because the employee was ―wrong‖ but because the employee was not doing it ―the supervisor‘s
way.‖ This can be an ego matter. If the job is getting done and there is no safety violation, is a correction
really necessary? This calls for a clear and unbiased evaluation by the supervisor.
Do you believe that some slack should be cut for ―better‖ performers? If Joe comes in five minute late,
but he is a superb performer, shouldn‘t he get some slack? This can be a tricky issue for the supervisor.
We certainly do not want to harass an excellent performer over a minor infraction; however, we must
apply the same standard to all. Not to do so could be perceived as unfairness and even discrimination. It
could even result in legal action. The supervisor can not ―ignore‖ violations regardless of how well an
employee performs. Of course, a gentle correction that recognizes how others look to the high performer
as a role model can be employed.
Do you present a solution and insist that the employee conform? A corrective or disciplinary event should
not be confused with proper application of Situational Leadership. Here, we are trying to get the employee
to recognize the violation and take personal responsibility for it. Hopefully, through discussion you and
the employee should come to a mutually acceptable solution to the problem. Chances are far better that
the employee will take corrective action seriously if he feels that the solution is his idea.
Have you ever used a disciplinary action to set the example for the rest of the group? This disciplinary
technique has been misused and abused by leaders at all levels and situations. It suggests that punishment
is doled out to one individual that may have been appropriate for others but has not been used, solely for
the purpose of discouraging further similar behavior by other group members. This is patently unfair and
not a good leadership technique. At its worst, it can undermine morale and tarnish the reputation of the
leader making successful leadership more difficult.
Is documentation something that you reserve only for extreme cases? Most of us know this should not be
the case, and yet most of us do exactly that. Why? Because documentation is usually perceived as a pain
in the neck. Unfortunately, poor documentation or complete lack of it has proven the Achilles heel in
many a situation. Even a scribbled line in a memo can be a life saver. Take the time to document.
Computer access has eased this burden somewhat, but it still needs to be emphasized. Even a brief
comment referring to Joe‘s five minute tardiness can prove valuable at a later date. Successful leaders
often maintain a working file for each of their team members. This makes it easy to keep notes about
individual performance.
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Activity
Below is the outline of a hypothetical situation that exists in your organization. How would you address
the problem? Be sure to cover all four of the above listed steps in the Positive Discipline process.
Hal is an experienced and successful individual contributor and a team player. He has been
with the organization for many years and has been a mentor to several other more junior
employees. Isabel, one of Hal‘s co-workers, has come to you with a complaint about Hal.
Isabel is relatively new to the team. She is a single mother. She is still having trouble with
some of the new reporting procedures. She complains that Hal is paying too much attention
to her and flirting with her while instructing her on the procedures. Sometimes she feels
that he is staring at her. Isabel is uncomfortable around Hal and says that he is making it
difficult for her to focus on her work.
How would you approach this issue?
Step One: Identify behavior. Investigate.
Step Two: Meet with employee.
a. Present the issue.
b. Get employee comment.
c. Get employee recommended course of action.
d. Agree on plan.
e. Schedule follow-up meeting.
Step Three: Document
Step Four: Conduct follow-up meeting.
Additional information from Hal‘s perspective.
Isabel reminds Hal of his own daughter who is also a single mother. He has perceived that
she is having trouble adapting to some of the new procedures and has a fatherly interest in
helping her. Isabel is obviously attractive and Hal may kid with and possibly flirt with her
in a fun way, but certainly not in a serious manner. She is young enough to be his daughter
and he has never before been accused of anything similar to this.
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Summary
Many of us associate ―discipline‖ with punishment and the concept of forcing others to change
unproductive or unsafe practices or violations of the rules. Positive Discipline, on the other hand, is an
effort to encourage self-discipline among team members. This means to place responsibility for correct
behavior on the employee.
Unfortunately, many leaders attempt to change attitudes rather than focusing on behaviors. Behavior is
usually observable and often quantifiable. Rules and standards exist for the good of the team. When an
employee resolves to adhere to them, he or she becomes a more productive team member.
The thrust of the four steps outlined above is to engage the employee bringing her behavior in line with
rules and standards. It can be helpful to see this process as a training effort rather than a discipline issue.
Successful Positive Discipline places responsibility for right conduct on the employee. It also requires that
the supervisor be open minded and a good listener.
Good documentation is essential to the process.
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NOTES
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2.6 Leveraging Diversity
Diversity
Social diversity has been a part of America since its beginning. Our nation was founded by immigrants
and has often been called a melting pot. As the country spread from shore to shore people of many races,
religions and cultures contributed to its development. Laborers from China and Ireland helped build the
transcontinental railroad. African Americans, first slaves and then free men and women, contributed to the
growth of the nation, as have Italians, Latinos and more recently people from many other groups
including Southeast Asia and the Middle East. Today, men, women and families from all over the world
still come to America seeking freedom and a piece of the American dream.
For a long time, however, government, industry and business had been guided and managed by white,
Anglo-Saxon males. For a variety of reasons, this began to change during the middle of the twentieth
century. It began as an issue of civil rights involving select minorities, but was rapidly enlarged to include
women, seniors, and gays. Affirmative Action did much to energize the movement. It was a government
mandated program to take proactive steps to recruit, employ and promote qualified women and minorities.
Affirmative Action was in large part successful in providing opportunity for those who might otherwise
not have had it. This addressed the problem of inequality and prejudice in the work place primarily in a
surface manner. It did not address the concept of diversity and benefits accruing from multi-cultural
organizations.
Programs and efforts that deal with discrimination and affirmative action address the more glaring aspects
of prejudice and equal opportunity. Today, overt acts of discrimination are usually dealt with quickly and
decisively. Diversity, on the other hand, addresses the more subtle barriers that may interfere with a
person‘s continued employment and success because of being a woman, or a member of a minority group.
It relates to the culture and climate of the organization as it interacts with individuals who are different.
For example, a minority supervisor may be excluded from a strategic planning session. A woman may be
casually excluded from an after-hours social event. Blame for a problem situation may be cast in the
direction of the person who is obviously different. These are not affirmative action issues. They are
diversity issues.
The purpose of this chapter is to provide insight and understanding to the highly relevant topic of
diversity, and to prepare supervisors for both organizational and individual challenges related to it. Since
the middle twentieth century the composition of many businesses and government organizations has
changed significantly. Many women have entered the workforce and have impacted the relative
proportions of male and female employees. Latinos are the fastest growing minority in the country. Most
organizations reflect a changing make up of the workforce. In addition to African Americans, Latinos, and
Asians, other groups are represented in the workforce, such as single parents, dual-career couples, same-
sex couples, and the physically challenged. ―Leveraging Diversity‖ means applying these differences to
the benefit of the organization.
The Diversity Model as identified by Gardenswartz and Rowe ―assumes that groups will retain their own
characteristics and shape the organization as well as be shaped by it, creating a common set of values.‖ 1
This is contrary to what had been the commonly accepted belief that assumed those who join an
organization will fully adopt the values of that organization. Hence, it is important for supervisors and
managers at all levels to understand diversity and how to optimize its benefits in their organizations.
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Understanding Diversity
Our cultural programming and frame of reference can cause us to draw conclusions and make
unwarranted assumptions. Our frame of reference is a product of a variety of values, attitudes and
experiences that make us who we are. Our behavior (the way we act and react toward others) is a function
of this frame of reference. What are the things that make us who we are? They may include such simple
things as our sense of smell, foods we like or don‘t like, our eating habits, and how we relate to time and
opportunity. For example, western culture sees time as linear (Do it now or miss the opportunity.), while
Asian culture tends to see time as circular (If I miss the chance now, I will get it the next time around.).
One‘s frame of reference may also be a product of more complicated issues, such as work habits and
practices, beliefs and attitudes, values and norms, and how we communicate. For example, some may put
work ahead of family, while others may see family as priority number one.
Prejudices, stereotypes and behaviors we demonstrate toward others result from our frames of reference.
Prejudices include preconceived and often erroneous views about others. Stereotypes are generalizations
about others, especially about groups, that are at the root of prejudice. Finally, our behaviors often include
labeling others leading to inclusion or exclusion depending on the label. These beliefs and behaviors are a
function of our values, attitudes and experiences and we often incorporate them into our day-to-day
activities and interactions without making a conscious choice. That is why dealing with diversity can
present such a difficult problem for employees in general and specifically for their leaders. You may be
doing things that promote discrimination and undermine the profitability of your organization without
knowing it.
Impact of Diversity
As organizations become more diverse, they are confronted with opportunities and challenges.
In the past, many organizations approached diversity as a fairness issue with government oversight. In
other words, it was a fact of life that needed to be addressed because there might be penalties if it was not.
In recent years, however, organizations (both government and private) have come to understand that there
are definite and important advantages to building a healthy, diverse organization. It is recognized today
that talent comes with diversity. If an organization wants to attract a topnotch workforce, it should be
appealing to people from all groups. Further, it has been shown that diversity produces higher levels of
productivity while minimizing turnover and absenteeism. If an organization mirrors customers served, it
is more likely to reach more customers and even to relate better to them. This can even support a better
understanding of various market segments, especially as relates to the growing global market.
Organizations that manage diversity effectively get a reputation for being ―good places to work.‖ This
attracts more qualified applicants. These employees end up being more content with their work and the
organization is therefore more creative and innovative.
These are the advantages of leveraging diversity.
Effectively managing of diversity means reducing barriers, and encouraging employees to achieve all
their potential will permit. This requires the very best in leadership in order to build teams that are
supremely productive while encouraging every person to strive to achieve. This does not come without
challenges. A broad variety of cultural groups can also be a source of conflict and discomfort. No one
wants to be assumed to be the ―token‖ minority member or the ―token‖ woman in a work group.
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Conversely, non-minorities may think that some particular action was taken solely in the name of
diversity. This can grow out of firings, as well as hirings or promotions. Diversity itself can be the cause
of misunderstandings or misinterpretations. The very existence of a minority network can be interpreted
as disruptive or divisive. People from one group may see those from another as a threat to their power and
prestige. All these are further complicated by individual frames of reference including prejudices,
stereotypes and behaviors that may consciously or subconsciously become manifest in a given situation.
By and large, a diverse organization that is well led can overcome potential conflict and maximize the
benefits of a broad based workforce. This requires both leaders and employees to thoroughly understand
and promote diversity. This includes striving to eliminate the subtle modes of discrimination that exist in
most organizations.
Marsha, our new supervisor, has been in the job a while now. She is about to discuss a situation that
relates to our topic with her mentor, Jim.
Marsha: Jim, here‘s my problem. Over the last several months, my team has lost three of our minority
members. These were pretty good people with good potential. And it‘s happening to other teams in our
department, too. I support the affirmative action effort and I try to treat everyone fairly, but something is
wrong.
Jim: What you are describing is not unusual. Our organization is in the midst of an important transition.
The Affirmative Action Program addresses only the tip of the iceberg. It is a start point but not the total
solution.
Marsha: Solution? We recruit lots of women and minorities and we treat them fairly. We even go out of
our way to make sure they have a chance to get ahead. I thought that was the solution. I have not spotted
any prejudice or discrimination in my team or in the department for that matter. If I did, you know I‘d
take action to stop it pronto! (Her lips pursed and she crossed her arms.)
Jim: Marsha, I don‘t doubt that, but we have to take the next step and go beyond affirmative action. You
see, we have in most cases addressed the overt indicators of discrimination, but there are many more
subtle signs that we need to become more sensitive to. In many cases these are things people do without
realizing it. We have just begun to recognize the diversity in the organization and even in our customer
base. Now, we have to learn to manage it and use it for the benefit of the organization. Have you attended
the Diversity Training scheduled for new supervisors?
Marsha: No. It was a really tough day, and I couldn‘t make it. Besides, I had heard that it was just a re-
hash of our affirmative action policies.
Jim: Diversity is much more than that. It addresses the subtle aspects of prejudice and discrimination that
most people overlook. You want to know why minorities that you think should be happy in their jobs leave
the organization. The answer is that the organization has not paid attention to its own diversity.
Did you ever notice that when some of the fellows in your old team went out for beers after work, you
were not invited? (Marsha nods, ―Yes.‖) Well, that is a subtle form of discrimination. They were making
the assumption that, because you are a woman you wouldn‘t enjoy a few beers in a sports bar. It was
subtle, but it happened. There are lots of those subtle exclusions that send messages to minorities and
some women that they will never be completely accepted. You may not catch them, but they do.
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Marsha: (Her eyes open wide.) I never thought of it before, but the departmental ad hoc committee on
long range planning is composed entirely of white males. Wow! I thought I should have been on it.
Jim: (With a twinkle in his eye.) Marsha, just think how many of those subtle slights occur that you have
not noticed. Here is what leveraging diversity is about in a nutshell. It means ensuring that persons from
all groups are included in all aspects of the organization. That all of us, and especially we leaders, are
sensitive to those subtle acts of discrimination. It means ensuring that all employees have a real chance to
succeed in the organization. Do you see how much more there is to diversity than simply executing the
Affirmative Action Program?
Marsha: Yes, I do.
Jim: That Diversity Training will be a good place for you to start learning how to leverage diversity.
Then, you can begin to see answers to your original question. Many women and minorities get hired and
perform well, but then they plateau and lose their drive. Some quit. Some get fired. Then the supervisor
has to orient and train someone new. What a waste! Leveraging diversity starts with you. As a supervisor,
you can ―create a work setting that promotes the upward mobility of all kinds of people, including white
males.‖2
Marsha: OK. I need to become more sensitive to those subtle slights and help others to understand
diversity issues as well. Thanks, Jim. I am off to see when the next Diversity Training class is offered.
Jim: Go get ‗em, Marsha!
Assessing Yourself
If you are truly interested in effectively managing and leveraging diversity in your organization, the place
to begin is with yourself. Your own awareness and sensitivity to these issues will send a resounding
message to all those around you. You have values, attitudes and experiences which have programmed
prejudices and subconscious behaviors. Your development as a leader in understanding yourself should
include your awareness of these and any behavioral modifications you may deem appropriate.
There once was a little blonde haired boy who attended a Japanese Bi-cultural Bi-lingual elementary
school. He was the only Caucasian in the school. Today that boy is a man. He has virtually no prejudices
or false assumptions based on race or ethnicity. That experience in elementary school has served him
well. Most of us have not had such an experience. Therefore, it is important that we investigate our own
values, attitudes and experiences to determine how we became the persons we are today.
You may want to begin by investigating who you are and how you became that person. Do this with a
sense of purpose. Make notes and record your conclusions. Where did you grow up and where were you
educated? How did these situations impact on your own culture? Your current lifestyle is a reflection of
your past. What has been your exposure to people who are different from you? How has this filtered or
programmed your assumptions about women and minorities? Be brutally honest with yourself. Do you
make general assumptions about women, African Americans, Latinos or Asians? What about single
parents or homosexuals? How can these assumptions influence your relationships and your ability to be
an effective leader?
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Activity
This may be done alone or with a group. The purpose is to gain a better understanding of the term
―diversity.‖
On a piece of paper (flip chart if you are with a group) list some of the categories that come to mind when
you hear the term ―diversity.‖ There is virtually no limit to the number of categories or groups, but try to
list at least ten or fifteen.
Do you need a start point? How about age, physical ability or ethnicity or economic status?
Now, consider the variety of terms. Have you expanded your idea of diversity? After all, diversity can
include short and tall people as well as people of different race and gender.
Did you notice that ―shared experiences‖ can be the basis of grouping people? Veterans can form a group
of those different from others. Cancer survivors may share a special bond.
Each of us may very well belong to several groups.
Activity
Read the story below and think about what it may tell you about diversity.
Three people boarded an elevator in the lobby of a public building. One was a hippy-looking white guy
with long hair and baggy corduroy pants. The second was an Asian woman fashionably dressed wearing
a mink jacket and expensive jewelry. The third was a white haired woman in her late sixties carrying a
large plastic sack. At the fifth floor another person got on and the elevator continued its upward journey.
The new arrival was an African American male in a business suit and carrying an expensive leather
attaché case. It was a diverse group. Between the seventh and eighth floors, the car jerked to a stop and
the lights went out. Within a few seconds, the auxiliary lighting came on casting a yellow-gray color on
the elevator car which remained motionless.
Until that moment the occupants of the car hardly paid any attention to each other. Now, they were forced
to survey their situation and begin to interact. The younger woman asked everyone to remain calm. There
was some brief chit-chat. After wondering what the problem was and deciding that they would soon be
rescued, they began to share information about themselves.
The elderly woman asked if any of the others played Bridge. All did. She then produced a deck of cards
and suggested that they sit on the floor and play cards. All agreed. As they played the hippy-looking guy
mentioned that he was new to the city and had just moved from Chicago. The Asian woman was pleased
to note that she had grown up in Chicago and hoped to return some day. She had remained a Cubs fan.
The man in the business suit said that he had been in Chicago only last week and spent an entire
afternoon at the Museum of Science and Industry. The hippy-looking young guy shared that he was an
archeologist at the University of Chicago and had contributed some relics to the museum. After taking
three consecutive tricks, the elderly woman noted that her grandson lived in a small town in the suburbs
of Chicago, but that she had not yet been there to visit. She also noted that the Cubs were not doing well
this year. She finished by saying that it was certainly a small world. The man in the business suit
commented that it surely was, because next month he was to become a grandparent, too. All agreed that
grandchildren are special.
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They were just about to begin their second hand of Bridge when the elevator started moving again.
Everyone gave a sigh of relief. They all stood up. The Asian woman helped the older woman whose legs
had fallen asleep. As the elevator door opened at the tenth floor, to their surprise, everyone exited. It was
the passport office and, as it turned out, all were there to apply for passports.
What differences were obvious between the four elevator occupants? List them. What assumptions, if any,
did you make based on their descriptions? What similarities did they have? List them. How did the
similarities strike you? Were you surprised that the hippy-looking guy was a college professor? If so,
why? What else did you learn about diversity?
Diversity is not just about how we are different. It is also about what we have in common. What lessons
about diversity can you take away from this and how might they be applied in your organizations?
Organizational Assessment
At your level as a supervisor, your organization is your team. At every level, however, there needs to be a
leadership assessment of current diversity and the organization‘s readiness to build on it. How have
prejudices, stereotypes and behaviors impacted your team to date? Is the team ready to move forward and,
if necessary, systemically change its outlook on diversity?
Your team members are the raw material from which you will build a diversity valuing group. How do
they fit into various groups by gender, age, job classification, education, and so forth? You need insight to
current opinions and attitudes toward culturally different groups and related issues. You also need to
become aware of how ready they are for this journey of valuing and leveraging diversity. You may gather
some of this information by observation and casual discussion with team members. Surveys can also
provide useful information and later be used to evaluate progress.
You can construct your own survey or go on the Internet to find one. The purpose is to identify the
organization's diversity issues and to gauge current organizational culture.
What steps might be taken by an organization to promote openness and acceptance of different groups?
How ready is your team to attempt them? You might consider a conference on diversity. Discussion on a
day-to-day basis and insight to organizational trends can help the perceptive leader gain awareness of the
team‘s attitudes. As a supervisor, you might also consider different methods of acknowledging diversity,
such as publishing newsletters in more than one language.
Does your organization have strong leadership role models? Diversity training? Networking
opportunities? Plans for customizing programs for a variety of cultures? Facilitator sensitivity to multi-
cultural issues? How seriously are these things and other methods for leveraging diversity addressed by
the leadership?
Here is a sampling of issues you may want to assess in order to better understand your organization‘s
readiness to seriously develop a program to leverage diversity.
 Attitudes toward Diversity: Do team members have a favorable outlook on diversity? Do they
believe the organization promotes it?
 Discrimination: Do employees believe it exists in the organization in either overt or subtle forms?
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 Group Representation: Are representatives from the various groups within the organization present
at all levels and involved in all aspect of the organization?
 Training in Diversity: Are employees provided the opportunity to learn about and understand the
dynamics of diversity and its impact on the organization? Is involvement encouraged?
The awareness you gain from answering the above questions can provide the raw information you will
need to build an organization that values contributions from all groups. Below we will discuss leadership
initiatives. We will take a detailed look at organizational approaches as well as individual strategies for
leveraging diversity in order to build a more cohesive and productive organization.
Managing Diversity
Managing diversity is only one part of the total leadership and management responsibility. It must be
done in the midst of day-to-day operations and can be incorporated into many other dimensions of
leadership. These include training, coaching, delegation, motivation, and operational performance. The
leader sets the stage for achieving cultural diversity in a healthy, productive organization. This requires
leaders at all levels to take the initiative. First, let‘s discuss individual strategies; then we will talk about
organization approaches.
Individual Strategies for Leveraging Diversity

Individual attitudes and behaviors are at the heart of a healthy organization. Every person whether a
leader or an individual contributor has a frame of reference, complete with individualized prejudices,
stereotypes and behaviors. Leaders have the responsibility to understand diversity with its benefits and its
challenges. Likewise, each person in the organization has the responsibility to deal with these issues in a
healthy, productive manner that will benefit the organization. Each person has the responsibility to be
aware of and understand the impact of the differences among people. This may be the result of training,
but it can also be a result of individual efforts and interactions. One of the goals of a healthy culture is to
provide the opportunity to develop each individual to his or her maximum potential. You can promote this
kind of environment.
Many people avoid confrontation at all costs. As a leader, you are expected to set the example by rejecting
intolerance and modeling behavior that is acceptable in the work environment. Overt acts of prejudice and
discrimination are becoming rare. These, when they occur, must be dealt with immediately. Overt
comments or slurs can be addressed forthrightly by saying, ―Those kinds of comments are not used here!‖
The leader, however, has the added responsibility to be sensitive to those more subtle acts of exclusion
and prejudice that are often overlooked. This requires the ability to confront them in a constructive and
helpful manner so as to build a stronger and more collegial environment without alienating the subject of
your critique.
More subtle comments may be addressed by appealing to the person‘s sense of fairness. A useful and
diplomatic approach might be to ask questions, such as, ―Why did you say that?‖ or ―Why do you believe
that?‖ In other situations a statement from the leader can send a powerful message; ―I‘m sure you don‘t
realize how hurtful that remark was.‖ You can also acknowledge what is good and healthy for the team;
―On this team no one is excluded. Every member is important.‖ See the chapter on Resolving Conflict for
specific techniques.
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Another individual strategy for leveraging diversity revolves around mutual success. It is important that
every member of a team be recognized for good work, but the wise supervisor will also promote the idea
that each team member is involved in the success of every other team member. This is a very difficult
concept to incorporate because it can be countered by individual egos. By showing an interest in the
development and success of all employees, you can demonstrate your support for diversity. There is often
a tendency for a supervisor to choose a few ―top performers‖ to mentor and to whom they delegate
projects. By delegating to women and members of various groups you can provide them opportunities for
success and send the signal to others that these people are productive and making a serious contribution to
team productivity. This may even extend to assigning new group members temporary mentors in an effort
to get them involved. Then, follow up by getting the two of them to meet with you to discuss the new
person‘s progress.
Beware! If your team is comprised of a majority of women, you may find that males see themselves as a
minority. As a supervisor you are responsible to ensure the inclusion of all members. Sensitivity can be a
two-way street.
When you choose people for assignments and projects, ask yourself why you chose them. Ensure that
they are chosen for the right reasons and encourage others to do the same. When opportunities arise for
your team to contribute to an ad hoc committee or task force, be sure that all employees have a chance to
participate. Rotate these assignments. Get feedback on their performance and share it with them. When
successful team members have a chance for promotion or a lateral move that would be career enhancing,
encourage them. Your team will become known as a place where future leaders are groomed.
Leveraging diversity means paying attention to the positive sides of group differences. Diverse groups
bring a variety of perspectives to any given situation. Set the example as a leader. Model a positive
attitude toward cultural differences. Be prepared to challenge prejudices, stereotypes and unproductive
behaviors that sow the seeds of disruption and disunity in your team.
One of the important responsibilities of any leader is that of being an effective coach. In the Center for
Creative Leadership Handbook of Coaching, Ancella Livers recommends developing an outlook toward
coaching minorities by discussing the suggestions listed below.3
 Keep mutual respect paramount.

 Don‘t assume your experience is your coachee‘s experience.
 Challenge those assumptions about your coachee you most want to protect.
 Understand that differences among people really do matter, as do similarities.
 Be willing to broaden your outlook.
 Be willing to wrestle with complexity and nuance.
 Expect to be surprised at the diversity within diversity.
Livers goes on to note that, ―issues of diversity are inextricably bound with issues of identity, humanity,
fear and status and so are inherently complicated.‖ An effective coach will be thoroughly honest while
remaining sensitive to the differences and cultural barriers that can exist between people.
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Organizational Approaches to Leveraging Diversity
Having discussed the role of individuals in managing diversity, we can now turn to ways in which the
organization influences this important aspect of organizational dynamics. Among other things, we will
discuss building an environment that fosters diversity and multi-cultural health, the impact of values, and
diversity training.
The organization sets the stage for a healthy culture in which people from all groups are encouraged to
participate and can strive to meet their potential. This begins with organization policies and the climate set
at the top. It can be further influenced by the manner in which it responds to problems arising from the
differences among people. As these policies are executed and responses to challenges are made, the
supervisor has the opportunity to reinforce a healthy environment. Every situation and accusation must be
treated seriously and appropriately. Over reaction can be as destructive as failing to take action. It is up to
leaders throughout the organization to ensure an immediate, fair and balanced response.
Establishing policies and ensuring appropriate responses to problem situations is not enough. The
organization will need to take proactive steps to ensure that management of diversity is seen as an
opportunity to develop individual talent and potential, to improve efficiency and productivity, and to build
customer satisfaction and loyalty. As mentioned earlier, an Affirmative Action Program does not leverage
diversity. An environment must be created in which leaders and employees not only accept one another,
but in which they thrive on cross fertilization and interaction between various groups. Picture a work team
in which individuals eagerly anticipate interacting and learning from people who are not like themselves.
The benefits of this type environment accrue to all.
To build this environment, leaders are held responsible at every level. Does a portion of your periodic
evaluation focus on the degree of enthusiastic support you provide for the organization‘s diversity effort?
If all individuals are not held responsible, how can the effort be taken seriously? Organizations that are
earnestly committed to encouraging participation from all groups will set specific diversity goals and
ensure that leaders are held responsible for their achievement. This concept can be reinforced as you
stress these goals within your team. It is up to you to make discussion of diversity goals and issues a
normal daily event. This need not be a formal effort. It can be achieved as you manage by wandering
around (MBWA).
As a supervisor, if you make yourself thoroughly aware of the diversity within your work group, you will
be prepared to accommodate the needs of different groups and individuals. If you have single parents,
they might benefit from flex-time or from job sharing, or child care programs. Older team members may
prove to be undiscovered assets to your team. They may have previous experience or knowledge that can
benefit the entire group. How can you arrange for this information to be shared? Will brown-bag lunch
meetings work?
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Take a few minutes and list the various differences among people that are present in your work group.
Then, ask yourself how they can be encouraged or how their diversity can benefit the entire team. Use the
space below.
Diversity Worksheet
Name Difference Possibilities
1.
2.
3.
4.
5.
Others? Use separate sheets.
Fig. 21
Whether your organization has a mentoring program or not you can establish one within your team. It can
be a comfortable and effective way to get people to know each other better and to share about their
various cultures. This can be achieved by pairing up individuals from diverse groups or cultures. After a
new person has been assimilated into the team, you might want to continue the general idea with a
rotating buddy system. This will encourage professional interaction and over time build team work.
Employee networks offer another method for leveraging diversity. This is usually a policy decision that
comes from upper management; however, it is a topic about which every supervisor needs to be aware.
Some large organizations have found them to be useful, while others remain skeptical because they think
such groups might be divisive. Whether they exist or not in your organization, you might want to become
familiar with the concept. Employee network groups are composed of individuals with a common
characteristic. It may focus on race, gender, sexual orientation, physical disability, or other common trait.
These groups meet with organizational approval to share and socialize and to offer each other support to
adjust and develop within the work environment. Benefits may be improved retention and recruiting.
Backlash from non-members of such groups could be a problem. This touches on the organization‘s
commitment to leveraging diversity.
Often, in conversations about diversity we hear the term ―multi-cultural.‖ One might say that a multi-
cultural organization is a goal that transcends diversity. It suggests the evolution of an organization that
values individual and group differences to the extent that they become an integral part of its very nature. It
not only values diversity but encourages it and sees it as a major contributing factor to its success.
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In an article entitled, ―The Multicultural Organization,‖ 4 Taylor Cox identifies six key characteristics of
the multi-cultural organization. They are
 Creating pluralism.
 Achieving leadership diversity.
 Creating full structural integration.
 Creating full integration of informal networks.
 Creating a bias-free organization.
 Organizational identification.
These require effective leadership at all levels of the organization. As a supervisor, you can promote these
characteristics and encourage others to realize the value of diversity.
Our new supervisor, Marsha, mentions in the dialog above that she had a busy day and decided that other
things were more important than the Diversity Training that she had been scheduled to attend. This kind
of training is often misunderstood or ignored as perfunctory and done only for appearances. Nothing
could be further from the truth. Majority or mainstream groups can feel threatened by diversity training.
As a group, they may agree that it is the responsibility of the minority members of the organization to
conform to the norms of the larger group. This attitude can be destructive and harmful to organizational
effectiveness and harmony. That can impact negatively on profitability which can ultimately harm
everyone.
According to the Diversity Model quoted from page one above, ―… groups will retain their own
characteristics and shape the organization as well as be shaped by it, creating a common set of values.‖ 1
The organization will benefit more if the majority agrees to do its part to understand other groups better. It
is a simple matter of being aware and sensitive to the culture of other groups. This does not imply that one
must in any way give up being a part of his or her own group. Rather, for the good of the organization and
all its members, to understand and promote the value a variety of cultures can have on productivity,
customer satisfaction and ultimately profitability.
For these reasons diversity training should be well designed and presented. Furthermore, it needs to be
followed by conscientious application in the workplace.
What can you do?

Many of us are familiar with the Open Door Policy. It encourages access to leaders and promotes
forthright criticism and suggestions to improve the organization. In order to leverage diversity, each
leader might consider promoting an ―Open Mind Policy.‖ It is a human trait for us to cling to the familiar
and reject that which is different or unfamiliar. The successful leader does not have this luxury. The
successful leader needs to develop an open mind and, beyond that, promote the Open Mind Policy within
the organization.
What is an Open Mind Policy? More than a policy, it is a mind set. First, it acknowledges that differences
exist. It does not ignore them or reject them. Next, it requires an open and honest, but sensitive approach
to dealing with these differences. Diversity training can prepare leaders and employees for constructive
and harmonious interactions between peoples of different groups. As an extension of that approach,
inappropriate actions or statements as a result of prejudice, stereotypes, and false assumptions need to be
confronted immediately and appropriately. An open mind begins with you.
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You can not mandate open minds. In fact, attempts to force acceptance and inclusion of diverse groups on
others can backfire in a destructive way. There are other, specific things you as a supervisor can do to
leverage diversity and build a harmonious team. Many of these items and actions result from the
application of good leadership techniques. Others specifically address diversity. Setting the example is
paramount. As mentioned above, it is important to recognize that differences among people exist. They
are expected and dealt with head on. What else can you do?
 Understand your own feelings and attitudes toward women and minorities. If you are a woman
or a member of a minority group, how has this influenced your leadership? Do you need to re-
evaluate your actions?
 Know your people. What groups are represented on your team?
 Set up a mentoring program directed at integrating all groups into the team.
 Send everyone to diversity training, but you go first! When people return discuss openly what
they learned.
 Address diversity issues immediately and appropriately.
 Ask for feedback about how you have been responding to the differences that exist in your
team. Consider what you need to do as a result.
 Become familiar with the professional goals and personal expectations of your team members,
and commit to helping them be achieved.
Finally, be a caring leader. Recognize that in order for a team to be successful, every member must feel
appreciated and productive.
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1. Gardenswartz, Lee and Rowe, Anita, The Managing Diversity Survival Guide, Irwin Professional
Publishing, Chicago, 1994.
2. Thomas, R. Roosevelt, Jr., Affirmative Action to Affirming Diversity, Harvard Business Review,
March-April 1990.
3. Livers, Ancella B., Coaching Leaders of Color, CCL Handbook of Coaching, Jossey-Bass, San
Francisco, 2006. Pp 255-256
4. Cox, Taylor, Jr. ―The Multicultural Organization,‖ Academy of Management Executive, May 1991,
p52
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2.7 Build Productive Teams
As we have stated earlier, leaders are measured not on their individual productivity, but on the collective
productivity of those on their team. Therefore, a high performing team is worth more to the organization
and to the leader than one that is less productive. Beyond that, a team that works well together and is
successful is generally easier to manage, has fewer interpersonal concerns, and produces more creative
and innovative solutions to problems. The process of developing a productive team is called ―team
building.‖ As a supervisor, it is one of the several skills that can contribute to your success.
Team building is the effort through which the team, usually guided by a leader or facilitator, works
together to understand itself and create a combination of ingredients that promote and support the
maximum contributions of each member. 1 Team efforts are focused through the use of group dynamics
on creating a harmonious, open and honest environment in which team synergy is maximized and all
outputs contribute to organizational goals and effectiveness. The leader who understands this process and
is able to build a highly productive team will be more likely to find career success.
The Team
What is a team? How does it differ from a group? Eight people in an elevator are not a team. They are a
group of individuals. If they were to arrive at the ground floor of the building to find that they were the
only people left in the world, they might be inclined to become a team. Why? Because they would have
suddenly found that they may have to rely on one another to survive. William Dyer put it this way,
"Teams are collections of people who must rely on group collaboration if each member is to experience
the optimum of success and goal achievement." 2 Here, the goal is to survive in a world suddenly devoid
of other people. A newly married couple is entering into a team relationship, and so is a football team, the
group that planned the Normandy invasion of 1944, or the committee that is planning the next office
party.
You will come in contact with many different types of teams. The discussion below will apply more to
some than to others. In some you will be a member, while in others you may be a leader, and in still
others you may perform the duties of a facilitator. The term ―team building‖ implies that the team is
constituted for a long enough period that there is time for each individual to develop a relationship with
the other members and to learn her or his role and responsibilities in the team. Some teams are in tact
work groups. This implies that they work in a group/department/section or other work unit under
supervision of a leader/manager. This team is formed around a normal work process, and is usually not a
voluntary enlistment. They may be put together almost at random because of operational requirements. It
is up to the leader to make a real team of this group.
At other times, teams are assembled to accomplish a particular task or project. These ad hoc teams may be
composed of volunteers or members may have been directed to join by higher authority. They may exist
for several days, weeks or even months. Some of these teams are cross-functional; that is, they come from
various parts of the organization that perform different functions and do not usually interact as a unit.
Fisher and Fisher 3 have used the two variables of scope and duration to divide teams into four groups:
Natural Work Teams, Cross-Functional Teams, Small-Project Teams, and Special-Purpose Teams. See
the figure below. Our initial focus will be on natural work teams and cross-functional teams.
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Types of Teams
Natural Work Cross-Functional

Team Team
Small-Project Special-Purpose
Team Team
Fig 22
In an article published in 1990, Arnold Bateman listed the characteristics of good team building1
These are
 High level of interdependence among team members

 Team leader has good people skills and is committed to team approach
 Each team member is willing to contribute
 Team develops a relaxed climate for communication
 Team members develop a mutual trust
 Team and individuals are prepared to take risks
 Team is clear about goals and establishes targets
 Team member roles are defined
 Individual and team expectations are set
 Team members know how to examine team and individual errors without personal attacks
 Team has capacity to create new ideas
 Each team member knows he (or she) can influence the team agenda
It is the leader‘s responsibility to understand both his or her own preference and the greater organization‘s
expectations in developing a complimentary teaming environment. The leader will consider each of the
characteristics listed in light of these.
Our friend Marsha is moving along quite well as a supervisor. As a matter of fact, her team was really
beginning to click, but there was an unexpected bump in the road. Let‘s listen in on another conversation
she is having with her mentor, Jim.
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Marsha: I‘m really confused, Jim. My team was really beginning to connect. Sure, there was some initial
testing and even some challenges to my authority, but we worked through them. I slowly gained their
confidence and they seemed comfortable with my methods. I even walked them through the Johari
Window exercise you suggested. We all learned a lot about our facades and blind spots and I think we all
felt more comfortable with open and honest feedback. (She stopped and began shaking her head.)
Jim: All that sounds pretty positive.
Marsha: It was, but recently it seems as though we have reverted to an earlier time. Questions about roles
and responsibilities that were ironed out weeks ago have cropped back up. In some cases, I‘ve had to go
back to a ―telling‖ mode when I would prefer to be using a ―participating‖ or even a ―coaching‖
strategy. It‘s like going back to square one. (She shook her head again.) Very frustrating!
Jim: What has changed.
Marsha: Our mission is still pretty much the same. Nothing really different. Bob James was transferred to
Boston, but we got in two new people almost the same time, so we are not short handed. Customers and
our technology have both remained pretty constant.
Jim: What about the new people?
Marsha: Oh, they fit in pretty well. Both are sharp and willing. I even managed to take them aside for a
few hours to give them a good overview of what we do. That first week, I also went through a modified
Johari with them. You know, just to get them a little more comfortable with our candid way of sharing
feedback. I tried to prepare them for some of the Inclusion issues we discussed in the FIRO model.
Jim: I think you just hit the nail on the head.
Marsha: What do you mean?
Jim: Well, you know that groups tend to revert from Control to Inclusion when members leave or new
members join the group. So you already expected some disruption with the loss of Bob and the arrival of
two new folks. But, Marsha, there is another way to look at team development that may help you
understand what‘s going on. Did you ever hear of Forming, Storming, Norming, and Performing?
Marsha: No. It sounds like a weather report.
Jim: Your team is constantly evolving, and you have to be aware of the potential for change and
disruption, as well as the potential for growth and development. A team is like an entity with a personality
of its own. Forming, Storming, Norming, Performing is a way to understand the development of your
team. It is compatible with FIRO and Situational Leadership, and it says a lot about how people interact
in a group.
Marsha: Well, my team is already ―formed‖ and I just want them to understand their jobs and get the
work done!
Jim: Marsha, you are a good leader. As you mature you will help your team as it constantly renews itself
and evolves into a high performing unit. As you understand more about team development, you will be
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able to help your team members know what to expect from each phase and how they can get through them
faster and with less pain. Most people grow up learning to be independent, but effective teamwork means
giving up some of that independence and replacing it with a healthy ―interdependence‖ and that doesn‘t
come easily. As a leader, part of your job is to help each person understand what he or she brings to the
table and how to rely on the talents and skills of others. That‘s team building.
Our purpose here is to help you understand teams better and to become familiar with the process of team
building. From a leadership perspective, team building is the intelligent application of several other
leadership skills and technologies. Among these are communications, conflict management, leveraging
diversity, meeting management and systems thinking. Successful team building is based on your ability to
apply a wide variety of leadership skills to generate the characteristics listed above. This means being
innovative and maintaining a long-range perspective while being aware of both content and process. The
process of ―how‖ a team works is what team building is all about. The leader must be patient and still
recognize that Situational Leadership may dictate times when he or she takes the bull by the horns, makes
a decision and enforces it.
Although this manual is intended to help you become an effective and successful leader, it is important to
note that in the long run team development is not about you, but about the whole work unit. Many highly
successful people are successful because of a personal drive and competition that motivates them to strive
to come out on top. Members of a successful team recognize that there are more effective ways to get the
work done (solve problems) that require sharing information and building a solution through a group
process that can produce a better product. This is based on understanding that ―interdependence‖ is
essential to a high performing team. Interdependence is produced through mutual trust and recognition
that every member of the team has an important contribution to make.
The Question of Team Building

It is a worthy goal for any supervisor to want his or her team to function well together. There should be
cooperation and information sharing and a sense of teamwork. This is not necessarily the result of
effective team building. It might be that the supervisor is an outstanding leader who applies effective
leadership skills. Delegation is used. Open and honest communication is promoted and Situational
Leadership is practiced. Team building, on the other hand, is a more complex and participative
phenomenon. It requires a deep commitment to developing a special sense of interdependence and
individual ownership from group members. There is an implicit willingness to put aside selfish desires
and maximize synergy.
John Lewis 4 describes the prerequisites for team development. Without these, team development may be
unnecessary, detrimental or both. Listed below are musts for initiating a team building effort. (We have
replaced ―executive‖ with ―supervisor‖ in the text.)
 Current patterns of communication and interaction among members of a group are

inadequate for group and organizational needs.
 The concept of being (or desiring to be) an integrated team exists in the minds of the
supervisor and managers in the group.
 Significant face-to-face interaction among members of the group is expected by the
supervisor and/or is required by the needs of the organization.
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 The supervisor can and will behave differently as a result of the development effort, and
team members can and will respond to his (or her) new behavior.
 The organizational tasks assigned to the group require close and frequent coordination
laterally among group members in such matters as planning, problem solving, and decision
making.
 The benefits in terms of group effectiveness and member satisfaction to be gained from
team development outweigh the costs incurred from altering existing role and social network
arrangements to which the group has accommodated.
These are requirements for initiation of a full blown team building effort. The implication is that the
supervisor understands team building and that its requirements are congruent with the supervisor‘s own
personal leadership style and philosophy of management. Lewis goes on to say that you should be
comfortable with sharing power, problem solving and decision making with your team members, and that
the greater organization supports your efforts. This is not to imply that most leaders in most situations
may strive to promote teamwork using the team building methods discussed here.
With this as a backdrop, let‘s look at the dynamics of the team process. Earlier we discussed FIRO as a
model for understanding how teams develop. The three phases discussed were Inclusion, Control and
Openness. These are the stages through which a team can pass as it evolves. We also discussed Situational
Leadership in some detail. By assessing each situation leaders can determine the appropriate leadership
strategy to use. The options available are Telling, Coaching, Participating and Delegating. Now, we turn
to another model of team development that is directly related to building an effective team.
We will look at a model of team development first proposed by Bruce W. Tuckman.5 It is often called the
―Forming, Storming, Norming, Performing Model‖ of team development. Tuckman and others believe
that these phases are all necessary as a team grows, and responds to a variety of challenges. It has become
somewhat of a standard for understanding teams. Please keep in mind that this model compliments FIRO
and Situational Leadership and does not replace them.
Forming – Storming - Norming – Performing

Forming
This stage relates closely to Inclusion (FIRO) and Telling (Situational Leadership). The supervisor tends
to be more directive. By forming we mean that the group begins the process of becoming a team.
The intact work group may have been working together and developing relationships for some time.
Forming and Storming may have already taken place and may need to be revisited as the leader takes
more purposeful control and as a specific, planned effort of team building is conducted.
During the Forming stage, there is little agreement on aims and purpose of the group except for that
presented by the leader. They meet, share information, and begin to learn about the group‘s potential, its
opportunities and its challenges. Conduct and communications among members may be guarded and
somewhat perfunctory. During this stage members usually come to agreement on purpose and goals and
to the concept of team development. They may begin to accept and carry out tasks. Members tend to
behave independently, focusing on self, and relying on direction from the leader, although there may also
be a tendency to test the leader. Leaders must, therefore, be prepared to answer lots of questions about the
group‘s purpose, how it fits into the larger organization, and projections for the future. It might also be
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helpful for the leader to share the concept of Forming, Storming, Norming, Performing in order to help
the group understand its potential development as a team.
Myers-Briggs Type Indicator (MBTI) During this stage of team development you as the leader have the
opportunity to introduce several tools and processes that individuals can use to learn more about
themselves and each other. This will enable them to interact better with other team members and begin to
develop a sense of interdependence. High on the list is a tool to enable individuals to understand their own
particular personalities and preferences for interaction. The MBTI is an instrument designed to assist a
person in identifying some significant personal preferences. Katharine Cook Briggs and her daughter
Isabel Briggs Myers developed the Indicator during World War II, and its criteria follow from Carl Jung's
theories in his work Psychological Types.
The MBTI instrument is probably the most trusted and widely used assessment in
the world for understanding individual differences and uncovering new ways to work
and interact with others. Subjects answer questions that divide them into behavior
preferences. These include Introvert or Extravert, Sensing or Intuitive, Thinking or
Feeling, Judging or Perceiving. They are then merged into profiles of 16 personality
types. Knowing which type you are can help you understand why you have certain
demands, expectations or preferences when you interact with others. If you are an
Extravert, how does this impact on your relationship with team members that are
Introverts? People who share Sensing and Thinking preferences naturally get along. They understand
one another and find it easy to work together. People who share Intuition and Feeling preferences may
easily form a close working relationship. On the other hand, a person who is a senser and thinker may
have trouble relating to an intuitive and feeling person. The value of you and your team members knowing
this information about each other is significant. Hence, Forming can be more productive.
Johari’s Window. This exercise was discussed in Part I. Understanding your blind spot and façade can
help you be a better leader in the Forming stage. Encouraging your team to conduct the Johari activity can
give them insight into how they relate to you and each other and provide helpful development input as
well.
Situational Leadership. This concept is key to a leader‘s effectiveness during the Forming stage of team
development and continues to provide a vital understanding of how to draw a team together and
encourage teamwork and productivity. As the group develops and becomes a team during the Forming
stage, the directive or telling approach can be selectively replaced by coaching.
Storming
As the Forming stage winds down, we must remember that not every member will move forward at the
same pace. Most may be ready to move into Storming, but some will carry with them questions and
uncertainties. These individuals should not be neglected as your team moves on. There is no definitive
line between stages. They blend into each other. Some issues that may be generally considered Forming
issues may carry over into the Storming stage. This is to be expected.
The Storming stage of team development is roughly equivalent to the Control stage of the FIRO model. It
can be a contentious time of role development and clarification, and it may even be threatening or painful
to those who are more sensitive or who shy away from conflict. It is incumbent on the leader to
differentiate between healthy, productive conflict and destructive conflict. During this stage, the leader
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may choose to be more in the Coaching mode of Situational Leadership, although some directive
behavior may be necessary. As this stage develops the leader may become more accessible and exhibit
more personal interaction.
Communications between members will become more open and confrontation will be accepted as a
constructive concept. The team will come to grips with its function. Questions will be answered such as
which tasks are individual responsibilities and which require a team approach? Conflict between team
members can be expected as they sort out their roles. The leader may be challenged and should be
prepared for this. It is during this stage that the supervisor begins to establish a leadership style and
develops expectations from the team. The concept of Situational Leadership may be discussed.
With mature and experienced team members, Storming may be accomplished relatively quickly. Under
other circumstances, the team may never get out of this stage. Immature members will continue to focus
on self and press to demonstrate their independence or even their dominance. Some may throw up road
blocks to further development by challenging authority and the roles of team members.
Storming is important and necessary for the members to develop into a productive team. Although it may
be contentious, the idea is to work out the bugs in relationships and for each individual to recognize the
importance and contribution of the others. It is during this stage that members begin to see the value of
diversity and to know each other‘s strengths and potential contribution to the team‘s success. Clarity of
roles and the purpose of the group will increase, but uncertainties will still exist. Because team members
may be vying for position within the team, it is essential for the leader to maintain control and be able to
guide the members toward a healthy and productive relationship.
Norming
The Norming stage of team development has much in common with the Control stage of the FIRO model;
however, during its maturity it may begin to resemble what Shutz called Openness. During Norming the
leader may act more like a facilitator and an enabler and, therefore, this stage may have much in common
with the Participating strategy of Situational Leadership.
During Norming because the team members are beginning to know each other‘s strengths and
weaknesses, they adjust their behavior and develop relationships and work habits that seem appropriate
and productive. As the Storming subsides team members come to agreement on rules and procedures.
They agree on responsibilities and begin to settle in to their expectations for each other. Certain work
habits and methods are acceptable and others are not. A sense of trust and even communal respect begin
to develop and mature. This has implications for performance management and how the supervisor
guides, motivates and encourages productivity. Team members show signs of understanding how they fit
into the big picture. It is usually during Norming that work and performance measures are discussed and
established. Here the supervisor must be both team member and the representative of the larger
organization. The leader should recognize that telling and coaching are still viable leadership strategies
when a decision has already been made by higher authority.
There can be a tendency during Norming (and later during Performing) for a team to become victim to
Group Think. This can occur when the team begins to see itself as successful to the point that they might
mistakenly believe that no problem is too big for them to overcome. Individuals may not come forward
with negative possibilities for fear of undermining group determination and resolve. Hence, the mistaken
belief that ―we can do anything.‖ Bad or impractical group decisions are often attributed to Group Think
because, in retrospect, they appear to have been rash and irrational. It is a phenomenon that is always a
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potential result of group development. To preclude it, the supervisor may consider a variety of methods to
encourage open and honest criticism and healthy skepticism of decisions.
Roles and responsibilities are clarified and accepted during Norming. The supervisor tends to facilitate
and encourage individual participation. Interdependence is recognized as acceptable and even optimal.
Certain decisions may be made by consensus depending on the situation. Delegation is recognized as a
healthy and viable way to train members and to share responsibility. The team becomes comfortable with
itself and with its leader.
Performing
Not every team will reach the Performing stage. Those that do are generally considered to be high
performing systems. It remains the goal of every team to strive for that high level of performance.
The various stages of team development are not necessarily linear in nature. Experienced teams may cycle
through these stages numerous times over their lifetimes. For example, a team might be in the Norming
stage, performing consistently well, and with a change in one of many variables (such as a change in
personnel), it can revert to the Forming stage. Remember how Marsha experienced her team‘s reversion?
A change in mission could cause a team to revert to the Storming stage. In this way the Forming,
Storming, Norming, Performing model is very much like FIRO and Situational Leadership. None of them
is static. Groups can move from Openness (FIRO) to Inclusion or Control. Likewise, leaders may, under
certain circumstances, decide that a team or an individual that has been working under a Participating
strategy (Situational Leadership) should be led using a Coaching or Telling strategy. This flexibility
provides leaders with a variety of options to improve teamwork and accomplish the mission.
A team that does move into the Performing stage has established a highly productive working
relationship. It is very much self aware. This includes knowing and respecting each other‘s capabilities
and limitations. The high performing team functions with minimal supervision and with direct and
accurate communications. Conflict and disagreement are seen as appropriate, creative and natural, but not
personal. Disagreement produces superior performance, provided it is constructively channeled. They
think outside the box and recognize that they can get more done and create a superior product by relying
on each other. Decision making and problem solving are efficient and highly effective. Individuals in this
team may often be described as professional, knowledgeable, creative and highly motivated.
The Performing team generally has a thorough awareness of the big picture and sees its own contribution
in that context. Its members have a shared vision and a common commitment to excellence. It is ―self-
policing‖ in that its members understand interpersonal processes and they pay attention to relationship
issues. They care about one another and take care of each other. This team is constantly growing because
they know how to balance getting the job done with individual and team development.
Supervising this high performing team is a challenge for the leader. It requires less actual supervision, but
they must not be ignored either. The Performing stage is much like the Openness stage in the FIRO model
and like the Delegating strategy in Situational Leadership. The team should be monitored and encouraged.
It should know that the supervisor is always ready to lend support and assistance. As a boundary manager,
the supervisor is charged with the responsibility to ensure that the team has the understanding and support
of the organizational hierarchy. When reward and recognition are due, the leader should be sensitive to
provide them in a manner that is acceptable to the high performing team.
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Be careful. With continued success these high performing teams can become somewhat ―quirky‖. They
may tend to feel separate and even above other groups. It is up to the supervisor to encourage them to
conform to organizational standards without diminishing their special chemistry. This is another reason
why the leader needs to keep fingers on the pulse of a team in the Performing stage.
The supervisor may be part of the high performing team. Here, the challenge is to lead without being the
bossy. This requires helping the team remain on track to fulfill its role and its mission, while encouraging
interdependence and commitment to task accomplishment.
In recent years, another stage of development has been added to the model. It is the Adjourning and
Transforming stage.
As a leader you are a change manager. You are constantly facilitating the growth of your team and
responding to changes in the environment. The challenge for you is to be moving toward that openness or
performing stage while recognizing that temporarily reverting to an earlier stage is to be expected. The
upside is that you know what to expect and how to deal with it. Remember too that there can be a
downside. ―Groupthink‖ is always lurking in the shadows. Then there is the possibility that you, the
supervisor, may lose control and be swept along by a very powerful and proactive group. Understanding
team development is the first step in preparing for such possibilities.
The Supervisor: A Team Builder

As a supervisor you are charged with finding a balance between the individual success of your people and
the mutual success of your team. This is no easy task. Even the best of high performing teams is
composed of individuals with personalities and egos. Group success is a wonderful thing, but most people
still long for individual reward and recognition. Your job is to attend to both.
There are certain things that teams do well and other things done well by individuals. In short, the team
approach is not always the best approach. What do teams do well?
 Gather information and insight, especially for complex problems.

 Address situations in which success is clearly a shared function; where egos are not
overwhelming.
 Create new ideas and innovations when time is not an urgent issue.
 Plan for transformational change.
 Solve problems with cross-functional implications.
 Approach poorly defined problems that may lead anywhere. (The Radical Team Handbook. 6)
 Address problems that require diverse skills.
 Pave the way for successful implementation when group cooperation is essential.
When is the team approach not the best idea?
 When strong aggressive leadership is required.

 When time is short or constrained.
 The work to be done is routine.
 When one person possessed the expertise and the information to do the job.
 If employee turnover precludes effective team development.
 When the overall organizational environment is not conducive to the team approach.
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You, as supervisor, can help your team members become aware of these different situations and
encourage them to be flexible. Certainly, routine tasks that are done on a daily basis will be accomplished
by individuals. However, whenever a team member runs up against an unusual or difficult situation, the
entire team should be prepared to assist. Herein we find the idea of interdependence. If Paula has a routine
task that develops into one requiring more statistical expertise than she possesses, she needs to feel
comfortable going to Max, the acknowledged statistical whiz, for help.
What can you do to foster and grow an environment that promotes teamwork?
First, you can help the team clarify its mission, as well as its roles and responsibilities. If the group has a
common understanding of what success looks like in its work environment, it will be more likely to pull
together to achieve that success. This goes for individuals as well as the team. Each will be more
comfortable knowing what your expectations are. The flipside of that also holds true. You may want them
to clarify their expectations of you as the leader. Here you can help by presenting those things you already
acknowledge as a good leader‘s obligations to her team members. These may include providing the tools
and support necessary for them to excel. Then ask for more from them.
Second, you might want to ensure that they understand the nature of teamwork. This may include
presenting one or more of the various models of team development and helping them know that it is a
cyclical process. Discuss interdependence with them. Ask them to evaluate where they believe they stand
as a team on several critical functions, such as communications, confrontation and interpersonal
relationships. Clarify that they are evaluated both for their individual performance and how they, as
individuals, support the team effort. This sets the stage for them to be successful as individuals and as a
team.
Remember the value of Johari, the MBTI and other individual and group dynamics tools. Ask for help
from an outside facilitator if that will make it easier for you. Team building sessions are more than ―feel
good‖ opportunities. They provide the chance for team members to learn more about each other
professionally and personally. As a team they can identify the things they do well and those things they do
not so well. Then, they might discuss ways they can improve. Don‘t close the session without setting
behavioral objectives to be implemented. Experimenting with new behavior can be liberating. The process
of doing this can produce a more integrated and cooperative team. Try not to have such a session without
envisioning how you expect it to unfold and what you hope to accomplish. Then, evaluate your success.
In The Successful Manager‘s Handbook 7 actions are identified to help you become better at promoting
teamwork. Below is an abbreviated list of some of these.
 Valuing the Contributions of Team Members. This means including your team members in
a variety of activities and asking for their input. Take their suggestions seriously and let them
know that you value them.
 Encouraging Interaction among Group Members. Encourage participation in meetings and

other group sessions. Be careful not to dominate. Ask questions and wait for responses. Take
actions to involve everyone. Assign presentations. Use different members as facilitators.
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 Increasing Interdependence within Your Team. Ask them why they think teams exist. Help
them recognize the importance of knowing that someone else might be better equipped to do a
particular job, and the value of going to that person for help.
 Discouraging ―We versus They‖ Thinking. Promote teamwork and look for the win-win.
 Involving Others in Shaping Plans and Decisions. If you have an intact work group, this is
a selective choice on your part. You are building a team while working from a Situational
Leadership mindset. When time and circumstances permit, this is an excellent way to promote
team cohesiveness and get team support for implementation.
 Acknowledging and Celebrating Team Accomplishments. Remember Maslow and

Herzberg. The reward or recognition should be appropriate to the accomplishment and the
individual.
 Evaluating Your Effectiveness as a Team Member. You wear two hats. As a Situational
Leader you need to be prepared to take charge and make decisions or to act as a member of the
team and measure your involvement and participation leaving room for the input and creativity of
others.
As you can see, building a high performing team requires a lot of thinking, planning and balancing of
various interests. Teamwork is essential to your success and that of your organization. As you address
your day-to-day requirements, keep these activities in mind. You can set the example as a selfless leader
committed to building a successful team.
Challenges to Building a Successful Team

Team development requires open and honest communications tempered by sensitivity and a sense of
mutual agreement. Candor without sensitivity can create hard feelings and reduced efficiency. Agreement
purely for the sake ―keeping the peace‖ may end in poor decisions, Group Think or stagnation of
creativity. In this space we can not discuss every possible impediment to building a successful team. Your
good judgment and awareness of the need for mutual support and interdependence is an important key to
success. However, we can point out several situations and actions that may prepare you for the challenges
of promoting teamwork.
Communications
Did you ever have a boss or a colleague with whom it was difficult to communicate? It impedes the total
relationship. Teams too can be hindered by poor internal communications. The high performing team
must have a relaxed and uninhibited manner of sharing information and opinions. We recognize that
differences of opinion and different perspectives can have a tendency to inhibit communications. The
successful team will create a level of communications that promotes open and honest sharing, candid
disagreement and honest, healthy agreement. As supervisor, you have the lead in creating this
environment and setting the example for healthy communications.
You have, no doubt, heard of the ―open door‖ policy. While the ―open mind‖ policy may easily apply to
encouraging and promoting diversity, it is also an important element for you to use as you develop
excellent communications within your team. Many supervisors unthinkingly create team members who
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only know how to say ―yes.‖ Whatever the boss wants or presents is automatically the solution. This
happens when alternative suggestions are either ignored or criticized out-of-hand. The successful leader
will encourage candid sharing of opinions and even disagreement.
Team members can spot a phony or insincere response right away. They can tell when their supervisor is
being insincere. As you set the example for good communications, you may want to assess how you share
information. Is it straight forward and unequivocal or roundabout and filled with qualifiers? To encourage
open and honest communications you will need to become aware of how you share information and how
you respond to input from others. How can you encourage others to express views that are unusual or that
may differ from your own? One way may simply be to ask for them, and then listen intently to the
response and withhold judgment -- at least temporarily. Ask other team members what they think of the
suggestion. Remember, you are setting the example.
The Abilene Paradox8 presents excellent insight and can be an effective tool for leaders at all levels. It is
a commonly understood phenomenon to be avoided by your team. It can help team members understand
and know how to deal with unhealthy agreement. The Abilene Paradox is stated by William Dyer 9 as
follows: ―Organizations frequently take actions in contradiction to what they really want to do and
therefore defeat the very purposes they are trying to achieve. It also deals with a major corollary of the
paradox, which is that the inability to manage agreement is a major source of organization (team)
dysfunction.‖
How, you may ask, can a team allow itself to do something it really does not want to do and that is not
productive? The answer is by being more concerned with harmony and avoiding confrontation than in
seeking frank opinions. You will need to read an excerpt of J. Harvey‘s brilliant article to fully understand
the insidious nature of the paradox and how to avoid it. Good communications, however, will nip it in the
bud. Your team may even come to ask itself periodically, ―Are we going to Abilene?‖
Finally, good communications is a matter of sharing and not hording information. Rumors and secrecy are
unhealthy. Encourage your team members to share what they know and what they think. For a more in
depth discussion see the chapter on communications.
Role clarification
Early on in team development the group will naturally begin to ask questions about roles and
responsibilities. The issue of role clarification may arise numerous times over the life of any team.
Changes in team members, in mission or even in technology, among other things, may necessitate
revisiting roles and relationships. Redundancy in roles can waste time and produce the potential for
conflict and stress. The supervisor has an obligation to review the team‘s mission and its resources and
guide its members to a clear understanding of what their roles are and how they may expect to collaborate
and cooperate to accomplish the team‘s purpose. In the earlier stages of team development it may be
necessary for the supervisor to assign roles; however, as the members become more familiar with each
other and the team‘s purpose and mission, these roles can be renegotiated and clarified for the most
efficient and productive combination.
As you approach this leadership task you will move through several phases in the process.
1. Identify talents, skills and competencies of team members.

2. Identify interests. It is most productive to match skill with interest when possible.
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3. Help the team understand the concept of interdependence and synergy and how this impacts on
roles and mission accomplishment.
4. Allocate roles and responsibilities. This may be considerably easier if step three is thoroughly
executed. Ideally, each duty will be voluntarily accepted. However, you as the leader may need to
negotiate for the good of the team and its performance goals.
5. Monitor performance and continually access the appropriateness of roles as they are allocated.
Be open to needs for modification.
Members of a high performing team will know their responsibilities and be confident that they can count
on other team members to thoroughly perform theirs. What can make this team truly high performing is
that the sense of interdependence and synergy encourage members to recognize that helping a colleague is
a natural extension of every role. Rather than being restrictive, clear roles enable each member to see the
importance of going the extra mile for the team.
Conflict and Negotiation
There are numerous advantages to working in teams. The problem is that teams are composed of people
and people have differing perspectives and expectations. To further complicate the team dynamic, most
people dislike and attempt to avoid conflict. Minor conflicts, if ignored, can develop into full blown
internal team civil war. This is disruptive and debilitating for the team. How can the team focus on its
mission and task accomplishment when members or sub-groups are in a hostile relationship?
This presents one of the most difficult and challenging aspects of the supervisor‘s role. Dealing with
conflict requires much from you as a leader. To begin, there are, indeed, benefits of conflict. Honest
disagreement and varying opinions make for better products and improved performance. Many times
creativity and innovation are born of conflict. The leader may want to encourage this kind of creative and
healthy conflict. It is the supervisor‘s job to identify unhealthy conflict and deal with it in a constructive
and positive way.
What are some of the signs of unhealthy conflict? When team members disagree on everything, this may
indicate a serious conflict issue. If cliques or factions develop and begin to impact negatively on
communications this may be a sign of unhealthy conflict. A team member may ―clam up‖ or become
belligerent in dealing with another team member. Open or covert name calling may even occur. There are
many other indicators. It is important for the supervisor to recognize such conflict and take immediate
action to resolve the situation. Unhealthy conflict ignored is likely to seethe and continue to get worse. Its
effect on the team can be devastating.
In these situations the leader may become a negotiator. This kind of conflict often arises when one
person‘s behavior or perceived behavior conflicts with another‘s expectations. The solution may be as
simple as an open and honest discussion of the situation moderated by the leader. If the conflict involves
factions or more than two people, a group session may be necessary. If the supervisor is too close to the
problem, it may be wise to solicit the help of a facilitator from outside the team. Discussion normally
centers on things the parties involved expect each other to start doing, stop doing or continue doing. The
purpose of the team leader or facilitator is to guide the discussion to help the parties understand how their
behavior is perceived by others and encourage a commitment to work together in harmony.
It is essential for the supervisor to work with the parties to understand the problem and acknowledge its
impact on the team. This must be done before a solution or change in behavior is sought. In some
instances, it may be wise to include other team members who are impacted by the situation but may not be
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directly involved. After all, the goal is to build a more cooperative and productive team. Finally, the
leader should be looking to the post-meeting implementation. Is it clear to all parties what is expected of
them? What will happen if anyone fails to live up to the negotiated settlement?
Conflict resolution and negotiated settlements may be critical to a team‘s survival and continued
development. Ignoring conflict will not make it go away, and addressing it in a timely and forthright
manner can lead the team to a higher level of performance.
Meetings
Meetings are an important part of team life. Here, we are looking at meetings and various group sessions
as a venue for the leader to use to encourage teamwork and continue the healthy development of the team.
A poorly run meeting or a group discussion that degenerates into a gripe session can be disruptive and
damaging to individual morale as well as harmful to team cohesion. Meetings are held so often that they
tend to be taken for granted. This means that they do not receive the planning and preparation they
deserve. Every gathering is an opportunity to build the team.
Meetings or group sessions are an opportunity for you to reinforce your image as a leader. How you
manage these and how well you have prepared can also impact on the entire team. Where is the team in its
development? Is it Forming or Storming or at some other stage? What are the implications for how you
might want to run the meeting? If at all possible, plan ahead. Ensure that the team knows why the meeting
was called and how long it is expected to last. Be certain to clarify how much participation you want and
expect from team members. If it is strictly for you to put out information, ask yourself why you are not
sending out a memo instead. Routine meetings can be helpful, but they can also become meaningless and
a waste of time for members. Consider canceling routine meetings if you believe they are unproductive.
The details of meeting preparation and execution are in another chapter. From a team building
perspective, remember to clarify why you are having the meeting and what your expectations of the group
are. You set the tone and may want to pay special attention to ―air time.‖ Establish ground rules and
encourage participation from every team member. Practice your listening skills.
Some sessions are specifically for the purpose of team building. These should be carefully planned and, if
possible, reviewed by a facilitator. Here it is particularly important to clarify the purpose and goals of the
meeting and make your expectations clear. It is best not to rush these sessions.
As a team builder, you may want to see every group gathering as an opportunity to move the team along
toward interdependence. Emphasize that every person‘s input is valuable. Try to frame the session in
terms of the larger organization and the big picture. This team has an integral role in organizational
success.
The Team Charter
Many teams have developed a Team Charter including a statement of purpose and some guidelines
regarding basic operations. This can be helpful for you and your team, but only you can determine that it
is the kind of thing you would like to introduce to your people.
The charter is intended to be a guide or tool to help the team understand itself and its internal processes.
Much of it addresses team expectations for the conduct and behavior of individuals and may provide a
framework for certain levels and types of decision making and problem solving. The process of
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developing a team charter can be as powerful and useful as the document itself. It can clarify the team‘s
purpose and prioritize its activities. During its development, the team can discuss its vision for the future
and how it fits into the greater organizational picture. A team charter often clarifies internal norms for the
team as well as possible responses to external pressures and situations.
Many charters assume the nature of a contract between team members. It may outline acceptable and
unacceptable conduct and provide expectations about how violation of norms by a team member will be
handled. As a situational leader, you may want to clarify your position as supervisor and outline your
approach to your responsibilities as such. Be careful not to hogtie yourself with unrealistic rules or
expectations. The charter is an informal document intended to improve team performance and help create
an environment of interdependence and cooperation.
Other Kinds of Teams

To this point, we have been discussing intact teams or work units. They are generally assembled to
perform a specific function or process. In manufacturing, to make or assemble a product. Other teams
may do billing or provide customer service or manage and disperse funds. In these cases, the supervisor
may apply a broad variety of leadership strategies and team building approaches based on the nature of
the work.
Occasionally, a team may be assembled to perform a specific task or project. These ad-hoc teams can
exist for a short time (two weeks) or a longer time (a year). Often, they are created to solve a problem or
make recommendations to higher management on how to solve a problem. When these teams are
comprised of members from a variety of functional areas who do not normally work together, they are
called ―cross-functional teams.‖ Often the thinking behind the decision to create teams such as these is to
bring together talented and experienced people with a variety of skills who can approach a problem from
a new direction.
Ad-hoc or Project Teams
A team is not always the answer to an organizational problem. Ad-hoc and cross-functional teams are not
needed to solve simple or routine problems. Problems or projects requiring a major team effort are
normally complex and impact on the organization in a significant way. Often they address issues of
organizational change, experimentation or controversy. This may mean that a certain amount of risk is
involved for both the organization and the individual team members. Teams are not inexpensive. The
organization must be willing to expend the time, money and personal effort required to make the team
successful. Furthermore, there must be a commitment to organizational support for the team and its
mission. This means that the organizational culture and environment should be of such a nature as to
accommodate the team ethic.
Assembling members of a work unit may be somewhat haphazard. On the other hand, teams created to
fulfill a specific mission require specially selected individuals. Volunteers with the appropriate
qualifications are generally preferred to members who are drafted against their will. Normally, members
are recruited for their experience and skill as well as for their creativity and tendency to think outside the
box.
In the case of ad-hoc or project teams, team building is an early and continuous activity. Why? It prepares
the team for maximum effectiveness. An effective team has a sense of commitment to the project or
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purpose for which it was assembled. It communicates well internally and externally and resolves internal
conflict in a productive manner. It develops better and more creative alternatives to solve problems.
Finally, it produces quality results. The effective team must 1) be able to understand and agree on its
mission and purpose, 2) possess the ability to gather and analyze data, 3) make good decisions based on a
thorough understanding of the data and the situation, 4) develop and perhaps implement a plan to
successfully execute the decision. The purpose of team building is to create the kind of relationships
within the team that will encourage performance to accomplish these things and produce high quality
results. Therefore attention is normally given to the steps or stages of a team building effort. These vary
between organizations and theorists, but the main elements hold true.
As we discuss these, consider how you might relate each phase to the Forming, Storming, Norming,
Performing model. Remind yourself that these stages are not linear and they can occur during any one of
the phases discussed below. There is a tendency, however, for Forming and Storming to relate more
closely to the two early phases of assembling the team and getting started. The phases outlined are, in
fact, linear.
Assemble the Team. This phase includes selection and recruiting and an initial meeting to discuss the
purpose of the group. The leader will answer questions about why the team has been assembled and
discuss with the group how teams operate and the advantage of creating a team. The team will develop a
mission, purpose and set of team goals. During this phase, the team will discuss its support from the
organization as well as what the organization expects from it. The basics of good communications are
introduced.
Getting Started. Now that the basics are out of the way, the team comes together to begin to develop
relationships and a team climate. Norms are established for typical interactions. They will discuss what
each individual brings to the group along the lines of talents, skills and experience. Then, they may
discuss how work will be organized and some fundamentals of the team process will be presented. The
concept of interdependence and cooperation is strongly promoted, as is the idea of open and honest
communications, healthy conflict, Group Think and the Abilene Paradox. A Team Charter will be
considered. The goal of this phase is to put the team in a constructive and cooperative frame of mind.
Training. Depending on the kind of mission the team has, it may be necessary for it to receive some kind
of technical training which may include problem-solving or Six Sigma type techniques. This training may
also include team techniques such as brain storming and consensus building.
Data Collection and Analysis. This is the first step in the actual problem-solving process. The problem is
defined, data collected and analyzed. Keep in mind that the team building process continues. As a leader,
you will probably find yourself balancing the functions of task accomplishment and relationship building.
Here you may begin to see yourself periodically as a team member, recognizing that synergy and
interdependence are the hallmarks of the successful team.
Decision Making and Action Planning. This step is the logical movement toward problem solving and
implementation. It depends to a great extent on the purpose for which the team was assembled. Is a
decision to be made and executed or is a specific course of action to be recommended? Here the team may
focus on the issue of change. The best possible solution is generated and then the team may be charged
with the responsibility to create a plan that will ensure its successful implementation. This may involve
selling it to other parts of the organization.
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Evaluation. In this final phase, the team reviews all that it has done. The purpose of evaluation is to
measure the success of the team effort and possibly improve on the team process. It may take place quite
some time after the implementation, but a plan for evaluation is usually part of action planning. How will
the team‘s effectiveness be measured? Has it achieved its goals? If part of the team‘s mission is to
implement its recommendations then its ultimate success can only be measured by the extent to which it
provides positive impact on the organization. On the other hand, the team‘s mission may well have been
simply to provide recommendations and alternatives. In that case, success may be solely the opinion of
higher management.
Any team, but especially ad-hoc or project teams, requires support from higher management and an
organizational environment that will accept its techniques. It must be legitimized by the organization.
Individuals selected for the team can not be selected by default or in order to ―get rid of them.‖ Selection
for such a team should be seen as a reward within the larger organization. When individuals return from
this type of team duty, they should be recognized for their contribution and asked to share with their work
group the lessons learned from the experience that might contribute to more productive work climate.
The success of an ad-hoc team is often a function of the extent to which its people were able to come
together in a selfless and cooperative manner to provide the most creative and functional solution to a
problem.
Cross-Functional Teams
These teams are a form of ad-hoc or project teams. The important difference is that they are composed of
people who may have not worked together before or who may not even have known each other. The
situation can be further complicated if the members come from functional areas which may have had
antagonistic relationships. In any case, the idea of building open and honest communications, mutual trust
and a spirit of interdependence becomes increasingly important and perhaps more difficult. A consultant
or an experienced facilitator may be helpful.
Virtual Teams
These are teams whose members interact primarily via electronic means. They may meet face-to-face, but
this would be only occasionally. Virtual teams are becoming more common and they require special skills
and efforts from their leaders. Some are completely informal and are simply composed of people who
share information and informally solve problems in a very casual manner. Others are designed and
assembled for specific tasks. Usually, the organizer will attempt to have a kick-off meeting in a single
location so all involved can have at least one face-to-face encounter.
The purpose of the team and how it is to operate must be clearly established at the outset. This precludes
confusion. Specific outcomes and time lines are often helpful in order to keep this type team on track. It is
difficult to build a team and produce excellent products when members can habitually meet in a single
room until the task is accomplished. This becomes even more complicated when they are at different
geographic locations.
There are numerous articles and websites dedicated to Virtual Teams or Geographically Distributed
Teams.
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Summary
The successful leader understands teams and how to use them. As a supervisor you wear several hats. 1)
You are certainly concerned about the growth and development of each individual on your team.
Regardless of the team ethic or the success of your team, each person is important and looks to you for
guidance and direction. You practice leadership one-on-one and never lose sight of each person‘s
uniqueness. 2) As a team leader you also have responsibility for developing a collective sense of purpose
and focus on the task at hand. It is your job to ensure that the team understands its place in the big picture
and how it contributes to organizational goals. Team development and group dynamics are a comfortable
part of who you are as a leader. You promote interdependence and collaboration. 3) There are also times
when you become a contributing partner or member of the team. At these times you have determined that
the team has the maturity and understanding of the problem needed to pursue a logical and innovative
path to a superior solution. By demonstrating this trust, you reinforce the team‘s identity and its
confidence in itself. Because you have reached an appropriate level of maturity as a leader, you know
when to wear each hat. Furthermore, you have prepared the team for these varying approaches.
As a leader, you align, inspire and guide. You ensure that individuals and the team itself are moving in the
same direction toward a common goal. That goal must be in support of the vision of the organization.
That‘s alignment. You inspire by matching individual talents, needs and drives to support team efforts
while fostering the spirit of interdependence. You guide the team by setting its course and prioritizing its
work to ensure it achieves organizational goals.
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1. Bateman, Arnold, Team Building: Developing a Productive Team, accessed December 5, 2006,
http://ianrpubs.unl.edu/misc/cc352.htm
2. Dyer, William G., Team Building: Issues and Alternatives, (3rd Edition). Pearson Education POD,
1995.
3.Fisher, Kimball and Fisher, Mareen Duncan, The Distributed Mind, AMACOM, American
Management Association, New York, 1998
4. John W. Lewis, III, ―Management Team Development: Will It: Work for You?‖ Personnel (July-
August 1975).
5. Bruce Wayne Tuckman (1938- ) - published in Psychological Bulletin 1965 a short article -
Developmental sequence in small groups.
6. Redding, John C. The Radical Team Handbook, Jossey-Bass Inc. Publishers, San Francisco, 2000
7.Successful Manager‘s Handbook, Personnel Decisions, Inc.
8.Harvey, J., ―Managing Agreement in Organizations: The Abilene Paradox,‖ Organizatio Dynamics
(Summer 1974), pp 63-80.
9. Dyer, William G., Team Building: Issues and Alternatives, Addison Wesley, ???
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NOTES
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2.8 Communications
Introduction
This chapter addresses Communications for Supervisors. As organizations have become increasingly
complex, so has our concern for sharing information. We have found that an organization‘s health and
productivity are directly related to how well individuals and groups communicate. We have discussed
how you the supervisor set the stage for a proactive and high performing team. Much of this is related to
your ability to get the right information to the right people at the right time. Beyond that it is further
influenced by the way information flows within your team and between teams within the organization.
The work environment reflects its communications. An organization, in which information is horded and
rationed out sparingly, one with many secrets and rumors, may have difficulty reaching its full potential.
Conversely, when information flows freely and people understand the purpose and expectations of
management, organizations tend to continuously improve and achieve the high goals they set for
themselves.
We have acknowledged in previous chapters that people are the single most important ingredient to a
successful organization. They need to understand organizational goals, policies and procedures. When
information is unclear, they need to feel comfortable seeking clarification. Facts and data need to be
obtained for decision making and problem solving. Individual and team innovation and creativity are
enhanced when members share a common vocabulary and understand ideas clearly. Groups from a variety
of genders, ages, educational backgrounds and cultures have to transcend differences and share
information succinctly and effectively.
We live in an information society. An efficient and sensitive sharing of information is essential. It

promotes organizational effectiveness. It optimizes the benefits of diversity. It reduces stress and makes
for a healthier and more comfortable work environment. Individual participation, teamwork, efficiency
and ultimately organizational and individual success depend on good communications that begins with
you.
Fundamentals of Communications
There are two general categories of communications: oral and written. Oral communications includes a
variety of one-on-one exchanges of information. These may include interviews, counseling sessions, task
assignments and a host of other functions. Within the category of oral communications are also group
sharing, meetings, and presentations. Written communications include casual notes and messages,
memos, letters and reports of varying sizes and composition. Both oral and written communications are
used for sharing information for a variety of purposes. Specific types of communications will be
discussed in the sections that address applications.
What is effective communications? If the action or response of the receiver is the response expected by
the sender, then the communication has been successful. You as a supervisor encode an idea or
information or a feeling as a message. You choose a channel or method of sharing that information and
transmit it. If the receiver decodes the message and performs the task or otherwise responds the way you
wanted, the communication has been effective. It has achieved your purpose. It is the sender‘s
responsibility to understand the purpose for which the message is being sent and to select the best method
to convey it. Then, the sender should check to ensure that the message is understood. By eliciting
feedback or checking for understanding, the chances of effective communications are increased. Note that
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both the sender and receiver have filters and barriers that can impact the message. These will be discussed
later.
Communication
RECEIVER
IDEA
INFORMATION
FILTER/BARRIER FEELING
SENDER
•IDEA
•INFORMATION FILTER/BARRIER
•FEELING
FEEDBACK
Fig. 23
Below is another way to look at the communications process. The sender encodes the message and selects
a channel or method to transmit it. After it is received, the person receiving the message decodes it.
Finally, feedback is transmitted by the receiver or solicited by the sender which validates the effectiveness
of the communication effort.
Occasionally, the purpose of the communication is not achieved. This can be due to a variety of reasons.
The sender may have poorly selected the words used, included too much detail, or not enough, or perhaps
chosen the wrong channel. Perhaps an e-mail failed to convey the urgency that might better have been
conveyed by a one-on-one discussion. Sometimes the sender fails to recognize the impact of tone of voice
and non-verbal aspects of communications. Often, we wrongly assume that the person with whom we are
communicating is coming from the same place (background and experience) as we are. We assume
certain things that may not be correct. These errors in communications occur when we attempt to
communicate without considering the message, the audience and the channel. Sometimes supervisors
communicate in the easiest rather than the most effective manner. Errors such as these can be reduced or
eliminated by understanding the nature of communications.
Most of us have been told at one time or another, ―You just weren‘t listening.‖ This relates to another
crucial aspect of communications. ―Hearing‖ does not necessarily mean ―listening.‖ Hearing is a physical
act. We may hear a loud explosion but not know how or why it happened. We will not until we make an
effort to really understand what happened. Many of us hear others talking but we may not be listening;
that is we may not really understand what message is being transmitted. Listening includes understanding
what is being said, as well as the emotional and professional implications of the message.
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In short, communications is an important and complex topic. Below, we will discuss strategies for
communications and barriers to effective communications and then we will look at some of the specifics
of oral and written communications. This will include some detailed discussion of information sharing,
conducting interviews, group dynamics and meetings and a little about communicating in conflict and
negotiation situations.
Strategies
Communications Environment
Does your organizational culture and environment promote open and honest communications? Or, is
management creating an environment in which people are afraid to ask questions or criticize the system?
Innovation and creativity are encouraged when team members feel comfortable communicating. New
ideas must get to the leader and they will if individuals are confident that their opinions are valued. Many
times leaders react negatively to questions that seem to put them on the spot. They become defensive
rather than to perceive the situation as a chance to build team openness.
The first thing a supervisor can do to build an open and honest communication environment is to
encourage questions and diverse opinions, and to respond positively to them. This begins by asking for
questions and opinions and then thanking the person for them. Your people will trust you when they
believe you are being up front and honest with them. On the other hand, if a team member gets ―burned‖
for being straight-forward and honest, the communications environment will suffer.
This does not mean that open communications should get out of hand. Respect for individual feelings and
situations must be maintained. The purpose of promoting an open and honest communications
environment is to stimulate high performance from individuals and from the team. It is your job to create
this environment. How can you do this?
 Be accessible. Don‘t lock yourself away in an office or cubicle.

 Model good communications. Speak clearly and to the point. Know what you want to say
before you open your mouth.
 To ensure understanding, ask the listener to summarize what you have said. Explain that this is
to help you communicate more effectively.
 Ask for questions and opinions when appropriate. Then, pause and think before responding. It
may even be a good idea to ask for the opinions of others about a question posed by a team
member.
 Maintain good eye contact and monitor your tone of voice. Don‘t sound like a dictator.
 Do not over-react to comments or questions that initially seem critical or even offensive. You
do not want to create a team of people who always agree because they are afraid to be honest.
 Pay attention and be involved in conversations and discussions. Don‘t appear bored or
preoccupied.
Primary Variables
Every communication has a purpose, sender, and receiver. The effective communicator will consider each
of these when composing a message.
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Sender. This is usually you. What assumptions have you made about the message and the receiver? Why
do you want to send this message? How urgent is it?
Purpose. Are you sending a directive to which you expect a response? There are many reasons for
communicating: sharing information, asking for opinions, delegating a task, making an observation or
conveying praise or criticism. It is essential that you have a clear picture in mind of what you expect the
communication to accomplish.
Receiver. How well to you know and understand the person or group with whom you are communicating?
Is the topic one about which they have an in-depth knowledge? You may want to include more or less
detail depending on your receiver‘s knowledge, background and experience. Sending a memo in English
to someone who does not read English would not make sense. How much background information should
be included? Does the receiver have sufficient knowledge of the topic to omit the background details? Do
you think the receiver may have an emotional interest in the topic? The educational level of the receiver is
also a matter for consideration.
Of course, the importance of the communication will determine the depth to which you review and
consider these primary variables. Day-to-day casual conversations can become rote; however, you might
do well to remember that every communication is an opportunity for you to promote openness, honesty
and professionalism within your team. Some communications deserve a more detailed analysis of these
variables. Delegation of a major project should be well thought through and planned. A presentation to
your team or to a larger group also will require more detailed preparation. Regardless of the size or
importance of the communications effort, these primary variables are always present, and considering
them can help you become a better communicator.
Secondary Variables
These include the message itself, channel, time and situation. After having considered the sender, receiver
and purpose, these secondary variables aught be considered, evaluated and incorporated into your
communications effort. They are just as important as the primary variables discussed above, but they are
usually considered second.
Channel. There are several methods you may choose to use to communicate information. Among them
are, one-on-one conversation, a telephone call, a presentation to a group, a team meeting, as well as e-
mails, memos, letters and reports. Which channel is most effective for the purpose of your message? A
certain piece of information may be just as well transmitted in writing or orally; however, if it is a topic
about which you wish to transmit your interest and enthusiasm, it might best be done personally. Do you
expect questions? Which channel works best to get your purpose for the communication accomplished?
Message. Now that you have clarified the purpose of your communication in your own mind and decided
on the method or channel you wish to use, it is time to consider how you want to craft your message. Is it
a formal or informal communication? Routine or important? Positive or negative? And so forth. In short,
you should consider the tone and anticipate the impact it may have on the receiver.
When considering message content, Smeltzer and Leonard suggest the following questions.
 Will the receiver perceive the message as positive, negative or neutral?

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 Does the message deal with fact or opinion?
 To what extent is the message important to the receiver?
 To what extent is the message controversial? Does special care need to be taken to
ensure it does not polarize the team?
 To what extent does the message deal with fact (or ideas) versus feelings?
The message should be carefully crafted to avoid unintended negative consequences. If it is to be

perceived as negative, it should be diplomatic and sensitive to its impact on the receiver. Positive
messages should be realistic and not over inflated. Fact and opinion should be clearly identified to ensure
the receiver is not misled or given a false impression. If the message is important, the question is ―to
whom?‖ How can the message be made to promote the receivers interest? If it is controversial, the sender
needs to ensure that the impact on the receiver is considered. Word selection can be very important here.
What words should be avoided to deflect possible defensiveness or interpersonal friction? Controversial
messages that are presented to a group should be couched in terms that do not set up a win-lose situation
within the team.
Time and Timing. Consider time from two perspectives. First, how important is it to get this message to
the receiver immediately? Is it time sensitive? There are situations where delay can inhibit the receiver‘s
opportunity to react appropriately to a requirement. Second, how does this communication fit into the
overall time scheme? Would it be better to address this issue after the year end numbers are calculated?
Should it have been addressed two months ago and now it might best not be done at all?
Physical Environment. Again, Smeltzer and Leonard suggest the following questions to help guide the
sender.
 Is it a public or private situation?

 Does it involve a formal or informal setting?
 What is the distance between the sender and the receiver?
 Is it a familiar or unfamiliar environment?
Each of these may be discussed in detail; however, they provide a cue or a prompt to help you decide how
to address this communication. Good things such as rewards and recognition are often best done in an
open, more public setting, while an admonishment would be better conducted in private. Many
communications are informal and occur in a casual manner. Some, however, require a more formal
presentation. Reports tend to be more formal and memos tend to be less so.
Physical distance can be an issue in both oral and written communications. Certainly, if physical distance
inhibits hearing or reduces the impact of tone and non-verbals it can limit the effectiveness of the intended
message. Ambient noise can also be a factor for consideration. Written communications can be impacted
in a variety of ways by distance. Some people resent e-mail from a colleague in a nearby office because
they may feel that a face-to-face discussion may be more appropriate. Is a phone call more expeditious
than a letter or an e-mail? What kind of feedback does the sender expect and how is that impacted by
physical distance?
The physical environment in which communications are conducted may be either familiar or unfamiliar to
the receiver. Meeting in an unfamiliar environment can inhibit discussion. The boss‘s office can be
threatening under certain circumstances. It is important to select a venue that will promote the purpose of
your communications effort.
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Supervisors may want to consider both primary and secondary variables as they decide how to
communicate with individuals and groups.
Feedback.
How do you know that your communicated idea has been understood? How do you know that your
directive is being executed as you envisioned? Feedback is at the core of effective communications.
Feedback is needed after the message is transmitted (either orally or in writing), but it is also required
throughout the process. Consider making a formal presentation to a group of 15 or 20 managers. As you
complete your introduction you note that several have begun to close their eyes, while others are engaged
in sidebar discussions. One or two in the back are quietly leaving. This is feedback and the message is
clear. The sender must be aware of this ongoing feedback and prepared to adjust his or her
communications strategy accordingly.
There are other types of feedback as well. Eye contact, tone of voice and body language can all be
sending feedback messages. Feedback is an important and essential part of communications. It closes the
loop as it were. Additionally, it can provide a way to measure the effectiveness of your communications
effort. One of the key ways to overcome ineffective communications is to check for understanding. Why
assume that the receiver understands when we can check to make sure? Feedback may come in the form
of compliance. Are the assignments you communicated being accomplished? Is the purpose of your
communication realized? Without feedback, communication can become a one-way street. With it, the
sender can adapt to the needs of the audience while communication is taking place. Beyond that, the
sender can check to see just how effective the communication has been. Feedback, and your response to
it, is essential to effective communications.
Communications Filters and Barriers

Each of us is the total of all we have ever seen or experienced. Because of these things we have attitudes,
opinions, values and beliefs which give us a perspective on the world around us. These varying
perspectives are our filters. That is why two people can observe the same event and see it differently. One
sees a positive situation where a person triumphs over daunting odds, while another sees the same
situation as an example of how an overbearing person takes advantage of others and unfairly turns it to his
own benefit. These filters influence the effectiveness of our communications. Barriers to communications,
on the other hand, tend to be more concrete, observable factors that disrupt effective communications. A
Barrier may be as simple as the excessive use of jargon, or as complex as a predisposition about a given
subject. We can not remove or eliminate filters and barriers, but we can help you recognize them and be
aware of their impact on your communications efforts.
Smeltzer and Leonard1 identify ―six factors that create unique individual filters and affect
communications: 1) Knowledge, 2) culture, 3) status, 4) attitudes, 5) emotions, and 6) communications
skills.‖ As you consider your audience, you will be able to see how each of these may be a potential
impediment to effective communications. If you wrongly assume that your audience has the same in depth
knowledge of the topic as you, you may lose them in the first five minutes. People from different cultures
may see things differently. A boy from a farming community may have a different view of the world than
someone from the inner city. Each of these factors can produce miscommunications. If your goal is to
build a team that communicates effectively these filters must be considered and, where possible,
neutralized.
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Barriers may be easier to identify and counteract. These may include physical barriers, such as noise,
distractions, and physical comfort. Jargon has already been mentioned. It may be acceptable within the
team, but may present a problem with outsiders who are not familiar with technical terms or
abbreviations. Occasionally, conflict throws up barriers. Individuals have different priorities or they may
perceive the impact of a project as contrary to their best interests. Preconceptions can cause receivers to
jump to conclusions before all the information is presented. The assumptions upon which the
communication is based may be incorrect.
If it were not for the impact of filters and barriers, interpersonal communications would be simpler and
more efficient. As a supervisor, you can improve your team‘s potential for effective communications by
recognizing these where they exist and trying to help your team members counteract their effects.
Communicating Better
Formal versus Informal Communications. The distinction between formal and informal communications
is important because supervisors often forget or discount the power of the informal. Formal
communications include routine information sharing that occurs around day-to-day processes and
transactions, as well as through presentations, meetings, research reports and other official written
documents. We are often more sensitive to how we communicate during these interactions. Informal
communications may be so casual that we can neglect their impact.
Informal communications, sometimes referred to as the grapevine, is becoming increasingly important
and prevalent. This type communication does not use the same channels as formal communications. In
some instances it actually moves faster. With the flattening of hierarchies and increased horizontal
communications, the grapevine is becoming a standard for dissemination of information. A supervisor
who is aware of and in tune with the grapevine can use it as a positive force within the team or even the
larger organization. Try to become aware of how information flows informally within your team. You
may want to use this channel to reinforce formal communications or to provide additional support for a
particular project.
As you perfect your skill at Managing By Wandering Around (MBWA) you can develop your ability to
contribute and benefit from this informal network.
Communications Networks. These can vary depending on the size and composition of your team and the
complexity of its mission.
Small teams with simple tasks to perform will often be comfortable with a more centralized
communications network. Larger teams or those with more complex tasks to perform often benefit from a
more multi-dimensional communications network. This provides for a freer flow of information. Some
supervisors tend to discourage looser, multi-dimensional communications networks because they might
feel concern that they are losing control of the process. Actually, improved creativity and a higher level of
performance usually result. The challenge for you the supervisor is to recognize when a communications
network is right for your team and its specific mission.
Trust and Communications. Effective communications begin with trust. As you establish a rapport with
your team members and they recognize that your values and goals for the team are honest and not self-
serving, they will be more likely to be open to effective communications. Encourage open and honest
responses from them and listen with an open mind to their comments. The self-esteem of each of your
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team members can be a fragile commodity. If you demean their suggestions or discard them out of hand
or simply ignore them, you are sending the wrong message. Begin by thanking them for their comments.
Ask questions to help you understand their suggestions better. Ask others for their reactions. Do not
criticize, rather seek to understand. This will convince others that you are worthy of their trust; then, they
will communicate openly with you and each other.
What can you do to create a healthy communications environment?
 Be open and honest.

 Encourage internal communications between team members.
 Maintain and ―open door‖ and an ―open mind‖ policy.
 Don‘t equivocate. Use ―yes‖ and ―no‖ whenever possible.
 Keep your word. Never promise what you can not deliver.
 Provide information that will help team members be successful.
 Stamp out rumors. Even if you can not verify or deny a specific, you can label it a rumor and
suggest it not be proliferated.
 Become a sincere and active listener.
Nonverbal Communications. Your tone of voice is one of the most powerful nonverbal communicators.
For example, ―Excuse me!‖ can be a sincere effort seeking forgiveness, or it can be a snide remark
indicating contempt. Become aware of your tone and how you may use it subconsciously. A positive tone
of voice usually comes from a positive mind set. Facial expression is another nonverbal. A rolling of the
eyes or a pursing of the lips can send a message that negates the spoken word. Even a deep breathe or a
sigh can send a negative or disheartening message. These nonverbal communications are subtle but
powerful. Your established habits are not likely to be overcome or modified easily. You may do things
that you do not even realize, and for that reason the help of a trusted colleague or coach can support your
effort.
Other forms of nonverbal communications are slightly less subtle but can be just as powerful. Regardless
of the words we use, non-verbals can determine how those words are received. Wondering eyes, a shaking
head, a transfer of weight from one foot to the other can all indicate disagreement or boredom. Gestures,
posture and body language are among the nonverbal communications you use (consciously or not) to
modify or punctuate your verbal communications. You can learn to use non-verbals to improve your
communications. There are numerous books, articles and websites that can help you become aware of
these important elements of your communications. Awareness is the first step toward building a more
effective communications style.
Oral Communications
Understanding Your Audience. You may communicate upward, downward and horizontally. Upward
communication is often impacted by the culture of the organization. Most organizations encourage good
feedback to higher levels. This means honest reporting and forthright comments to senior leaders. This is
often done in writing but can also be asked for orally. Downward communication usually occurs when
you are providing information, assignments, guidance and direction to your team. Here it becomes
incumbent upon you to ensure that there is ample opportunity for team members to provide feedback to
you. When members of your team are sharing information among themselves, this is horizontal
communication. When you share information with other supervisors or managers from other functional
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areas this is usually horizontal communication. This type of information sharing is increasingly evident
and important in today‘s organizations.
In each of these modes, it is critical that you understand you audience. What level of detail are they
expecting and what level to they need for the purpose of this effort? How well do they know the topic?
This will tell you how to organize your information. You may also want to consider how much time you
have for the presentation or discussion. Will there be questions? How can you anticipate what questions
may arise? The audience will also play a part in determining how much preparation is necessary. You
may want to prepare sufficient background information to provide you the confidence you need to make
your effort effective. A thorough assessment of your audience is often the first step in effective
communications.
Being Assertive, Not Aggressive. Assertiveness means being powerful and authoritative without
offending your audience or receiver. Being assertive requires sensitivity to the needs and feelings of your
audience while still presenting the required information. Here it becomes important for you to separate
facts from emotion and opinion. Present facts as such and try to refrain from presenting opinions unless
they are requested or are demanded by the facts. As a supervisor, you may find that you are not only
communicating information, but soliciting support and collaboration from your audience. This usually
requires that you do your best to present information in a positive manner, emphasizing the value of your
proposal or data to the organization. By assessing the impact your information may have on the receivers,
you can anticipate possible areas of dispute and combine ameliorating information in your presentation.
Being assertive rather than aggressive does not give you license to distort the facts. It does provide a
framework from which you can build collaboration and promote organizational harmony.
Becoming a Good Listener. Communications is a two-way process. Your assessment and evaluation of
the receiver is only half the equation. Just as important is the receiver‘s assessment of you and your
message. Are you engaged in the communication or simply putting out information? Is it a two-way
street? Do you really hear the other person? Are you checking to see if the other person is hearing and
understanding you? One mechanism used to encourage successful communication is called ―active
listening.‖ The goal of communications is to get the receiver to thoroughly understand and, if necessary,
take appropriate action based on the information presented. Active listening acknowledges that both
parties in a conversation have a responsibility to promote its success. Therefore, it is the responsibility of
the listener to be an active participant in the process. Listen to the following conversation and note the
parenthetical comments.
Anne: I have been working on this project for two weeks and I haven‘t gotten anywhere.
Alex: Two weeks? (Sympathetically.)
Anne: Yes, Mr. Morris gave me the assignment and told me that all the supervisors had been alerted to be
ready to get the data I need. But I have sent out e-mails to all of them with no response. (Anne pauses, but
Alex does not interrupt. He maintains eye contact.) After a few days, I went around and spoke to each of
the supervisors personally. I got data from only one of the seven. I have a deadline of next week from
Morris and I really don‘t want to go to him with this. After all, he is my rater and I don‘t want him to
think I can‘t handle the assignment, but this has me baffled.
Alex: Anne, you really sound frustrated. (He senses her feeling and reflects it back to her.)
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Anne: You are right about that. (She knows he is listening.) I hate to send out another e-mail or a hard
copy memo. These people are busy and I don‘t want to harass them. I just want to get the data. (Alex
continues to maintain eye contact and quietly shakes his head in agreement.) You know, Alex, each of
those supervisors has an Information Manager who probably has access to the data I need. I wonder if I
could contact them and get the information without making a big deal out of the supervisor‘s non-
compliance? (She pauses again. This time as an unspoken query.)
Alex: It seems as though you have tried both e-mail and personal contact with the supervisors. If the
Information Managers have the data you need, that might be a good way to go. (He has encapsulated
Anne‘s situation. This lets her know he was paying attention.)
Anne: I could send a copy of the original e-mail and note that I will be coming around in a day or two for
the data or they can e-mail it back to me. I could even note the date Mr. Morris is expecting the
consolidated info from me. I‘m going back to my office and get to work. Thanks Alex. I knew I could count
on you.
This is a very brief interaction, but what did Alex do? He paid attention and he let Anne know he was
paying attention. He never lost eye contact and never interrupted her. Alex focused on Anne‘s situation
and did not begin telling ―war stories‖ about what he did in a similar situation. He merely restated what
she said to let her know he understood and was listening. He did not evaluate or judge and he did not ask
her why she had been procrastinating for two weeks. He listened actively.
Active Listening has been called ―listening for meaning.‖ It is an interactive approach to communications
because the listener accepts responsibility for understanding. It includes:
 Giving the speaker your full attention and not rushing her.
 Trying to listen to more than the words. Seeking to understand her emotions as well.
 Maintaining a focus on the speaker and the speaker‘s situation. Not losing eye contact.
 Restating the speaker‘s issue in abbreviated terms to let her know you are paying attention.
 Summarizing the key points if the situation is complex or drawn out. Affirming your
understanding.
 Not being judgmental. Asking non-threatening questions.
Giving and Receiving Feedback. When information flows back from receiver to sender, it is feedback.
The concept is mentioned earlier in this chapter. Feedback is closely related to active listening skills.
Certainly, when one is practicing active listening, that person is providing feedback to the sender. There
are two kinds of feedback. Informational Feedback is what we have been discussing as far as
communications are concerned. That is, letting a person know that you understand what she has been
saying. Behavioral Feedback describes what you have observed another person do and usually how it
impacts on you.
Informational Feedback is a method of developing and improving communications. Since

communications is a two-way process, it is essential that the receiver provide an indication of how well
the communication is going. Timely feedback during a conservation, discussion or meeting can help the
sender modify or re-emphasize information that may not have been fully or correctly understood. The
wise sender will ask for feedback during a presentation or conversation in order to ensure the purpose of
the communication is being achieved.
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It is possible for a sender to stifle feedback by presenting information is such a way that if appears
feedback is not desired. Therefore, the sender sets the stage or creates an environment that is conducive to
open and honest feedback. If feedback does not come naturally, the sender may want to ask for it.
Responding to Questions. This can be a sore spot for leaders. Some respond to a simple question with a
deluge of information when a one sentence answer would have been sufficient. Others give a terse answer
that leaves out important details. Some respond quickly with an unstructured, poorly organized answer. It
is important to provide a response that satisfies the requirement without wasting the other person‘s time
and without leaving the question only partially answered.
As a leader you will be asked countless questions by superiors, peers and subordinates. How you respond
can build your image and improve your prestige or undermine your authority. You may want to think
about how you will approach this common task.
Of course, to some extent your response will be based on who asked the question and why. Is it a simple
―yes or no‖ type inquiry, or are there greater implications? Either way, your first step is to listen well. You
must understand the question and its implications. What has your experience been with the person making
the inquiry? How much detail do you think is expected? Do you really have the answer?
If you are caught without a good, sound answer, your best tact may be to acknowledge the question and
admit that you do not know the answer. Then, see whether there is time for you to investigate the question
and return with a response. If this is acceptable, be certain to follow through to get the information you
need and present your answer in a timely manner. In some instances a proper response may be to direct
the inquirer to a person who may have the answer. Most importantly, do not try to tap-dance around the
issue. It usually just makes you look unprofessional.
Here is a simple pattern for responding to questions. This may be used one-on-one or in a discussion
group.
 After listening diligently, repeat the question in your own words. This may seem time consuming,
but it has several functions. First, it gives you time to formulate your response. Do not hesitate to
pause and gather your thoughts. A deliberate and well structured response will be appreciated.
Second, it will ensure that you understand the question and will meet the inquirer‘s expectations
with your answer.
 Answer the question in a short and concise statement. If the question is complex, break it into
parts. Begin by providing the final or ―bottom-line‖ response. Then follow up with the details in
support of your answer. You may give the answer and then say, ―And here is why.‖ Then, you can
elaborate. This may depend on how you perceive the expectations of the inquirer. Overkill may be
seen as unnecessary detail and boring to the listener.
 Confirm that the answer you have provided did, in fact, answer the question. You may be very
direct about it. ―Does that answer your question?‖ If the person implies that the question was not
answered completely, or hesitates to acknowledge the thoroughness of the response, ask what part
of the answer was left out. Respond to that.
Communications Applications
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Leaders spend much of their time communicating. Every conversation, discussion, and interaction
presents an opportunity to apply the communications guidance provided above. Being a good
communicator is part and parcel of being a successful leader. There are, however, a variety of applications
of communications strategies that require varying approaches and perhaps different techniques.
Information Gathering and Decision-Making. The important point here is to encourage creativity and
open communications. Often a pattern or template is helpful to encourage open-ended thinking. Who,
want, when, where and how are sometimes used to get the creative juices flowing. As a leader, your
primary thrust is to encourage and not inhibit. The initial step is usually one of defining the problem or
the question. It should never be taken for granted that ―everyone understands the problem.‖ When
working with a group, it is essential that all members have a common vision of the of the group‘s purpose.
There is a saying, ―Go slow, to go fast.‖ It is highly applicable here. A thorough understanding of the
question at hand can save time in the long run. Once this is accomplished the group may gather facts
bearing on the problem. As time permits, every possible resource should be tapped. That includes surveys,
interviews, subject matter experts, statistics and empirical data. Each of these requires a slightly different
communications approach.
The final steps include development of several courses of action, and deciding which one is the best.
During the information gathering and decision making process, the supervisor or team leader becomes a
facilitator of the process. Each participant is encouraged to dig deep to gather valuable information and
share it with the group in a form that is easy to understand and assimilate.
Interviewing. Every interview has a purpose. It can be to evaluate a potential new employee or team
member. It may be to gather information. A structured interview often provides uniformity and control,
especially when interviewing more than a few people. A structured interview is simply a well designed
list of questions that covers all aspects of the question. A successful interview depends very much on
thorough preparation. The interview itself usually consists of three parts: 1) Breaking the ice or building
rapport. 2) Gathering Information. 3) Ending or closing the session.
―Breaking the ice‖ or putting the interviewee at ease is the first step. Establishing rapport will enable you
to delve more deeply if necessary. Depending on the type and purpose of the interview, you may want to
address issues of anonymity and confidentiality. This could impact on your credibility as an interviewer
and your ability to accomplish your purpose. You will usually be most effective when you have taken
time to help your subject feel at ease and comfortable with the process.
As the interviewer, it is important for you to maintain control of the process. After all, the interview is
being conducted to accomplish your purpose. Subjects may wander off the beaten path and digress into
unfruitful ―rabbit hunts.‖ Gently guide the conversation back on track. Some information may demand
closed ended questions. These require only yes or no answers. Other information of a slightly more
subjective nature may require more open ended questions. For example, ―Tell me about your experience
with contracting.‖
Note taking is normally acceptable during interviews, but it is polite to seek the subject‘s approval as a
matter of courtesy. Active listening skills are very useful during the interviewing process. At the end of
the interview be clear about any expectation you may have for follow up. If there is a possibility that the
subject may expect some form of feedback, be certain to clarify what you can provide and what you can
not.
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Close the interview by asking if the person has anything else to add. Stand and thank the person for
spending this time with you. Do not linger in the area after the interview is completed.
Group Dynamics Sessions. These sessions are designed and conducted as team building and individual
growth sessions. They are not working meetings for information gathering, decision making or problem
solving. As a result, their outcomes may be difficult to measure. As a supervisor, you may fulfill the role
of group facilitator or simply as a group member. A facilitator manages the group process and provides
the structure needed for the group to move toward its developmental goal. This type session may have as
its purpose to develop cohesion, clarify roles or simply to help group members feel more comfortable
with each other. It is designed ahead of time to provide a process that will accomplish that end. Whatever
the purpose of the session, open and honest communications are encouraged through establishing and
agreeing on ground rules and by able facilitation.
As a supervisor, you may be tempted to guide or direct the group. During these sessions, patience may be
your most important trait. Trust the process and do not monopolize the ―air time.‖
Meetings. Meeting management will be addressed elsewhere. Regardless of the purpose of a particular
meeting, effective communication is essential. To facilitate communications the meeting should be
planned and an agenda published well before hand. Attention should be given to those selected to attend.
As a supervisor conducting a meeting it may be wise to establish rules or protocols that will make the
flow of information efficient. Open and honest discussion should be encouraged, but the meeting must
also be kept on track. The time of every attendee is valuable. Commit to ending the meeting on time. As
issues or topics arise that are not on the agenda, you may wish to table them and arrange for them to be
discussed in some other venue.
Conflict Management and Negotiations. As a supervisor, you are a problem solver. Conflict is often the
symptom of a problem. Addressing it is accomplished using a combination of your problem solving and
communication skills. When conflict occurs and demands your attention, your first priority is to retain an
impartial position toward the situation. Your listening skills will be important.
As you gather information about the conflict, you will determine whether this is a work process related
issue or a personality issue. Use your communications skills to encourage those involved to discuss the
situation. The best solutions will be those that they develop and can agree on. By remaining impartial and
asking questions, you can get them to understand each other‘s position and develop a solution. Often
teams are strengthened and performance is improved by working through conflict and negotiating a
settlement that makes everyone‘s job easier. As you build a healthy climate for internal communications
within your team, you are preparing them to deal with conflict in a constructive manner.
Written Communications
The ability to express one‘s self clearly and succinctly in writing often separates the outstanding from the
average supervisor. As one climbs the ladder of success, writing becomes increasingly important.
Although writing skills can be learned by most people, they seem to be neglected. Apparently, Marsha felt
fairly confident in her ability to express herself on paper and was surprised when her boss indicated that
she needed to work on her skills in that area.
Jim: Marsha, thanks for sending me the sample of your writing. Don‘t feel too bad that your boss said you
needed to improve. That is a common concern for many young supervisors.
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Marsha: I was hoping you might have some comments. I thought I was a pretty good writer. Was it really
that bad?
Jim: Writing is a special skill that can be learned and improved. It is not a matter of your writing being
bad, but it can be more efficient. Written communications offers an opportunity to organize and select the
right words that we generally don‘t have the chance to do in oral encounters. You are not a ―bad‖ writer,
but you can improve and become more proficient.
Marsha: But I have a good vocabulary and my grammar is pretty good, too.
Jim: I am sure you have heard of the KISS Principle. ―Keep it short and simple.‖ You have a tendency to
use long words and sentences. You use jargon pretty liberally, too. In an effort to appear more
professional, you may say things in a roundabout way and seem impersonal and sometimes vague. Do
you understand the difference between the active and passive voice?
Marsha: I have heard those terms, but I‘m not sure what they are or whether one is better than the other.
Is it important?
Jim: To keep things short and simple usually means to use the active voice if at all possible. You will need
to brush up on that. You know, as a supervisor, you do a lot of organizing. You organize work schedules
and ensure that people and tasks get matched up and are distributed in an orderly fashion. The same is
true about writing. What you do before you start putting words together is very important. You need to
organize your communication. What do you want to say? How many major points do you need to
emphasize? How much detail is appropriate to the topic?
Marsha: Gee, Jim. I get an idea in my head and I just start writing. Are you making it more complicated
than it has to be?
Jim: It may seem complicated at first, but your goal is to get your message across in as few words as
possible and do it in a way that is not confusing and won‘t be misinterpreted. Once you get the hang of it,
you will find that it is easier to write a clear, concise memo or letter and you will do it in less time.
Let me make one two recommendations to get you started. First, use an outline. This will help you think
through the writing process. Second, get a copy of ―Elements of Style‖ by E.B. White*. It is packed with
simple, easy to understand tips on good writing.
Marsha: Is that the same E.B. White that wrote ―Charlotte‘s Web‖?
Jim: Yes, it is, but don‘t let that put you off. That little book has helped many a writer to improve.
Marsha: Can I send you some of my things to review once in a while?
Jim: That‗s a good idea. See if your boss is willing to give you some pointers, too. You will want to help
your people write better, and part of your boss‘s job is to help you improve your writing skills.
Do you communicate well in writing? Is the difference between the active and passive voice unclear to
you? The time you commit to improving and refining your writing ability will provide solid rewards.
Your team will be more effective and you will become known as an accomplished writer.
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As with oral communications, before you begin writing you would do well to be clear about your purpose
and your audience. What is the purpose of your document? Knowing what you want to write about is not
the same as having a purpose. What action or change do you expect from your reader? Are you seeking
approval of an idea or a proposal? Are you encouraging someone? Do you want to enlighten the reader or
motivate her to get on board with your project? By having your purpose clearly in mind, you will have a
goal or a direction for your writing effort. Often, it may be useful to actually write the purpose down and
keep it before you as you write. Sometimes it may be appropriate to state your purpose in the document
itself. This can be of particular help to the reader. In the final analysis, the effectiveness of your document
is measured by whether or not you have achieved your purpose.
After getting clarity about your purpose for creating the document, you may want to consider your
audience. Is it one person or a group? How much knowledge do they possess about your subject? Do not
assume that they know all you do about your topic. Will they have preconceived notions or ideas that may
hinder understanding your major points? Just how much time will your audience be willing to invest in
reading and thinking about what you have to say? The topic may be important, even vital to you, but it
simply may not be that important to those who will read the document. By analyzing your audience you
can begin to gage the appropriate depth and length of your effort.
If you have communicated with this audience before, reflect on the past impact of your written efforts.
They may respond better to terse documents using bullets and section headings. Other groups or
individuals respond better to narrative pieces. Use a format that has proven successful in the past.
Consider different delivery means in light of your audience. If they habitually receive 50 or 100 e-mails
per day, you may want this important document to be in hard copy. If you are writing to customers rather
than team members, a different frame of reference may be indicated. Your team may be comfortable with
terse sentences and bullets giving only the facts. Customers, on the other hand, may not be familiar with
internal jargon and abbreviations. They may be more sensitive to diplomacy. Try to put yourself in the
place of your audience as you write. If necessary, have someone with that perspective read and comment
on your finished product. Be open to that critique.
Writing Basics
Jim made it quite clear in the dialog above that the KISS principle can be very helpful to the supervisor
who wants to become an effective writer. Keep it Short and Simple. Too many writers have come to
believe that they sound smarter and more important when they use large words and long sentences. Have
you ever read a text book that was so complicated and hard to understand that you wonder why it was
ever published? Those authors have forgotten what it was like to be students. They are, in effect, writing
for their peers, that is other professors. They have neglected their audience and have forgotten KISS.
The Outline. How can you keep it simple? Begin by keeping your purpose and your audience in mind.
Next, create an outline. Many people skip this step, and it shows. If the document rambles on and never
comes to the point, an outline was probably not used. The basic outline is simple.
Introduction
Body
Conclusion
The Introduction is usually a short statement of the purpose and the theme of your document. The Body is
comprised of one or more major points followed by supporting facts for each. The Conclusion may be a
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summary, a recommendation, or a direction of action to be taken. This format works for all but the
simplest memo. ―See me in my office tomorrow at 10:00 A.M.‖
Model Outline
Paragraph 1. (Introduction)
Paragraph 2 (Body) First Major Point with supporting facts if necessary.
Paragraph 3. (Body) Second Major Point with supporting facts if necessary.
Paragraph 4. (Conclusion)
Another Model Outline

(With slightly more detail)
 Introduction
1. The background
2. The purpose
 Body
1. First major point
1. Supporting detail
2. Second major point
3. Third major point
 Conclusion
1. Review of the major points
2. The desired action, recommendation, etc.
It is easy to see that an outline helps the writer organize his or her thoughts. Being straight forward and
keeping it short and simple requires planning. Outlines can be very helpful.
The Format. There are numerous options of how to present information. Section headings and bullets
have already been mentions. Some organizations provide templates to help writers and to standardize
formats so the reader is already familiar with them. The term ―format‖ usually refers to the way the
information is presented visually. This includes headings and margins, paragraphing or narrative form
versus numbering in outline form and liberal use of bullets. Use of graphics can also fall under the
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heading of format. The old saying is often true that one picture is worth a thousand words; however, every
graphic must be framed in a context that makes it enlightening to the reader.
Choice of format also means deciding whether to use e-mail, memorandum, formal letter, report or a book
or pamphlet. The 9/11 Commission provided its report in the form of a book. Some reports have an
executive summary. Some reports have five or ten pages of text and fifty pages of background and
detailed appendices. Supervisors usually write shorter documents, but the same basic admonitions apply.
Keep the overall context of the document in mind. How important is it? Can one page do it justice? Be
conscious of the level of formality you demonstrate in your format and your style. Memos are generally
less formal than letters. Use words that clearly convey your meaning and keep your level of detail
appropriate to the subject matter. Never forget your purpose or your audience and keep it as short and
simple as you can.
It is the purpose of certain documents to report on a process of problem solving and decision making. In
these cases your format should outline the process and walk the reader through that process in a logical
and sometimes chronological manner. Choices and decisions within the process should be supported by
facts. If necessary the reader should be told where those facts came from and where they can be verified.
This is sometimes referred to as ―good staff work.‖ Well written papers of this nature can set you apart for
your clear thinking and logical mind.
Building Blocks
The paragraph is the primary unit of a document. Each paragraph is a mini-document unto itself. It is
composed of sentences composed of words. The well written paragraph has a beginning, middle and end.
Each sentence leads to the next and the paragraph paints a picture. Each paragraph should flow logically
from the one before and into the next. This is called ―cohesion‖. It means that every sentence and
paragraph flows smoothly and contributes to the meaning of the entire document. Strive for cohesion.
There are many helpful resources for the person interested in improved writing skills. The Elements of
Style2 is one of the easiest to understand and learn from.
Words. A well developed vocabulary is usually considered a sign of erudition. Erudition means profound
knowledge or learning. If the purpose of your document is to prove your profound knowledge, you may
want to impress the reader with that particular word; however, in business or in government, this is rarely
the primary purpose of your document. Never use words that your audience may have to look up. Your
goal is clarity. Select short, powerful words that are easily understood and that clearly convey your
meaning. Why say utilize when you could say use? Select words with fewer syllables if possible. Use
action words that are familiar to your audience. Don‘t try to impress people with esoteric words.
(Esoteric: understood by or meant for only the select few.) Use words that most people are familiar with
and do not have difficulty pronouncing.
Refrain from excessive use of jargon and ―made up‖ words. An example of a made up word is ―traffic-
wise.‖ It was a tough drive home -- traffic-wise. One newspaper reporter commented on automobile
related fatalities as ―motorcides.‖ These words do not exist and are creations of the author. Stay away
from fad words that tend to be overused, such as ―awesome.‖ The workshop was really awesome.
Often, in an effort to appear sophisticated or intellectual, writers will use words that simply do not go
together. Some are redundant and others are clearly misused. For example, ―I could not visually see
them.‖ Is there another way to see them? How about, those who ―obey all traffic violations.‖ Then, there
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are words that just do not go together. The couple who wanted to be ―alone together.‖ Others include,
head butt, taped live, and pretty ugly. Enough on that.
Sentences. Long sentences can be very effective. Professional writers may use them with caution. Most
supervisors would do well to keep sentences short. The longer a sentence, the greater is the chance of
making a grammatical error. Every sentence must have a subject (the what) and a predicate or verb. The
verb is the action happening to the subject. These must agree. ―Bob walk to the store,‖ is not correct. ―Bob
walks to the store.‖
One very helpful way to improve your writing is to read. Read with the purpose of identifying clear,
concise sentences. Observe how commas and conjunctions are used. Find out who is recognized as a good
writer among your peers. Ask one of them to edit your writing in draft. Keep before and after copies of
your work. Review them periodically.
Finally, learn the difference between the active and the passive voice. Sometimes the passive voice can be
used effectively for a variety of reasons and purposes. Initially, however, try to write in the active voice.
In a sentence written in the active voice, the subject of the sentence performs the action expressed in the
verb. In the passive voice, the subject receives the action expressed in the verb. Active: John wrote the
report. Passive: The report was written by John. Active: Team members conducted the workshop to
clarify our rolls. Passive: Workshops to clarify our rolls have been conducted by team members. As you
can see, the active voice is usually more direct and uses fewer words. If this is new to you, you will find
that it can be a very helpful tool to improve your writing.
Sentences are the building blocks of paragraphs. They should flow from one to the next. The paragraph is
the elementary unit of composition.
Paragraphs. This is where the outline is important. Remember, your ability to organize and present
information in a logical manner will determine the extent to which you can influence the reader. If you
have a simple main point with one or two uncomplicated supporting facts, they can be incorporated
effectively into one paragraph. If a main point is complex, it may be necessary to present it in one
paragraph and use several more to present the supporting information. Either way, the complexity or
simplicity of your outline will suggest your paragraphs. At the end, your conclusion should be one or
more paragraphs summing up and driving home the purpose of your document.
There is no set length for a paragraph. It can be one sentence, but is usually more. In business writing,
very long paragraphs tend to obscure the facts. Early in the paragraph, the reader should sense what the
thrust of that segment of the document will address. A transition or topic sentence usually performs this
function. The rest should open up as a revelation of the topic and a more thorough understanding of it.
Every paragraph should begin as a draft. After writing it, read to see if it holds together as a logical unit.
Does it carry the reader toward a final goal?
Hodges‘ Harbrace Handbook 3 indicates that a paragraph should have unity, coherence, and development.
―The sentences within the paragraph should relate to a single main idea which shows unity. The ideas in a
paragraph should progress easily from sentence to sentence demonstrating cohesion. Specific details
should support the main idea which demonstrates development.‖ Keeping these points in mind will help
you write more logical and powerful paragraphs. The final test for effective paragraphs is to consider
removing each paragraph from the document. What impact would its removal have on the overall
document? If the paragraph would not be missed, it most likely was not needed or it was written in a way
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that did not effectively present the major point it was intended to convey. It should be rewritten or
removed.
Research
As a supervisor, you may be directed to conduct research on a particular topic or business option. The
research process is flexible but should be conducted within certain guidelines in order to be effective and
valid. Here are some thoughts on the research process.
Research is required for a variety of reasons: customer complaints, consideration of new procedures, and
development of solutions for particular problems among others. As with any writing assignment, your
first task is to fully understand the question you are to answer. Why is this research required, and what are
the expectations of the person giving you this assignment? Then, you can plan a research effort.
Below is information extracted from The Free Management Library online.

http://www.managementhelp.org/research/research.htm. This should help you get started as you develop a
research design.
―Consider the following key questions when designing your research plan:
1. For what purposes is the research being done, i.e., what do you want to be able to decide
as a result of the research?
2. Who are the audiences for the information from the research, e.g., funders / bankers,
upper management, employees, customers, etc.
3. What kinds of information are needed to make the decisions you need to make and/or to
enlighten your intended audiences, e.g., do you need information to really understand a
process, the customers who buy certain products, strengths and weaknesses of the product
or service or program, benefits to customers, how the product or service or program failed
some customers and why, etc.?
4. From what sources should the information be collected, e.g., employees, customers,
groups of employees or customers, certain documentation, etc.?
5. How can that information be collected in a reasonable fashion, e.g., questionnaires,

interviews, examining documentation, observing staff and/or clients in the program,
conducting focus groups among staff and/or clients, etc?
6. When is the information needed (so, by when must it be collected)?
7. What resources are available to collect the information?‖
Referring to the above mentioned website will help you become comfortable with the various aspects of
conducting business research. Remember that the final written report follows the same rules discussed
above.
Final Notes
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Keep it short and simple. (KISS) Get your purpose and your audience clear in your mind before you begin
writing. Use an outline for any important or lengthy document. Try not to publish any piece without
getting someone acknowledged as a good writer and whom you trust to read the document for clarity and
cohesion. Does it flow? Does it achieve your purpose in writing it?
Maintain copies of your drafts as well as the finished product. Periodically, review the changes made from
the drafts. Can you identify specific mistakes? The time you spend developing your writing skill and style
will pay off in time and personal satisfaction. Most successful executives have learned to write well.
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1.Smeltzer, Larry R. and Leonard, Donald J., Managerial Communication, Irwin McGraw-Hill, New
York, 1994 PP. 58 – 83
2. Strunk, William, Jr., White, E.B. The Elements of Style, Fourth Edition, Allyn and Bacon, A Pearson
Education Company, Needham Heights, MA, 2000
3. Hodges, John C., Miller, Robert K., and Horner, Winifrd B., Hodges‘ Harbrace Handbook, Fourteenth
Edition, Harcourt College Publishers, New York, 2001
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NOTES
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2.9 Time and Meeting Management
Your team depends on you, their supervisor, to focus their efforts. Their time and your time is valuable.
Time is a non-renewable resource. Consider time from a dollar perspective. What is wasted time worth to
you and your organization? When you approach leadership in a reactive manner, you allow the situation
to dictate how you and your people spend their time. In short, you have lost control. On the other hand,
being proactive means that you select the right things to do based on your mission and goals.
Marsha: Jim, am I going crazy?
Jim: You look perfectly sane to me. What‘s the problem?
Marsha: There is just too much to do and not enough time. I‘m swamped. My ―to-do‖ list keeps getting
longer and longer. When I scratch one item off, two more show up. There simply are not enough hours in
a day. Last night I left here at eight o‘clock!
Jim: Marsha, that just isn‘t good for your health. Too much stress. Let‘s see your to-do list.
Here are the first ten items on Marsha‘s (much longer) list.
Return call from Morgan Smith Associates about the new keyboard.
Meet with George Fuller about the Human Capital Project.
Design training on new contract form.
Complete periodic evaluations for Mark, Lois, Ellen and Ruiz.
Plan the team softball schedule.
Review Mark‘s draft on customer service changes.
Speak with Harriet about flex-time problem.
Get clarification from Mr. Hopper on Succession Planning Seminar.
Speak with Rose about tardiness issue.
Contact HR about recruiting a new analyst.
Jim: Marsha, there are over forty items on this list!
Marsha: I know. It just keeps getting longer. I can only do so much.
Jim: I notice that you have not prioritized them. How do you know which are the most important?
Marsha: That depends pretty much on what I have time for. I knocked off about ten items yesterday.
Sometimes I can whittle down a bunch of the easier tasks at the end of the day after most people have
gone home and the place is quiet. It seems that during the regular work day there are just too many off-
the-wall interruptions -- you know, phone calls and people needing questions answered.
Jim: I notice that you have small routine items on the same list as major projects. That‘s confusing.
Secondly, it looks like you respond to whatever comes your way without deciding which items just are not
important. Rather than being reactive, you may want to become more proactive by taking charge of your
own time. Your time is an important resource. Don‘t give its control to others.
Remember our talk about delegation. Some of these things are perfect for others to do. That will give you
more time for the really important things.
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Time management is self management.
In his book, First Things First1, Stephen Covey presents a supremely helpful and challenging view of
time management. He describes three generations of time management that have been embraced by
managers over the years. Then, he goes on to present a forth generation that establishes a new paradigm
for leaders to consider. To understand the fourth generation, we should briefly review the first three.
First Generation: This approach focuses on lists and notes. These ―reminders‖ help organize each day.
Second Generation: This generation emphasizes ―planning and preparation.‖ It is slightly less reactive
than the first generation. Calendars and appointment books help organize and schedule beyond ―today‖
and plan for a variety of events.
Third Generation: Here, the focus is on ―planning, prioritizing, and controlling.‖ Managers use detailed
forms to plan and prioritize activities, often with a computer program. This planning is based on long,
medium and short range goals.
Fourth Generation: Covey presents a need for a new generation of time management; one that
incorporates the strengths of the first three but goes far beyond them. It requires a new paradigm. In short,
rather than managing events and activities as they come to us, Covey suggests that we evaluate these to
decide which ones are truly important and which are not. He establishes two measures: Urgency and
Importance. Many of us focus on things that are urgent and ignore things that are important. The key here
is not to ignore urgent things, but to pay attention to important things that may not be urgent right now.
Covey says this goes ―beyond time management to life leadership – to a fourth generation based on
paradigms that will create quality-of-life results.‖
Stephen Covey‘s Time Management Matrix is presented below. It is worthy of your study. Consider how
things that are not important but seem urgent can rob you of control of your time and your life. Things
that are urgent and important demand attention. However, by putting increased emphasis on things that
are important but not urgent, you will reduce crises and pressing problems.
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Stephen Covey’s Quadrants1
Urgent Not Urgent
I II
 Crises  Preparation
 Pressing problems  Prevention
 Deadline-driven  Values
Important projects, Meetings, clarification
preparations  Planning
 Relationship
building
 True re-creation
 Empowerment
III IV
 Interruptions,  Trivia, busywork
some phone calls  Some phone calls
 Some mail, some  Time wasters
Not Important reports  ―Escape‖ activities
 Some meetings  Excessive TV
 Many proximate,
pressing matters
 Many popular
activities
Fig. 24
Unfortunately, things from Quadrant II are usually those that get postponed because of pressures to
perform in Quadrant III. Therefore, getting control of interruptions, phone calls, mail and meetings can
give you the time you need to spend in Quadrant II. This will help you become a successful leader and to
build a high performing team.
Self Management
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Most people dislike having their time wasted. This pertains to both personal and professional time.
Meetings that last too long, projects that are held up, interruptions and hundreds of other situations create
wasted time and unhealthy stress. Many supervisors step into a leadership role with little or no
understanding of how to manage time. They are given tasks to perform and they immediately dive in
starting at the top of the list and proceed to check things off as they are accomplished. The list keeps
growing and there never seems to be completion. This is a recipe for a stressful and unfulfilling life. Time
management is self management. It begins with a deep understanding of Covey‘s matrix. As a leader,
your first priority is to understand and separate the important from the unimportant. Then recognize that
important things that are not necessarily urgent must occupy a significant place in your schedule.
It is essential to keep the mission of your organization in perspective. All you do should promote mission
accomplishment. Things that do not contribute to mission accomplishment are not important. Secondly,
you will benefit from knowing your boss‘s goals and ensuring that your goals support them. This is
further clarified by having a serious talk with your boss about his or her expectations for your
performance and that of your team. Understanding these factors will help you to be able to prioritize
tasks.
Crises, pressing problems and deadlines will occur. However, as you attend to important things that are
not urgent you will reduce crises and forestall problems. Planning and preparation can prevent problems
and prepare your team for contingencies. Team building, that is relationship building and role and values
clarification, can strengthen your team and enable it to more efficiently address unexpected crises.
Therefore, it is essential that you do not allow yourself to fall victim to Quadrant III activities. They sap
your time and divert your energy.
Delegation
Within the context of projects, tasks, meetings and day-to-day activities, delegation can be an effective
approach to getting more done using the skills and talents of your team members. It is also an important
training opportunity. Read the chapter on Delegation.
Procrastination
Most of us are affected by some form of procrastination. Its impact varies. At its worst it causes leaders to
put off or postpone those things which are distasteful, unfamiliar or burdensome. The first step in
combating it is to recognize it for what it is and take action to overcome it. As a supervisor, you are
concerned about how it impacts you and your team. Therefore, you will need to get procrastination under
control in your own activities and then help your people understand how they can overcome its negative
impact.
Most of us have a tendency to do first those things that we like to do, and put off until later those things
which are ―not our cup of tea.‖ As you can see, this impacts on our ability to prioritize. We will discuss
prioritization later.
Some of us like to keep busy. It may be that we are not doing the most pressing or important task, but we
are busy and that feels good. As a result, we think we are making a contribution because we are working
hard. Others literally get an adrenaline rush from reacting to emergencies; therefore, they look for them
and readily drop whatever else they are working on in order to respond. This may seem to be rewarding in
the short term, but it may not be moving the organization toward accomplishing its mission or fulfilling
its goals. Still others are simply overwhelmed by the size or complexity of a particular task and postpone
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it out of fear. Procrastination comes in many forms, but essentially it means that, all too often, we end up
working on the wrong tasks.
To overcome it, we must first recognize it for what it is. Ask yourself, ―Is what I am doing now the best
use of my time?‖ Are you working on something that is important and a priority to the team and the
organization? If you are procrastinating -- Why? Is another more important task daunting? Are you
afraid to begin something you are not familiar with? Recognize that the task you are avoiding must be
done eventually. It may be that others are relying on you. Acknowledge that you are not alone in
accomplishing this task. There are other resources at your disposal. Asking for support is a smart thing to
do.
Some people see their procrastination as a sign of weakness and attempt to hide it from others. One of the
best ways to overcome it may be to share it with someone else and get that person to keep you on track.
Some might call that other person an accountability partner. There can be great motivational power to
getting encouragement or even prodding from someone else. A side benefit is that you will be promoting
open and honest communications that will be observed and imitated by others.
Another approach to overcoming procrastination might be to consider your role as a supervisor. How do
you feel when a member of your team demonstrates the same (procrastinating) behavior? How much time
and money is wasted because an important task is not being completed? Now, put yourself in your boss‘s
place. Others are counting on you.
Here are a few tips on ways to overcome procrastination. Remember, you must first recognize it for what
it is and assess why you think you may be doing it.
 Ask yourself, ―Is this the best way to use my time right now?‖
 Delegate. Recognize familiar or routine tasks can often be delegated to give you time to work on
really important projects. Many important tasks or projects can also be delegated.
 Find a quiet, convenient place to work uninterrupted when a project requires solitude.
 Organize your day and establish clear priorities. Base them on mission, goals and your boss‘s
expectations.
 Use technology. Work smarter, but do not ignore the value of personal input.
 Break large or complex tasks into stages or parts. Visualize a puzzle or a matrix.
 Start now! It is better to put 15 minutes on an important task than to spend valuable time
completing an unimportant task.
Two final words on procrastination: Get Started! The longer you wait, the more difficult getting started
will be. Focus on the task at hand. As a minimum, outline what it will take to accomplish the job. This
brief effort at understanding the task will help you overcome the tendency to procrastinate.
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Time Management Practices
After you have overcome procrastination, you will need to develop ways to organize your tasks, projects
and time. Since we are all individuals, what works for Jane may not be comfortable for George.
Therefore, it is essential that you take the suggestions included here and adapt them to your own situation.
Some may feel more comfortable with a software program while others may opt for notebooks, clipboards
or wall-sized charts. What is clear is that you must evaluate what is important, what is urgent, what you
can delegate and what you may choose to do yourself. When you gain control of your time, you will be on
the road to becoming a more successful leader.
Time Management Tools.
Many people create ―to-do‖ lists. Few of them are used effectively. A single list with large and small tasks
all on one page can become unwieldy. ―Remember to call Purchasing,‖ is usually not as important as
―Prepare a project report.‖ Some items require only a reminder while others may demand more details
about the mechanics of the task. This suggests the need to separate minor tasks from larger, more complex
tasks and projects.
How will you organize your list? Is one list all you will need? A list of things to be done today can be
very helpful; however, that does not take into account large projects or weekly, monthly, or even annual
planning. You may end up with several lists of projects to be accomplished over various times.
Regardless of what kind of a list we are discussing, identify the important and unimportant and prioritize
among them. Many managers use a High (A), Medium (B) and Low (C) scheme to help them decide
where to place their efforts. The time frames used to help you evaluate each task or project will be
different depending on the kind of list it is (weekly, monthly, or annual).
―A‖ Items. In a general sense, an A item is a ―must.‖ The boss expects it to be completed in a particular
time frame. It will be important, and its urgency will increase as the due date approaches.
―B‖ Items. These are not immediate, but they are important. Because of the timing, they can be
postponed. Last month‘s B item may become an A item this month.
―C‖ Items. These low priority items have no due date. They can be easily postponed -- some indefinitely.
They are neither immediate nor important and are not likely to become so.
Daily To-Do List. This is a reminder list. The A item on your Major Project List will not be on this list,
but the submission of the final report for a major project may be. While some managers build this list
early in the morning, many like to create it before leaving the night before. This latter method precludes
urgent matters from getting in the way first thing in the morning. Prioritize this list using the A, B and C
scheme. Major projects are not on this list. Never work on a C item when you could be working on an A
item.
Weekly To-Do List. Some short-fuse major projects may be on this list. It is to help plan and prioritize
your week. Important personal events should be incorporated in order to give them the anticipated
planning or preparation they deserve. A comparison of the last several Weekly To-Do Lists may indicate
elements of items from your Major Projects List. Due dates for tasks that were delegated some time ago
may also appear on this list.
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Major Projects List. Some managers use both a Weekly To-Do List and a Major Projects List. Others use
only the latter. It is important to update the Major Projects List to track not only the projects that you are
working on but also those you have delegated and need to monitor. As its name implies, this list is a way
for you to track the progress of projects with outcomes that are provided to your higher authority.
Deliverables and responsible individuals can be noted on this list. Remember to keep the vision of a
successful project clearly in your mind. What products or outcomes are expected?
A plan and record of progress for each individual project is recorded separately. The actual nuts and bolds
files and data records for each of these projects are recorded elsewhere. The purpose of the Major Projects
List is to keep you on top of ongoing actions so that none of them sneak up unexpectedly to bite you. The
Daily To-Do List is used in conjunction with this. The Major Project List will help you plan times you
can allocate toward accomplishing specific projects. Again, the A, B, C scheme can be used although here
a C project should be rare. Some managers choose to keep track on this list of their progress toward
completion of each project. Others may use it to divide projects into stages or parts in order to simplify
them.
This tool should simplify your life, help you organize your time, and ensure that project deadlines are
met.
Schedules. Whether you are monitoring a project you have delegated or you are acting as part of a task
force, schedule blocks of time to attend to specific projects or tasks. Establish deadlines and clearly
identify individuals you hold responsible for the project. If the project is a complex one or will take a
prolonged period of time, schedule dates and times for In Progress Reviews (IPR). Even if you are the
only one working on a particular project, use the time you establish for an IPR to assess your progress and
make changes in your plan if necessary.
Phone Calls and E-Mails. Establish a time that you can habitually return phone calls and respond to e-
mail. These can be potential interruptions and should be controlled by you. Doing this in batches, will
give you the control you need. Keep in mind that you are not obliged to accept every phone call at the
time it is received. You may choose to return the call or not at a later time.
Organizers. Stop using loose pieces of paper and post-it notes. Get a full-sized organizer and make it your
constant companion. Electronic organizers are becoming more sophisticated and can be even better. Use
the calendar and organize it to meet your needs. If you have lots of projects, designate a section for each.
Keep notes on tasks and projects underway. This will also help you keep your desk clear of extraneous
papers and materials. A cluttered desk is not the sign of a brilliant mind; it is a sign of disorganization. At
the end of each day, clear your desk. Try to handle each paper only once. This will require making a
decision on what to do with it. Make that decision and move on.
Time Tracking. As mundane and boring as it may seem, you need to know how you spend your time.
Some time management systems recommend that you maintain a chart on what you do and how long you
spend on various tasks for a period of weeks. If this seems daunting, try it for a few days. Include time for
breaks and lunch and meetings. Be especially mindful of interruptions. Write them down. You may be
surprised by the results. This will help you become aware of how valuable time is and how easily it can be
wasted. Often this waste is the result of others taking control of your time. Get control back by making
choices to spend your time o things that you decide are important.
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Timely Decision Making. The entire topic of decision making and problem solving is covered elsewhere
in this manual. There is, however, a direct relationship between your ability to make a timely decision and
the effective use of time by your team. The longer you procrastinate or hesitate to make a decision, the
shorter the time your people will have to react. Many managers postpone decisions until all the facts are
available. This can cause valuable time to be wasted. Often, a decision made with most, but not all of the
facts is preferable to one made a week later with 100% of the information needed. There is risk inherent to
being a supervisor. It may even be possible for your team to begin work based on an initial decision that is
modified later.
Over all, your ability to efficiently manage your time and that of your team can be critical. High
performing teams do not waste much time. Because they communicate well and share information easily,
they are ready for change. Your ability to prioritize work and to delegate when appropriate will go a long
way to helping you focus your efforts and those of your team on doing the right things in a timely manner.
Finally, remember the link between time and stress. You can build personal time and true relaxation time
into your schedule. Your personal life is just as important as your work life. By more efficiently managing
your professional time, you will have more time to devote to your family and your own health.
Meeting Management
Time and meetings seem to go together. In fact, many people complain about wasting time in meetings. If
you have ever felt this way or dreaded going to a meeting, you are not alone. In the conversation below,
Marsha, our new supervisor, gets to do some mentoring.
Alfred: Marsha, help! I just had my first staff meeting with my new team. It was a disaster.
Marsha: Why?
Alfred: It went on forever and we didn‘t really accomplish anything.
Marsha: Tell me more.
Alfred: I wanted it to last about 30 minutes. We were only supposed to review our current project status,
but we ended up talking about the reorganization.
Marsha: What reorganization?
Alfred: That‘s just it. There‘s a rumor that our department is going to be blended into the Customer
Service Department. Mark and Alice were concerned about possibly losing their jobs.
Marsha: Was that on your agenda?
Alfred: Well, no. I mean, there was really only the one item – just an update on where we stand on the
three projects our team is working. I don‘t know how we got started on this reorganization business.
Marsha: Alfred, it sounds to me like you lost control before the meeting ever got started.
Alfred: Well, I didn‘t want to be heavy handed and just cut Alice off. She was almost in tears.
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Marsha: Did you publish the agenda before the meeting?
Alfred: No. There were only three items. I told everybody to be ready to give a quick update on their
projects.
Marsha: Look, having a staff meeting is more than just calling people together and asking questions.
First, you need to prepare a written agenda. Post it on the wall big enough for everyone to see. Your
agenda is your ―track.‖ (Alfred leaned forward looking for clarification.) Without an agenda, when you
―get off track‖ it‘s hard to get back on track. The agenda is your ―track.‖ Even for the shortest meeting,
you have to provide structure and you have to maintain control. Without an agenda structure is hard to
define; and without structure you lose control.
For your next meeting, I will be glad to help you do some planning. You need to consider some ground
rules for team meetings. The agenda and ground rules will give you the initial structure you need to
maintain control and stay on track.
Alfred: (With a big smile.) Thanks a lot, Marsha.
What would Marsha say are the two things needed to make meetings successful? She would say, structure
and control. When meetings run too long and fail to accomplish their objectives, it is often because these
two important ingredients are missing. Even a meeting that is designed to stimulate creativity and be a
free-flowing exchange of ideas must be structured and kept on track.
There are numerous kinds of meetings. Some are problem solving meetings, while others can be for group
decision making. Presentations are meetings, too. Probably the most common is the information sharing
meeting.
Our focus here is on the staff meeting and similar meetings where information is shared that is pertinent to
a specific group of people. John Mehrmann * compiled the following figures: Most meetings are
scheduled for 50 minutes. Sixteen minutes are wasted on inefficiencies. Fifty-nine percent of attendees do
not take notes. Sixty-eight percent of meeting participants indicated that information from the meeting is
rarely used. Have you ever left a meeting wondering why it was called and how you might have spent
your time more productively? So, why do we have meetings at all?
When properly planned and conducted a meeting can help move a team or larger organization toward high
performance. For you every meeting can be an opportunity to promote team building and cohesiveness.
As a leader you can make meetings pleasant and productive. They provide you a chance to promote team
values. Think about what kind of a team you want. How can your meetings promote an open and honest
exchange of ideas without gamesmanship?
In the chapter on Communications, we discuss how important open and honest flow of information is to
the healthy, productive organization. There are several modes of sharing that range from individual, one-
on-one discussion to formal presentations. The meeting can be an important element contributing to the
health of your organization. It can also provide you the supervisor with an opportunity to demonstrate
your organizational skills and to develop improved communications within your team.
Meetings vary in their level of formality, purpose, and duration. Some discuss specific agenda items while
others are open to a variety of topics. When problems are to be solved or ideas generated using group
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processes, there is often a requirement for a facilitator. That person is neutral regarding the content of the
meeting and focuses on moving the meeting process along in a productive manner. Additionally, the
facilitator **
 Promotes the thoughtful exchange of ideas

 Builds cohesiveness
 Structures meeting basics
 Manages meeting information
 Handles difficult situations
The leader decides whether the services of a facilitator are needed.
Prepare for the Meeting
Yes, there is considerable preparation behind any good meeting! The first consideration is whether to
have a meeting or not. If there is no reason, nothing has changed or there is no new information to share,
there may be no good reason to have the meeting at all. It is better to cancel a regularly scheduled meeting
than to have one with no purpose that will discourage participants. It may also be that a modified or
―quickie‖ meeting may be in order. These may be held standing up and take under ten minutes. New
information is shared and there is a brief time for questions that pertain only to the entire assembled
group. Meeting over!
Let‘s consider a situation where there is sufficient reason to have a meeting. What preparation is needed?
Schedule the meeting in advance. Give people advanced notice of the reason for the meeting, topics to be
discussed and a list of attendees. Announce the start time, place and time for the meeting to conclude.
Personally visiting the location is a wise move and is discussed below.
Know the purpose. Develop a purpose statement so you and other participants can have a clear idea of
why the meeting is being held. What is the primary objective of this meeting? With most staff meetings
this is fairly easy. Other meetings may need further clarification. Is a decision to be made? Will there be
tasks assigned? Is a report expected and if so from whom?
Select attendees. This can vary, even for a staff meeting. If information is being presented that pertains to
all members of the team, then certainly have all attend, but if the meeting addresses a topic that is not of
interest to others, do not invite them. This is done to save their time. You may want to ensure that
everyone understands that the meeting is not closed to their participation and that it is open to anyone who
may have an interest in the topic. If they prefer to attend, that is their option.
Clearly indicate specific roles if appropriate. Some supervisors designate a time keeper to alert the group
when time allocated for a topic is drawing to near. It is usually helpful to designate a recorder. This
person would need advanced notice of this responsibility and will usually benefit from some training.
Publish an agenda. For the simple staff meeting, the agenda can stand alone. When published ahead of
time (at least 24 hours) it can facilitate preparation for all involved. No one should be caught by surprise
and embarrassed because of not being prepared. By publishing it ahead of time, it also provides the
opportunity for a participant to recommend adding an item to the agenda. The decision on whether or not
to include another item is yours.
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There are several forms used for agendas. It is helpful to establish a standard form and use it consistently.
Place the most important and immediate items at the top of the agenda. Include the following: Start and
end times. Names of individuals responsible for specific agenda items if appropriate. Times allocated for
each agenda item.
Note on NEAT: NEAT is an acronym for Nature, Expectations, Agenda, and Time. This tool may not be
needed for the typical staff meeting which is fairly routine. Other meetings, however, may need further
clarification as to what kind of a meeting it is and to offer an opportunity for the leader to clarify
expectations among the participants. The agenda is embedded in this tool. It can help get a meeting started
guided in the right direction. As the meeting progresses, it can be used to keep it on track. The NEAT
model is generally posted at the front of the room and discussed by the meeting manager. See Appendix
9B.
 Nature. The nature of the meeting is announced at the outset. Is it a decision making meeting?
Is it intended to produce a particular product? Is it solely for information sharing? Will it announce
a policy change? Can task assignments be expected?
 Expectations. The meeting manager may begin by listing a few specific expectations she may
have for the meeting. Then, the floor is opened to receive expectations from the group that pertain
to this particular meeting. They may range from requests that it will end on time, to suggestions
that discussion will be open on a specific point. The purpose here is to establish ownership and
involvement from participants.
 Agenda. This is a simple list of topics to be addressed at the meeting. It is intended to be used
as a tool to provide structure for the meeting and to assist the meeting manager to keep the
meeting on track.
 Time. State the time the meeting is expected to end. This is done for the leader as well as for
the attendees. End the meeting on time. If more time is needed, you can plan another shorter
meeting. If slightly more time is needed to complete a task or discuss a topic, announce that to the
group and get agreement that this short extension is acceptable.
Select Attendees. To many people the term ―staff meeting‖ conjures up images of bored attendees,
doodling and watching the clock. Make it common knowledge that a concerted effort is made not to waste
people‘s time, and, therefore, those not invited to particular meetings should not feel slighted. On the
other hand, ensure that all stake holders are invited and provided an agenda ahead of time. If there is
doubt as to whether a person should be included, invite him.
Select the right location. You will want to have the meeting in a place that is both convenient and
somewhat insulated from outside distractions. Many organizations go ―off site‖ for long or important
meetings. More routine meetings are held near the regular work place. Ensure that the location is quiet
and free from telephones and other distractions. Chairs arranged in a circle encourage participation.
Having the entire group sit around a large table can also be effective. A white board and flip charts with
markers should be available, as well as a place to post the agenda for all to see. Other materials which
may be needed should be anticipated, such as a projection screen. Your job is to anticipate all needs based
on how you see the meeting unfolding.
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Do your homework. Do not assume that since you are running the meeting that you need not prepare. As
the leader, you should be up-to-date on the topics to be discussed. Assign pre-work if appropriate and it
will move the meeting along. Handouts and other visual aids tend to make a meeting more productive. If
you are putting out new information, you should try to anticipate questions and have the answers ready
for the group. If you are caught without an answer, be certain to say so and commit to having the answer
at the next meeting or to getting it published as soon as possible.
Conduct the Meeting
In cases where a facilitator is used there is a contrast and even a delicate balance between your role and
that of the facilitator. The facilitator focuses on process while you, as the meeting manager, concentrate
on the meeting content as outlined in the agenda. However, in a staff meeting or other similar meeting if a
facilitator is not used, you as the supervisor manage both content and process. You set the pace and the
atmosphere for the meeting. Your leadership, as well as your preparation will determine the success of the
meeting. Structure and control are your responsibility.
Here are a few suggestions.
 As a supervisor, if you believe a meeting is unnecessary, cancel it.

 Be upbeat and positive about the meeting. Begin with a positive statement.
 If pre-work was assigned, be sure to use it or refer to it during the meeting.
 Encourage participation from all. This may be done by asking questions. ―How
would we implement that idea?‖ Or, ―Gloria, what do you think of that suggestion?‖
 Rotate others through various roles such as time keeper and recorder.
 Don‘t dominate the meeting. Get the ball rolling, and then give others a chance to
comment. The flip side of this is to ensure that all agenda items get covered.
 When someone begins chasing a rabbit (taking the group away from the topic)
gently bring that person back to the agenda item.
 Express gratitude for attendance and participation.
In How Meetings Work, 3 a classic guide to planning and managing successful and productive meetings,
Doyle and Straus identify five ingredients of an effective meeting:
1. Common focus on content

2. Common focus on process
3. Someone responsible for maintaining an open and balanced communication flow
4. Someone responsible for protecting individuals from personal attack
5. Clearly defined and agreed upon roles and responsibilities for all involved
Keep these in mind as we discuss how to conduct your meetings.
Start on time. When meetings habitually begin ten minutes after the appointed start time, attendees are
being ―trained‖ to come late. The opposite is also true. Start your meeting on time regardless of whether
everyone has arrived. Do not stop to recap ten minutes into the meeting to bring late-comers up to speed.
Those who show up on time will appreciate this approach, and others will get the message to arrive on
time.
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Post the agenda. Write the agenda on a large piece of paper or on a white board for all to see. Be sure to
state the nature of the meeting and emphasize that every effort will be made to adhere to the agenda and
finish on time. You may tick off items on the agenda as they are completed.
Have an Ice Breaker. Some refer to this as an inclusion activity. It may be as simple as two minutes
dedicated to having each participant share his or her favorite movie or dessert or cartoon character.
Sometimes this is accomplished by getting participants to state their expectations for the meeting. The
objective is to lighten things up and get people comfortable. There are many more elaborate ice breakers
and their use depends on time constraints and the length and purpose of the meeting.
Review ground rules. When participants are aware of ground rules for meetings and abide by them,
meetings tend to be more productive. Ground rules may be as elementary as, ―Do not interrupt when
someone is speaking.‖ Often, the list is created by the group itself and is accepted as a part of every
meeting. As the leader of the group, you may find it necessary to point out when a ground rule is violated.
After the ground rules have been agreed upon and posted at several meetings, it may be necessary only to
point them out. ―Remember our ground rules. Any member may remind another of them.‖
Reinforce structure. As the meeting manager, you guide the group through the agenda. This provides the
structure needed for an orderly and productive meeting. You may introduce an agenda item and after
discussion or resolution of that item, you can briefly summarize, and note the outcome. Be sure to identify
and record any action item, due date, and the responsible individual. You then introduce the next item.
The time keeper can be helpful here. The decision to go over time for any item is yours. Note to the group
that you are consciously doing this.
When you are both manager and facilitator, it is helpful to ―step back‖ and observe how the process of the
meeting is unfolding. While, you are eager to stay on track and follow the agenda, you also want to
encourage participation. It is through involvement of all attendees that you build collaboration and create
a sense of buy-in for the products, outcomes and results of the meeting.
If the meeting is scheduled for longer than an hour, plan for periodic breaks to reenergize the participants.
After each break, remember that the group may actually revert briefly to an ―inclusion‖ posture (FIRO). It
may take a quick review or another ice breaker to get them back on track.
Keep a visual record. Designate a person to record ideas, comments, and decisions on a flip chart. This
has several functions. It helps attendees to track the progress of the meeting. It makes it easier for them to
take notes. It is a good way to establish accountability. Post names and due dates next to action items.
After the meeting this can be used to create minutes or notes for the attendees. People tend to take
assignments more seriously when they see their names posted.
Being a good recorder may require some training and experience. Give several people the opportunity to
develop this skill. Ensure the meeting participants understand that it is OK to correct the recorder. The
recorder should attempt to use the exact words of participants if possible. If there is a need to summarize,
the recorder may ask if the wording captures the speaker‘s meaning.
Be prepared to deal with dysfunctional behavior. This takes training and practice. Avoid confrontation
with attendees during the meeting. Some issues are more suited for individual discussion and you may
choose to say that. Your team is looking for a win/win for every agenda item. Healthy disagreement is
encouraged, but argument is not. Be sensitive to ego-driven comments and try to deflect them by guiding
the group back to the agenda. What outcome is desired on this issue?
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When you are concerned about the progress of the meeting, you may consider ―polling the group‖
regarding the flow of the meeting. This can be tricky. The goal is to re-focus and reenergize the group.
You are not giving up control, but you are attempting to get others thinking about how the meeting itself
is unfolding. ―Let‘s pause, for a minute and see where we are. Keeping our agenda in mind, how would
you say the meeting is progressing to this point?‖ Encourage group members to volunteer their thoughts.
Be prepared to review what has been accomplished thus far and return to agenda items.
Let‘s assume the group has established ground rules or norms for behavior during meetings.
Diplomatically pointing out violations of those norms is acceptable. You want to maintain control so
things do not get out of hand. You might say, ―OK, let‘s take a minute to review our ground rules.‖ After
a pause for them to read the posted ground roles, you may note the agenda item being discussed. If all else
fails, call a short break and ask the violators to re-focus on the agenda item.
Close the meeting. You opened with a positive statement. Closure is needed to tie up loose ends and to
ensure that the group sees value in what they have done and the time they have invested. Closure is
essential to a productive meeting. Review accomplishments. Highlight action items, individual
responsibilities and due dates. If you believe an extract of the recorder‘s notes is appropriate, tell the
attendees when you intend for that to be completed. Ensure that responsibility is clearly established.
Both meeting managers and facilitators often take a few moments at the end of the meeting to evaluate
how it went, that is, to get the group‘s feedback. This can be done simply by starting two columns on a
flip chart or white board. Place a plus sign (+) at the top of one, and a minus sign (-) at the top of the
other. Ask the group, ―What things have we done well at this meeting?‖ List them under the plus. Then
ask, ―What things could we do better at the next meeting?‖ List them under the minus. Do not discuss
these or defend any particular position. Use them as you plan future meetings.
Some leaders encourage the group to give themselves a round of applause for their hard work. Be sure to
thank all members of the group for their participation.
Follow up after the meeting. A meeting without follow up is often time wasted. If action items were
assigned, it is essential that those responsible are held accountable. The procedures discussed in the
chapter on delegation may apply here.
Establish a method or procedure that is followed after every meeting. Summarize the recorder‘s notes and
especially assignments and the responsible individuals. They may need support. Consider where each
person is on your Situational Leadership model. Some may need more support than others.
Effective Meetings
Deciding not to have a meeting is just as important as deciding to have one. If you can not clearly see
viable outcomes and accomplishments from a proposed meeting, don‘t have it. When you decide to have
it, plan it thoroughly. Alert participants what to expect. Encourage every attendee to be prepared. Make it
common knowledge that you expect participation from all who attend. That‘s what a team is all about.
Keep the use of a facilitator as an option. Learn what the facilitator brings to a meeting that can make it
more productive. If you do choose to use a facilitator, prior to the meeting take time to discuss the agenda
and the meeting process. You will want to develop a common view of how you expect the meeting to
unfold and what outcomes to expect. Train your team members to fill the roles of time keeper and
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recorder. As a trainer and coach, you may want to encourage selected members to run meetings. This can
be a touchy issue, so don‘t attempt it unless you believe your team can accept it.
Scheduled weekly meetings can be an effective way of sharing information and allowing people to ask
questions that may benefit the group. To ensure that these meetings do not become boring wastes of time,
consider the following. Schedule these for 20 minutes or less. That is ten minutes for agenda items and
five or tem minutes for questions and feedback to you. Try conducting this meeting without taking seats.
If all attendees are standing, there should be an unspoken sense of urgency. Don‘t dominate and don‘t
interrupt. If something comes up that demands more time, either address it then or schedule a sit-down
meeting to discuss it.
If you incorporate the things mentioned in this chapter in your meetings, you will find them to be
effective, fast paced, satisfying and productive. In fact, the products of these meetings will be of the
highest quality because the way the meeting was led encouraged teamwork and open, honest sharing of
information. Team members will arrive eager to share and with an expectation of time well spent.
As you have probably seen by now an effective meeting requires planning, good leadership and follow up.
Energetic, productive meetings help build energetic and productive teams. Participants should leave the
meeting energized and believing they have accomplished something worthwhile. A well run meeting says,
―Our supervisor cares about us enough not to waste our time.‖
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1. Covey, Stephen R., First Things First, FREE PRESS, New York, 2003 P.p. 21 – 43
2.John Mehrmann, Secrets of Effective Meetings, Accessed March 18, 2007

http://ezinearticles-to Effective-Staff-Meetings&id=170481
3.Doyle, Michael and David Straus.. How To Make Meetings Work. New York, NY: Jove Books,
Berkeley Publishing Group, Penguin Putnam, Inc., 1982
Suggested Reading: Patrick Lencioni, Death by Meeting: A Leadership Fable … About Solving the Most
Painful Problem in Business,
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2.10 Problem Solving and Decision Making
The training went over well to a small group. Should it be presented to the whole organization? Customer
satisfaction is off by 20% over the last year. What should be done about it? Choosing to provide training
for a larger group is a decision. Determining why customer satisfaction has slipped and what to do about
it is a situation that requires investigation and ultimate action. That‘s a problem to be solved.
Decision making and problem solving are closely related and often confused. We are presented with a
myriad of choices every day. Left or right? Vanilla or chocolate? Joyce or Juan? Today or tomorrow?
Decision making is the process of choosing from among alternatives. It may be simple and intuitive or
complex and highly structured. Decisions may be needed in response to problems and opportunities.
When a training session has been well received by a small group, should it be proliferated to the entire
organization? That‘s a choice -- a decision.
Problem solving, on the other hand, occurs when something is judged to be wrong or below standards or
needing improvement. Problem solving is a matter of determining the best response to a situation
identified as a problem. If customer satisfaction is ―off‖ what should be done about it? What ultimately
makes problem solving different from decision making is that problem solving requires action. The
problem is not solved merely by making a decision or even by developing a plan. The solution must be
implemented. Finally, it should be evaluated to see if the problem was actually solved.
The problem solving process may also be applied to a task or project. A supervisor or manager may be
given the project to combine two departments. This task may be approached as a problem to be solved.
Certainly, there will be numerous decisions to be made. The ultimate ―solution‖ will be a successful
merger with minimum or no down time and consistent or improved productivity.
Our friend Marsha is still a relatively new supervisor. Her department head, Ms. Phillips, gave her a
project. Let‘s see how she handled it.
Marsha: Jim, thanks for meeting me here at the coffee shop. I just needed to get away from it all.
Jim: No problem. I can usually do with a cup of coffee. What‘s the matter?
Marsha: It‘s the contracting procedure. I really think I dropped the ball on this one. I was given the job to
review it and come up with recommendations to improve it. I spent the whole weekend on it and gave it to
Ms. Phillips, my boss, yesterday.
Jim: How‘d she like it?
Marsha: Not at all! She complained that the small modifications I suggested were not worth bothering
with. I didn‘t realize how unhappy she is with the present system.
Jim: How much time did she give you to come up with your recommendations?
Marsha: She didn‘t set a deadline. I just thought it was pretty routine, so I spent time reviewing the
present system. It‘s not half bad, but I found a few things that could be improved. I wrote up my
recommendations and gave the report to her yesterday morning.
Jim: Apparently, you didn‘t sit down with Ms. Phillips to clarify the task.
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Marsha: I thought I knew what she wanted and I know she likes things done in a timely manner.
Jim: So you grabbed the bull by the horns, but apparently it was the wrong bull.
Marsha: I guess you could say that. I suppose I should have taken time to get clarification on what she
was looking for. Now, she wants me to re-do the whole thing.
Jim: That‘s great! She is giving you a second chance. Now, what are you going to do?
Marsha: Well, I feel like a real dummy. I hate to go back to her and get clarification on what she wants.
Jim: Marsha, the first step in problem solving is to clearly understand the problem. She has an
expectation based on what she sees as the problem. Apparently, she is not satisfied with the current
contracting system. How can you come up with an appropriate solution if you have not clearly identified
the problem? You sacrificed quality for speed and you ended up with egg on your face.
It usually pays to go slow initially so you can go fast later and come up with meaningful
recommendations. The problem solving process begins with a clear understanding of the problem. In fact,
you may want to write a definition of the problem and get Ms. Phillips to OK it. Tell her you want to be
certain that you are not solving symptoms and that you are getting to the heart of the problem. I think she
will appreciate that approach.
Then, you may want to get input from others who work with contracts a lot. After all, you are only one
person with one point of view. When you get input from others you can open up entirely new areas of
investigation.
Marsha: But I think she is in a hurry.
Jim: You won‘t know until you ask. Review a standard problem solving model. Then, tell her how you
intend to go about handling this project and see if she buys into it. Apparently, she has some strong
feelings about the contracting procedures. And Marsha, she wouldn‘t have given you the task if she didn‘t
think you could do it.
Marsha was unclear as to what Ms. Phillips expected. She had not defined the problem, nor had she gotten
insight into when Ms. Phillips wanted the project completed. She also did all the work on her own without
input form others. What Marsha needs is an understanding of the problem solving process.
This chapter is about making decisions and solving problems. Usually, it is necessary to make one or
more decisions in the process of solving a problem. First, we are going to take a quick look at the overall
concept of problem solving. Then, we will take a detailed look at decision making, because, although it
can be done independent of the problem solving process, it is always a part of that process. Finally, we
will return to a problem solving model and see where decision making fits into it. We will also discuss
how planning is often either a part of the problem solving model or done as a result of it.
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Pitfalls of Problem Solving
Often managers are in such a rush to solve problems that they jump in with both feet and end up solving a
symptom. This comes from assuming that the symptoms are the problem. When absenteeism and tardiness
increase dramatically in a department, we may assume there is a problem with discipline. Perhaps the
rules and procedures that govern these things are not clear. In truth, absenteeism may be one of several
signs that the supervisor is a nasty and unpleasant person and more and more people simply hate coming
to work. Absenteeism was only the symptom. The problem was an ineffective supervisor that needed
leadership training.
Supervisors are pressed for time and often seem ―under the gun‖ to perform well. Hence, they are likely to
seize upon solutions that have worked in the past and attempt to make them work in other situations. This
can lead to poor solutions as well as to stagnant thinking when it comes to problem solving. Later in this
chapter, we will present a six step problem solving model that, when applied, can result in better, more
workable, and often, more creative solution.
Negative attitudes can also create problems for the problem solving process.
The Status Quo. Often, people (transactional workers and managers) are content with things the way they
are. Ignoring the situation has become a way of life. Addressing a problem is synonymous with ―change‖
and change often scares people to inaction. This can create resistance.
Too Much Trouble. ―We are already too busy to open that can of worms.‖ Although the ultimate benefits
of solving a particular problem may be clear, sometimes people feel that it is simply too much trouble.
The difficult thing here is getting people to recognize the ultimate benefits of solving the problem.
Lack of Commitment. This can stop the problem solving process before it ever gets started. It can also
doom an effort that seemed to be getting off on the right foot. Real commitment is often hard to measure,
but without it you can end up with a poor solution or a process that never reaches a solution. It is essential
to include people with a sincere desire to see the problem solved. For a problem to be worth your attention
or that of a group, it must be having a negative impact on the organization. Sometimes it takes pain to
motivate people to take action.
Passive Behavior. ―Don‘t rock the boat.‖ This phenomenon can occur along with any of the above
negative attitudes. In a manner of speaking, it is the flip side of risk-taking. It is less threatening to ignore
a problem situation and treat it as just part of the way things are. This passive attitude may seem safe; but
it undermines the stability and productivity of the organization. Making things better requires action.
Group versus Individual Approaches

Problem solving can be either an individual effort or a group undertaking. Groups are wonderful for some
things and not so great for others. If you need to generate a lot of ideas or come up with a highly creative
approach to solving a problem, groups work very well. A group can also be helpful in discussing issues
and coming up with innovative solutions. On the other hand, if you need to organize large amounts of
data, write reports, or do in depth research, a group may not be the best way to go. In these cases you may
do better to work individually or by having a small team reporting to one person.
Good – Cheap – Fast
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As you choose whether or not to use a group problem solving process, consider this. You must choose
among three options. They are Good, Cheap and Fast. Here is the big caveat! You only get to pick two. It
is a general rule that you can not get all three. If you want your problem solving process to be good and
cheap, it is virtually impossible for it to be fast, too. Think about it. ―Good‖ implies a quality product. To
get this done inexpensively means that it will take time to gather the resources and produce a truly
workable solution. Therefore, it can‘t be fast.
If you choose Good and Fast, then chances are that it will not be cheap. It is rare that you can develop a
quality solution quickly without spending lots on resources of people, time and materials. Hence, cheap is
ruled out. Think of this in terms of using people as a resource. If you want to gather the right people, with
the right qualifications, in one place for a fast and concentrated effort, it will, most likely, cost a bundle in
salaries and perhaps even travel expenses. Therefore, good and fast usually cost a lot.
Finally, if someone insists on getting a solution fast and inexpensively, the odds are that the solution will
not be good. This may be likened to ―giving it a wing and a prayer‖ and hoping for quality, too. Things
that are done fast and cheap usually produce a less than good product.
Go Slow to Go Fast
You have heard the saying, ―Getting off on the right foot.‖ This implies that one‘s initial direction and
focus can make the difference between success and failure. In most problem solving efforts, and
especially in group problem solving, it is essential to begin with a deliberate and well thought out process.
Going slow to go fast means that it is important not to ―go off half cocked‖ and possibly solve a symptom
or attempt to solve a poorly understood problem. Successful leaders are usually doers and often risk
takers. The leader who is also a successful problem solver is committed to understanding the problem and
making appropriate arrangements for the problem solving process before looking for a solution.
Therefore, many leaders must resist the temptation to jump strait to the solution. This suggests a detailed
preparation: assessing the problem, deciding who the stakeholders are and who should be involved in the
process, determining whether this is a problem best solved by a group or an individual or a combination,
and finally, defining the problem. When this is done the process is much more likely to proceed at a rapid
pace, to be successful, and to produce a workable solution. Problem solvers who rush to the latter stages
of the process often find themselves having to return to the beginning because they did not pay sufficient
attention to the early stages of the process. They did not go slow to go fast.
Group versus Individual
As mentioned above, it is important to consider whether a problem would be best solved by a group or an
individual. Who are the appropriate people to be involved? This requires an assessment of the problem. 1
Carmack and Rose suggest the following questions be asked to provide a better understanding of the
problem.
 Does the team have control over the factors or forces affecting this problem?
 Will it go away if we do nothing?
 Who cares if the situation is changed?
 Why should we care about solving this problem?
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Other important questions might also be asked. Who presented this problem to you? Is it a long standing
problem or one that has recently developed? Does it transcend your area of responsibility? Will you need
expertise from beyond your own team? Do you feel equipped to manage this process by yourself with
input from others? Then, you must decide whether or not to use the group process. Consider the following
as you make your determination.
Individual Problem Solving
Advantages
 Speed in reaching decisions, especially in emergency situations.
 Responsibility is more defined and fixed.
 Group dynamics do not enter into the process.
 Certain decisions are higher in quality due to expertise of the problem solver.
Disadvantages
 Requires more time to gain acceptance and understanding of the team.
 May create resentment or feelings of unfairness in treatment among the team.
 Less innovative solutions may arise and negative by-products may be unforeseen.
Group Problem Solving
Advantages
 Communications with the participants are strengthened; needs of the participants are more
likely to be voiced openly.
 Acceptance and understanding of the decision is almost guaranteed.
 More diverse pool and synthesis of ideas increases probability of high quality or unique
solutions.
 Participant motivation and commitment to carry out decisions is improved.
 Creates an involved atmosphere.
Disadvantages
 Requires interpersonal and problem solving skills on the part of participants.
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 Requires a facilitator with skills commensurate to the complexity of the problem and level of
participant interpersonal skills.
 Requires more time through the Action Planning phase.
 May not fix individual responsibility.
 May not fix individual responsibility.
 Limited to problems that participants have knowledge of and interest in.
Certainly, the group process would not be used for simple or routine problems. Since it is a more complex
process it requires time and other resources. The group problem solving process requires a skilled
facilitator and a group of individuals trained in group dynamics and group problem solving tools and
techniques. It is not to be entered into lightly. Read up on group problem solving and group dynamics
before venturing into this arena.
The Problem Solving Process (Overview)

Carmack and Rose suggest that, ―It is important to assess the problem situation and desired outcome prior
to initiating the problem-solving process.‖ Then, they go on to outline the six step process described
below.
Step 1. Identifying the Problem. Define the specifics of the problem situation. Look at the surrounding
environment and understand what is involved. Develop a succinct statement of the problem.
Step 2. Analyzing the Problem. This requires fact-finding and analysis. What are the causes of the
problem? This may include breaking the problem into pieces for better understanding. Overlooking
critical data could result in an unworkable solution. Systems thinking is often the best approach. You may
also ask who, what, when, where, why and how in order to thoroughly understand the depth of the
problem and its causes. Carmack and Rose suggest that this step should result in a ―goal statement that
reflects the outcome.‖
Step 3. Generating Alternatives. Based on data collected and analyzed, possible solutions are developed.
Too often, a particular solution appears so obvious that it is accepted out of hand without considering
other possibilities. This limits creativity and can peremptorily eliminate a better solution. It is in this step
that the group process often shows its real value.
Step 4. Making a Decision. We will discuss this step in detail later in the chapter; however, it is important
to recognize that a decision is usually made based on specific, usually measurable criteria. Will this
decision, if properly implemented, achieve the outcomes established and eliminate or sufficiently reduce
the problem?
Step 5. Action Planning. The problem is not solved by a decision. That decision must be implemented.
This may be approached in several ways, but always with an eye toward practicality and awareness of
what people and organizations will need to be involved. The problem solving process may include an
outline of a plan that requires more detail in order to execute, or it may be the responsibility of the
problem solver to create the detailed plan and supervise its execution. Either way, the steps necessary to
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implement the solution are detailed. At the end of this chapter, there will be a brief discussion of Planning
as a management function.
Step 6. Evaluation and Implementation. This step includes an evaluation of the problem solving process
itself. How did we do? What can be done better the next time? It also includes a plan for measuring the
effectiveness of the implementation. How will feedback be gathered and analyzed? Lessons learned from
the problem solving process are published and used in future problem solving situations. During this step
mechanisms and procedures can be developed to ensure proper implementation validating that the
problem has, in fact, been solved and is not likely to return.
Decision Making
As mentioned earlier, supervisors and other managers make decisions many times a day. Good decisions
often go unnoticed. Bad decisions usually get noticed and can result in reduced organizational
effectiveness. In this chapter, we are discussing decision making as an important step in the problem
solving process. Within that process there can be numerous decisions. Some are simple and virtually
routine, while others are complex. There are usually decisions made throughout the six steps described
above; however, Step 4 is, in fact, the Decision Making step. Here a choice is made between several
alternative solutions. Before we discuss the classic decision making steps, let‘s talk a bit about decision
making in general.
There are two types of decisions: Programmed and Non-programmed. Programmed decisions are usually
structured and may recur frequently. They are generally predictable and routine. Often there is guidance
from higher up in the organization in the form of policies or procedures to cover these decisions. For
example, overtime may be permitted only in prescribed situations. Or, new employees will attend certain
training only after becoming proficient in certain basic tasks.
Non-programmed decisions are usually one of a kind with little precedent. These are usually more
difficult for the supervisor to make hence there is often an element of risk. They occur less frequently.
These are usually the kinds of decisions made during the problem solving process.
Whether you are aware of it or not, every time you are required to make a decision as a supervisor you
naturally evaluate the circumstances. Conditions will vary. Those who have studied the decision making
process acknowledge three general conditions: Certainty, Risk and Uncertainty. When a condition of
certainty exists you have a fairly good grasp on the alternatives and what you can expect from each.
Making decisions under a state of risk is more common. Here, ―the availability of each alternative and its
potential payoffs and costs are all associated with probability estimates…. Most of the major decision
making in contemporary organizations is done under a state of uncertainty. The decision maker does not
know all the alternatives, the risks associated with each, or the likely consequences of each alternative.
This uncertainty stems from the complexity and dynamism of contemporary organizations and their
environments.‖ 2
In Part I we noted that supervisors are concerned primarily with what we call tactical situations, hence
they usually make tactical decisions. These differ from the operational decisions of middle managers and
the strategic decisions of executives. Supervisors tend to be concerned first and foremost with daily
activities, and the implementation of decisions made at a higher level of management. For the supervisor,
the conditions will vary as will the time available to make a decision.
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Rarely, the supervisor may be asked to participate as leader or member of a group tasked with a project or
problem to be solved. In those cases, the group problem solving and decision making process is used. It is
also possible that, on occasion, the supervisor may find that the circumstances will dictate that a group
process be used within the team. This group process is presented in Appendix XXX.
In a perfect world, all decisions would be made under conditions of certainty. There would be few
variables. All assumptions would be correct, and all possible results would be anticipated. One more
factor would also be true: the decision would always be made logically and without emotion.
Unfortunately, this is hardly ever the case. Although a rational decision making model is presented and
should be the start point for all decisions, you as a supervisor must be aware that other factors do impact
on the process. Intuition, politics, ethics and personal bias can all come into play. That is the real world.
Decision makers are often limited by more than the facts. The political or social environment of the
organization may impact on the process. Sometimes leaders are intimidated because a potential decision
simply does not seem to fit into the organizational way of doing things. Prior experience may be a factor.
These are often referred to as the ―behavioral‖ aspects of decision making. In these cases, the supervisor
can follow a rational decision making process as far as his or her own personality and disposition will
permit. We present a logical way of gathering and evaluating information and making a decision.
Beginning with facts and logic will ensure that the process has data and non-emotional factors at its
foundation. However, it is essential that you recognize that other factors do enter into the equation. These
may be good or bad, helpful or harmful to the organization, but they do exist.
Rational Decision Making Process 3
We present six steps in a rational decision making process. When this process is nested in the problem
solving process, the last two steps are included in the Action Planning and Evaluation and Implementation
phases.
Step 1. Recognizing and defining the decision situation. Alternatives generated during Step 3 of the
Problem Solving Process have set the stage for this step. It is important that alternatives are not discarded
peremptorily. If an alternative is wrong or not workable, it will be eliminated by the decision making
process.
Step 2. Identifying alternatives. This again is an extension of Step 3 in the Problem Solving Process.
When the decision making is not part of the formal problem solving effort, then Steps 1 and 2 become
more distinctive and should not be ignored.
Step 3. Evaluate alternatives. Usually, evaluation criteria are established so that identical measures of
appropriateness and feasibility are used for each alternative. As the alternatives are evaluated attention
must also be paid to the mechanics of execution. Is the alternative practical? What might be the
consequences if it is adopted?
Step 4. Selecting the best alternative. This is, in fact, the act of making the decision. If all previous steps
have been rationally and thoroughly conducted, this step should not be too difficult. Occasionally it is
here that the behavioral aspects of the decision making process become obvious.
Step 5. Implementing the chosen alternative. See Step 5 of the Problem Solving Process.
Step 6. Following up and evaluating the results. See Step 6 of the Problem Solving Process.
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A comparison of the Problem Solving and Decision Making processes clearly shows why these two
processes are so closely related and why they are often confused with each other.
Values and Ethics in Problem Solving

The decision making model above implies a logical, fact based process in both decision making and
problem solving. Anyone who has experience in real world organizations knows that other less than
rational factors can impact these processes. Certainly, the values and ethics of supervisors and others
involved in problem solving come into play. What happens when there is conflict between what appears
to be right for the organization and what is right for the customer? When a reduction in force is mandated
by higher authority, how are those to be ―let go‖ selected?
When decisions are made based solely on economic factors logic can prevail. However, social pressures
sometimes impact those decisions. When the pet project of an executive is discovered to be losing money
or producing negative results there may be a tendency to ignore the losses rather than to incur the wrath of
the executive. There is no pat solution for these situations; however, every supervisor needs to be aware
of these factors.
In recent years, both the corporate world and administrators in government have become more sensitive to
the impact of values, ethics, and even personalities on business decisions. Ethical considerations appear to
be getting greater consideration. Supervisors and other managers who opt for the ethical approach are
gaining in acceptance and success. The application of a rational decision making and problem solving
process can provide a fact based frame of reference from which ethical issues may be addressed.
Problem Solving Process (Details)

As outlined above, we subscribe to a six step problem solving process. There are other models, but most
follow this general framework.
Identifying the Problem

Analyzing the Problem
Generating Alternatives
Making a Decision
Action Planning
Evaluating and Implementing
These steps can apply to problem solving by individuals and to the group problem solving process. There
is a great variety of tools and techniques that may be applied during each step. We can not discuss all of
them here. The purpose is to provide you some insight into each step. Understanding why each is essential
will make you a better problem solver.
Identifying the Problem
This step is often skipped. Why? Because the action oriented supervisor wants to get to the solution as
quickly as possible. Remember to ―go slow to go fast.‖ Some models refer to ―understanding‖ the
problem. Others call this step ―defining‖ the problem. What is important is that symptoms be separated
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from the problem. This is where our supervisor, Marsha, (in the dialog above) missed the boat. She was
so eager to get to a solution that she neglected to clearly understand the problem.
This is not the time to become engrossed in the details and mechanics of the problem situation. Rather, it
is time to separate symptoms and boil them down to a simple problem statement. Symptoms are not to be
ignored in the long run. They are a part of the problem, but they are not the problem. What are the
relationships between the symptoms?
Below, Carter McNamara, PhD has presented an outline which can be helpful in this step. 4
―Defining the problem: (with input from yourself and others)

Ask yourself and others, the following questions:
a. What can you see that causes you to think there's a problem?
b. Where is it happening?
c. How is it happening?
d. When is it happening?
e. With whom is it happening? (HINT: Don't jump to "Who is causing the problem?"
When we're stressed, blaming is often one of our first reactions. To be an effective
manager, you need to address issues more than people.)
f. Why is it happening?
g. Write down a five-sentence description of the problem in terms of "The following
should be happening, but isn't ..." or "The following is happening and should be: ..." As
much as possible, be specific in your description, including what is happening, where,
how, with whom and why. (It may be helpful at this point to use a variety of research
methods. .
Defining complex problems:

a. If the problem still seems overwhelming, break it down by repeating steps a-f until you
have descriptions of several related problems.
Verifying your understanding of the problems:

a. It helps a great deal to verify your problem analysis for conferring with a peer or
someone else.
Prioritize the problems:

a. If you discover that you are looking at several related problems, then prioritize which
ones you should address first.
b. Note the difference between "important" and "urgent" problems. Often, what we
consider to be important problems to consider are really just urgent problems. Important
problems deserve more attention. For example, if you're continually answering "urgent"
phone calls, then you've probably got a more "important" problem and that's to design a
system that screens and prioritizes your phone calls.
Understand your role in the problem:

a. Your role in the problem can greatly influence how you perceive the role of others. For
example, if you're very stressed out, it'll probably look like others are, too, or, you may
resort too quickly to blaming and reprimanding others. Or, you are feel very guilty about
your role in the problem, you may ignore the accountabilities of others.‖
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This step should culminate in a clear and succinct problem statement. If the problem is large and complex,
break it into parts and prioritize. Address only one issue at a time and be as specific as possible. Include
the nature of the problem, who is impacted, what is causing it and, if possible, consider what the situation
might be like if the problem were corrected. Failure to fully complete Step 1 can result in wasted
resources and an unsolved problem.
Analyzing the Problem
Now the big question is ―why.‖ This step is a combination of data collection and data analysis. It is the
process of becoming intimately familiar with the problem. To do this, you need to ask the most
fundamental questions, often referred to as the ―5 Ws and an H.‖ They are who, what, when, where, why
and how. Carmack and Rose 1 describe these as follows.
―Who is involved? Who is not involved? Who has more knowledge about the problem?
What is the background? What are the indicators of the problem? What dies it cause?
What went wrong? What situation, condition, etc. is affected by the problem? What related
things are not affected?
When were the symptoms noticed? When did they occur? When can we expect them to
recur?
Where do the symptoms appear? Where is the problem? Where does the problem affect
the organization? Where is the problem not relevant?
Why do the symptoms appear? Why is this a problem?
How often do the symptoms appear? How much do they affect the organization? How
much of each is affected. How much is not affected?‖
Problems will differ in size and complexity. Regardless of these factors, it is essential to gather
information and then analyze it to fully understand the problem. The list of data collection techniques is
long. It can begin with observations and interviews. If the problem is complex and technical check lists
and spread sheets may be helpful. Some problems require sampling techniques to be used. It is critical to
learn the facts surrounding the problem situation. Computer programs abound with methods to display
data for analysis.
Within this step, the next requirement is to actually analyze the facts (data) collected. This may be
accomplished using operations research and systems analysis techniques that focus on mathematical
protocols and computer analysis. It may also rely on analysis using Pareto diagrams or basic cause and
effect, or force field analysis. Which tools are used will be a function of the type and complexity of the
problem.
Throughout this step it is important to continuously refer to the problem statement to ensure that your
efforts are on track. During the data collection and analysis phase it is easy to become overwhelmed by
the data or to find your self collecting data that is not needed. To avoid this, keep your eyes on the
problem.
Generating Alternatives
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High quality solutions require using the analysis to generate several creative alternatives. It is during this
step that synergy can make a major contribution. The old saying is that two heads are better than one. The
more people you can involve in developing possible solutions the better. At the same time, it is during this
step that the emotional or behavioral issues noted above can come into play to inhibit the problem solving
process.
Whether working in a group or simply sharing the analysis and requesting possible solutions make it clear
that every alternative will be seriously evaluated. Do not be prematurely evaluative. Unrealistic or
impractical alternatives will be identified and eliminated during the next step. In the meanwhile, one
person‘s ―impractical‖ suggestion may inspire someone else to put forward a uniquely workable
alternative. A wide variety of alternatives increases your choices. Encourage many alternatives.
Tools may vary. Brainstorming is often a preferred technique for groups; however, you may choose to
share alternatives via e-mail or hard copy memo‘s or by discussing the facts with individuals. During this
step it is very important for each person contributing to have complete access to the information
previously gathered and analyzed. Even if you have done all of the previous steps on your own, the
quality of your solution will be improved by including others in this step if at all possible.
Making a Decision
We have discussed decision making above. When it is part of the problem solving process, recognizing
the problem and generating alternatives have already been accomplished. This step begins, therefore, with
a thorough evaluation of each alternative. Which potential solution is most likely to solve the problem?
Consider long term versus short term solutions. Are there any unintended negative consequences? Will
this solution create any new problems?
It is during this step that problem solvers can look at the organization as a system to determine how sub-
systems might be impacted. One of the greatest values of systems thinking is recognition that a change in
one sub system can have an effect on the rest of the organization. These are important considerations for
potential alternatives.
Here again is an opportunity within the process for personal politics, biases and other behavioral factors to
come into play. There may be the tendency among some people to discard certain alternatives out of hand.
Others may have become wed to particulate alternatives for one reason or another. As supervisor and
leader, your responsibility is clear. Encourage thorough and honest assessment of every alternative.
With many problems or projects a matrix can be constructed to compare the various alternatives with the
criteria for a successful solution.
Criteria for success may include the following. Most economical: best return on investment. Time to
implement: How long before benefits begin? Best impact on customers.
You may also find that one criterion for success is essential. That criterion should be weighted to ensure
that it is recognized because of its importance. Depending on the complexity of the problem, you may
find it helpful to weight all the criteria. As far as is practical, keep the KISS principle in mind. Keep it
short and simple.
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It is here that many good solutions run into trouble. Here is where the implementation is mapped out in
detail. The person or group that is responsible for the problem solving process should be intimately
involved in the planning. Once again, the―5 Ws and an H‖ should be applied. Who will take the action?
Who will be responsible? What resources will be required for successful implementation? When will the
action be initiated and completed? Where within the organization will the action take place? If there is to
be a pilot test, where will it occur? The ―why‖ question may not be immediately evident; however, it can
be important to a successful implementation to ensure that all impacted sub systems and personnel
understand why the action is needed. Finally, how will the plan be implemented? In stages? By
department? Gradually? In short, successful implementation of any decision requires detailed planning.
If the detailed planning is to be conducted by someone other than those involved in the problem solving
process, the problem solvers should at least provide planning guidelines and potential areas where the
implementation might run into problems.
Although force filed analysis is mentioned in Step 2, Analyzing the Problem, it is a particularly valuable
tool during the planning step. It is a method for considering and evaluating the forces for and against a
plan. What are the things (forces) that will work in favor of successful implementation of this plan? What
are the things that will work against successful implementation of this plan? Once the plan is nearing
completion, a force field analysis can be helpful in identifying ways to improve it.
In order to learn from failures as well as successes, a portion of every plan should include a procedure for
evaluating or measuring the implementation. After one month, three months or more how much of the
goal has been achieved? The times will vary depending on the problem or project being addressed.
The plan has a goal which was set out early in the problem solving process. The successful plan is usually
composed of a series of objectives that, when accomplished, will produce the goal of solving the problem.
The SMART model can be used to ensure that each objective statement is valid (Specific, Measurable,
Achievable, Realistic, Timely).
Example of a goal and objectives that accomplish it.
Goal: Raise external customer satisfaction from 85% to 95% within six months.
Objective #1: Provide effective customer service training for 100% of employees by May
30.
Objective #2: Implement coaching and mentoring system for all employees who interact
with customers by June 15.
Objective #3: Install new digitized system for tracking external customer satisfaction by
July 1.
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Finally, an action plan should be written that addresses all contingencies. Below is a suggested format.
Action Plan
Outcome/ Action Steps Indiv./Group Resources Start/Completion
Expectations Responsible Required Date
Fig. 25
Evaluating and Implementing
After completing the action plan you may be tempted to turn it over to those who will execute it and move
on. The problem solving process is almost completed, but not quite. The final step in the process is two
fold. First, to evaluate how well you or your team have performed the problem solving activity. Second,
to collect feedback to ensure the problem has been resolved.
In this instance, evaluation means to take a critical look at the process you used to solve the problem or
complete the project. It is wise to learn from both success and failure. This evaluation requires a thorough
review of the process. Look at each step. What did we ―do well,‖ and what did we do ―not so well?‖ This
evaluation should be done immediately after the action plan is completed. The sooner the better.
 Was enough time taken initially to identify and define the problem?
 Was the analysis thorough?
 Were all aspects investigated?
 During the generation of alternatives were judgment and evaluation suspended?
 Were all possible alternatives presented?
 What criteria were used in the decision making step?
 Was a logical process used to select the final solution?
 Did the action planning step clearly delineate responsibility and times for execution?
 Were all questions answered and possible contingencies considered?
 Did evaluation of the process yield a list of things that can be done better next time?
Effective implementation requires accurate and timely feedback. This feedback must then result in action
to modify or change the implementation as a result of events as they happen. In Progress Reviews (IPRs)
are valuable tools to keep implementation on track. Further, it is usually wise to consider how unforeseen
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events might require major changes to the action plan. Has the initial problem changed or evolved
requiring modification to the implementation? Are those most immediately impacted by the original
problem pleased with the outcome of your efforts?
In some cases, a blanket implementation of an innovative solution can create resistance or hesitation on
the part of those impacted. It is during times like this that it may be a good idea to implement a pilot or
test run in order to develop support and acceptance of the solution. A pilot effort can provide a dimension
of safety for those who fear change.
Conclusion
Problems, tasks and projects come in all shapes and sizes. The processes described above are not meant
for rote execution. They are guides for large and small problems. Supervisors may make literally dozens
of decisions daily. The decision making process outlined is a guide. Understanding the process and being
familiar with it can assist you, the supervisor, in making good, rational decisions in a variety of situations.
Risk and uncertainty are inherent in the supervisor‘s life. Problem solving and decision making are based
on understanding the requirement and collecting the information needed to select a workable solution.
When possible, it is wise to get input from others. Using these processes when time and resources permit,
can improve your innate ability to deal with problems and decisions on the spur of the moment.
Carmack and Rose provide a checklist to be used at the conclusion if each step in the problem solving
process before moving on to the next step.. As you apply the process and use the checklists, you will find
that they become a rational and comfortable part of who you are and how you conduct yourself as a
leader.
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1.Carmack, Jim and Rose, Bill, High Involvement Problem-Solving (Process, Tools & Techniques), High
Involvement Work Systems, 1995
2. Griffin, Ricky W., Fundamentals of Management, Core Concepts and Applications, Houghton Mifflin
Company, New York, 2003 Pages 98-99.
3. Griffin, page 101.
4. McNamara. Carter, Filed Guide to Leadership and Supervision for Non-Profit Staff, Authenticity
Consulting, LLC, Minneapolis, 2003
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2.11 Groups and Facilitation Skills
As the concept of Organizational Development has evolved, group performance and group dynamics have
become increasingly important. Change is a constant within any organization, and we have found that
often groups have a wonderful potential for creative and innovative responses to change. Groups,
especially relatively small groups, can generate ideas and creative approaches to problem solving.
Managing a successful group requires a special set of skills. Groups develop personalities of their own.
They can be powerful, but they can also be unwieldy and difficult to keep on track.
Most organizations are composed of individuals who are experts on the technology and the mechanics of
their industry. They understand the ―whats‖ of their business. These we call content experts. But, who is
an expert on the ―hows?‖ How is the meeting managed? How is a group guided through the problem
solving process? People who understand these things are called process experts.
We have all seen groups become bogged down because of turf issues or internal politics. Occasionally,
groups become side tracked on a small, but seemingly important, technical matter. This wastes time and
group energy. Even the supervisor or meeting manager is not immune to these tendencies. Who can rise
above these issues and be able to guide the group process and keep it focused on the reason for which it
came together? This process expert is the group facilitator.
Many times outside facilitators are called in to help a group for a particular purpose. These individuals
have extensive experience in group dynamics and facilitation skills. However, they are often not available
or affordable. In these cases the group leader (supervisor or manager) may choose to call on the services
of a facilitator from within the organization. This person needs to be familiar with the group process and
how to guide a group meeting in order to achieve its group goals.
The purpose of this text is to guide you through a process that will help you become a facilitator. One can
only become a competent facilitator by doing it. Workshops are designed to get the facilitator some hands
on opportunities. This text should complement that sort of training. By reading and thinking about this
information you should be able to accomplish the following.
 Describe how facilitative leadership can help you drive team and meeting success.
 Identify facilitator roles and responsibilities.
 Get organized for meetings.
 Look beyond agendas to plan meetings from start to finish.
 Identify meeting processes and activities that get results.
 Handle common facilitator challenges.
 Create an Action Plan for facilitating meetings that inspire creativity and effective problem
solving.
* Note: Nothing can replace hands on training and experience as a meeting facilitator.
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Types of Meetings
We all attend meetings. Most are staff meetings that are managed by a supervisor or other manager. In
these meetings, information generally flows in one direction -- from the leader to the rest. If it flows in
the opposite direct, the attendee is usually responding to an actual or implied question, auch as, ―What
actions have you been taking?‖ In these meetings, leaders tend to tell, sell or present information. They
may give directions or even delegate responsibilities. These types of meetings rarely require a facilitator.
They may be termed ―information meetings.‖
On the other hand, if the leader presents a problem or a situation and encourages input from the group,
this can be an entirely different kind of meeting. Here, discussion is stimulated, questions encouraged, and
consensus built. Creativity and synergy are essential ingredients of this type meeting, sometimes called an
―action-meeting.‖ If we consider this type of meeting in light of the Situational Leadership Model, the
leader has chosen to use a participating or delegating strategy. When these are considered, the final
decision usually has not been made. The leader may or may not have preconceived notions about what the
conclusions should be, but wants to get input from the group.
Furthermore, when this type of meeting is decided upon, the leader has evaluated the group as having a
fairly mature level of readiness to deal with the specific issue at hand. If a delegating strategy is used, the
titular leader of the group may designate someone else to be the meeting manager. In this case, the leader
has full confidence in the group. Either way, a facilitator is needed to guide the process without ownership
in the decision or solution that the group develops.
The leader/manager traditionally directs the content of a group or of a meeting. The leader usually has a
vested interest in the outcomes. Consider the staff meetings you have attended. The facilitator, on the
other hand, directs process and remains neutral as to the outcomes. This is possible because the facilitator
has no vested interest in the group. It is very difficult or, some would say impossible for the
leader/manager to also be the facilitator of an action meeting. In that case, the manager has to control both
content and process, deal with conflict, and usually ends up making the decision. This can inhibit others.
It is difficult for participants to know whether the manager is speaking as leader or facilitator. The
manager may impact the decision of the group without intending to. Therefore, at action meetings where
creativity and synergy are of paramount importance a facilitator is essential.
Defining Roles
Successful conduct of an action or interactive meeting requires clear understanding of the primary roles of
several participants.
Meeting Manager.
This person may or may not be the titular supervisor or manager of the team or group. This manager may
be designated as the meeting manager by that person. The meeting manager is an active participant in the
proceedings, but must guard against overpowering other participants. This person does retain power and
does have specific responsibility for the mission. At the beginning of the meeting the meeting manager
may want to outline roles, and constraints on the conduct of the meeting. Prior to the meeting the manager
and the facilitator should discuss and clearly agree on their respective roles.
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Facilitator.
The facilitator remains neutral and acts as a process guide. He or she is like a tour guide helping the group
stay on task and get to its objective.
The facilitator encourages input from all participants, ensuring that no one dominates and that no one is
excluded. Other duties include, encouraging civility and respect for the perspectives of others, as well as
attending to time and logistical requirements. The facilitator ensures that the group gets where it wants to
go and produced the outcomes it initially agrees upon.
Recorder.
This important person is responsible for maintaining the ―group memory.‖ This means listening carefully,
especially for key words and recording the essence of what speakers say. Comments and opinions are
recorded on flip charts or other vehicle that is large enough for the entire group to easily read.
The recorder must write rapidly and legibly without putting a personal ―spin‖ on the speaker‘s thoughts.
Reporter.
Without a person designated to be responsible for documentation of the meeting, valuable information can
be lost. If a follow-up meeting is to be held, the work done at this meeting could be invaluable for success
of the next. The reporter and recorder can be one and the same person. This places the in-meeting and
after-meeting responsibility for documentation on one person. By designating a reporter at the outset of
the meeting, that function is not considered an after-thought.
Ensure that the reporter clearly understands what his or her duties are and what product/documentation is
required. This should include when and by what medium it is to be published.
The reporter should listen for key points and be prepared to include them in documentation at the end of
the activity. While the recorder is responsible for capturing details contributed by participants, the reporter
focuses on summarizing the key points and documenting the process and outcomes of the meeting.
Role of the Facilitator
Leaders can wear many hats, and one of them may be that of facilitator. Yes, a facilitator is a leader. The
power and effectiveness of the group comes from the facilitator‘s ability to guide and motivate the group.
The facilitator is driven to stimulate group creativity and build consensus. Through these efforts and
others the group becomes committed to the actions it recommends.
In a general sense, what does the facilitator actually do? The facilitator moves the group through the
process toward whatever goal it has set for itself. It may be solving a problem or creating a plan or
developing a product, or some mission that is deemed appropriate for the group.
The facilitator guides the group through the process and helps it overcome impediments. By definition, a
facilitator ―makes things easier.‖ This usually begins by clearly defining her role and energizing the
group. She may suggest new or untried approaches to generate ideas or alternatives. The facilitator does
not dominate the group but ensures that all members stay involved and strive for a win-win resolution of
differences. This requires detailed preparation for each meeting and a variety of specific skills to address
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the many situations that can arise during a meeting. To some extent the facilitator may have to educate the
group on group dynamics and various group processes.
When and why is a facilitator needed? In a simple staff meeting in which information is shared and tasks
assigned, the supervisor or manager can ably preside. When a meeting requires creativity and maximum
participation of the group, a facilitator may be needed. Often, the manager has difficulty remaining neutral
and may even unintentionally influence the group thus impeding innovation. Managers may have
preconceived notions of what the outcome should be. This can make it difficult for the group to remain
totally open to new ideas. Sometimes when the manager attempts to facilitate a meeting, member
participation is reduced.
Use of a facilitator can have a variety of positive impacts on the group. It can promote individual
participation and avoid manipulation (actual or perceived) by the manager. The group process when
guided by a neutral facilitator produces a quality outcome that reflects the collective wisdom and
experience of all group members and is usually easier to implement.
Where do facilitators come from? They can be either internal or external. Internal facilitators can selected
from within the group itself. An organization may choose to have a person from another group assigned
for the purpose of facilitating your group project. Some organizations have individuals that are trained in
facilitation skills who go where needed throughout the organization to act as facilitators. Finally, external
facilitators can be contracted from outside consulting firms to provide facilitation expertise.
Acting as facilitator in a group of your peers is a difficult but not impossible task. It does, however,
require close attention to specific facilitation skills and a well planned and understood relationship with
the meeting manager.
Getting Organized
Every professional knows that there is no substitute for thorough preparation. This is especially true when
facilitating a group meeting. The facilitator who has done a thorough job of preparation will be more
confident and will conduct a more productive and successful meeting. Perhaps the single most important
dimension of preparation is for you and the meeting manager to openly discuss and agree upon each of
your roles. The manager must understand that as a facilitator you are bound to be neutral and to encourage
participation from all participants. Sometimes this includes taking action to restrain the manager from
flexing too much muscle and possibly intimidating other group members.
Below are ten points to consider as you prepare to facilitate a meeting. All of them should be shared and
agreed upon by the meeting manager.
Define the purpose of the meeting.
Ask yourself the following questions. What is this meeting expected to achieve? What do we need to
accomplish at this meeting? What tangible outcome will be produced? All these questions focus on the
goal or goals of the meeting. It is essential that you have a vision of what the product of this meeting will
look like. Why? Because this is the North Star for your internal compass. It is your job to keep the
meeting on track -- that is, moving toward the goal. Your focus is on the process that will produce this
outcome.
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Decide who will attend.
It is easy to say that all stakeholders should attend, but how are these determined? What is the topic of the
meeting and who will it impact? The topic should be of concern to attendees, interest them and, hopefully,
benefit them. When possible, those who are in a position to implement the actions resulting from the
meeting should participate. A person in a position to block execution of the results of the meeting should
also be included. Honest concerns and criticism from this person can be valuable input for the group.
Furthermore, this kind of involvement may cause the person to become a supporter of the group‘s efforts.
Finally, subject matter experts and people with reputations for being problem solvers and innovative
thinkers should be invited. The meeting manager can assist you to encourage participation by those you
think ought to attend.
Diagnose the situation.
Consider the task at hand and the profile of those you expect to attend the meeting. How do they fit into
the larger organization? You may want to anticipate possible slants or biases. Have they worked together
before? Are there known rivalries or alliances? How might these people impact the process?
Who from outside the group may be impacted by its outcomes? Should they be invited? If not, why not?
What will success look like? Can any downside be anticipated?
Write results-oriented meeting objectives.
Meeting objectives should be clearly stated and discussed at the outset of the meeting. Vague words and
generalities should be avoided. Once agreed upon, they should be posted in a place where they can remain
for the duration of the meeting. They can be used as needed to keep the group on track.
At the conclusion of the meeting, what will have been produced? You may want to envision a product that
can be acted upon and implemented in a meaningful way.
Finally, what process do you see producing these objectives? Review the steps or stages through which
you intend to guide the group. Is it a problem-solving process? What techniques and tools do you plan to
use as you move through the process? What outcomes should each step produce to be carried into the next
step?
Set meeting time.
Consider your purposed outcomes and the process you will use to attain them. How long will this take:
hours, days, weeks? What constraints do you foresee? Can this group meet all day, or for several hours a
day? How complex is the topic and how important is it to those who must give their time to it? You may
want to discuss this with others. Then, set the start and end times.
Set meeting location.
This item touches on both process and logistics. The time you have set for the meeting is an important
consideration. Is a neutral setting, away from interruptions needed? Will group members need access to
their desks and work areas?
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The physical conditions of the venue are also important. Is it large enough? Can furniture be rearranged?
Is there room to display proceedings, such as the group memory and other essential visual aids? How
about electricity and lighting? The logistics of travel, breaks, and meals should be addressed.
Consider pre-work.
Most people are put off by time wasted during meetings. What can be done to save time during the
meeting? Sometimes reading assignments can provide attendees with a preview of the topic. What can
attendees do prior to the meeting to make it more productive? This may be as simple as reminding them to
bring their laptop computers or other materials. Be realistic. Do not assign tasks that you know wil be
ignored.
Determine processes to be used.
As you think through the overall process for the meeting, consider which tools and techniques may be
appropriate. How can you prepare for them? Sometimes flip charts or other materials can be prepared
ahead of time. Other tools you may not have used recently may need review. Consider the following as a
partial list for consideration:
Brainstorming T Chart
Displayed Thinking Effort-Impact Matrix
Round Robin Timeline
Analogies Matrix Diagram
Repetitive Why Analysis Multi-Voting
Immersion Grid analysis
Fishbone Diagram
Choose opening and closing activities.
Getting the meeting off on the correct foot and ending on a positive note are critical to meeting success
and to implementation. What kind of a group do you anticipate, and what tone do you believe will be the
most productive and effective for that group? How formal or informal do you want to be?
Your primary concern is guiding the group through the process and producing meaningful outcomes.
What will it take to bring the group together in a spirit of cooperation and willingness to trust the process?
The way you open the meeting will set the stage for this.
The closing provides an opportunity to confirm the group consensus and develop commitment to the
outcomes. The manager may be the person responsible for execution of the group‘s recommendations;
therefore, you may want to involve the manager in the concluding activity. The bottom line is that you
want every member of the group to depart in a spirit of satisfaction and support for the work of the group.
Assign arrangement responsibilities.
The old saying, ―Never assume nothin‘,‖ is applicable here. Just as the opening activity is important, so is
it critical to ensure that all the details of the meeting are attended to and every preparation is made. These
things get done when they are assigned to a responsible individual and double checked prior to the
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meeting. This includes a visit to the meeting location by both the facilitator and the meeting manager. Ask
these questions of yourself.
Who will notify participants?

Who will distribute the agenda and pre-work?
Who will make arrangements for the meeting facility, refreshments and other logistics?
What supplies, and electronic or audio-visual equipment are needed.
Who will arrange for them?
Meeting Plan Basics

As you can see, there is much more to facilitating a meeting than simply showing up. A facilitator must be
able to do many things, and among the most important is getting organized and planning for the meeting.
A good plan is an important increment to success. Here are some of the things you may want to consider
as you visualize your successful meeting.
Objectives. These are not to be confused with the purpose of the meeting. Objectives are outcomes that
are expected to be produced during the meeting. They are the tangible fruits of the meeting. An objective
might be increased knowledge as measured by a pre-test and a post-test. Another example could be a
series of delegated actions and responsibilities to be accomplished by specific dates.
Roles. The primary roles of meeting manager, facilitator, recorder and possibly reporter should be
designated prior to the meeting. Additionally, the facilitator should ensure that each person understands
and is comfortable with the responsibilities of his or her role. When these key individuals have not
worked together previously, they should meet to share perceptions and to develop a common
understanding of how the meeting is expected to unfold.
Activities. Certain activities or structured events can be useful during meetings to achieve planned
outcomes. Brainstorming, for example, may be used to generate ideas. Whatever these activities, the
facilitator should review them to ensure familiarity and anticipate any unusual requirements. It is essential
that the time allotted for each planned activity be calculated and incorporated into the overall time
allocated for the meeting. Finally, as appropriate, an individual participant may be designated to lead any
given activity.
Handouts. Along with pre-work, handouts can be very helpful. People learn using three modes (vision,
hearing and touch). Handouts can help to address the last mode. They can also provide take-away
knowledge that may help articipants retain information from the meeting. Handouts deserve detailed
attention prior to the meeting. They should be well designed and well written. The use of color is
recommended.
Materials and supplies. As a participant, how would you feel if a meeting at which you are in attendance
is delayed because essential supplies are not present? Not only is time wasted, but the professional ability
of the meeting organizer may be called into question. List all materials and supplies prior to the meeting
and ensure they are physically present well before the meeting is scheduled to begin. What materials?
Possibly flip charts, easels, markers, forms and booklets, and even the appropriate number of handouts.
Audio-visuals and equipment. These are listed separately from materials and supplies because they must
be tested to ensure they are in proper working order. Sometimes backup equipment is provided to ensure
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smooth sailing. There have been situations in which audio-visual equipment worked in one location the
day before the meeting, but did not work at the meeting sight. Good planning can preclude these
problems.
Set up. A facilitator may envision a room with a circle of chairs that is perfect for facilitating the meeting
and conducting the planned activities. However, on the morning of the meeting, to the facilitator‘s
surprise, the room is much smaller and at its center sits a gigantic conference table. Ooops! Never assume
that the room and the set up will be what you expect. Always inspect it several days before the meeting. It
may be necessary to reschedule the location. If the meeting room is not accessible or is in another city,
call on the telephone and get someone to inspect the room and describe it to you in detail. It could save
you time and embarrassment.
Opening the Meeting

You have thoroughly planned every aspect of the meeting. You, as facilitator, and the meeting manager
have discussed it in detail and you are both comfortable with your roles. The meeting should start on time.
On this, you and the manager must agree. Waiting for later-comers is an insult to those professional
enough to arrive on time. If you wait for those who are late or stop the meeting to bring them up to speed,
you are encouraging their tardiness.
Below is an outline of items involved in opening a meeting.
 Welcome and Introductions

 Warm-up
 Purpose and Objectives
 Ground Rules
 Roles
 Administrative Items
 Agenda
Welcome, Introductions and Warm-up
Usually the meeting manager kicks off the meeting. This function may also be accomplished by a higher
ranking individual with enough prestige to emphasize the importance of the group‘s objectives. Someone
must convey to the group and to the individuals in it that they have been chosen for their maturity and
experience. You must ensure that they recognize the trust and confidence that you and the organization
have in them.
Have it prearranged with the meeting manager that you will ease into your role as facilitator in a smooth
manner. In many ways, you are the dynamo that moves the meeting along. It is essential that you begin in
a highly positive and enthusiastic manner. That does not mean being a ―phony‖ with a fake smile
plastered on your face. You should demonstrate a sincere desire to make this meeting an effective and
productive one.
This can be done by quickly introducing yourself and moving directly into some type of warm-up activity.
Your first order of business is to begin the process of bonding the members into a unit gathered together
for a mutually agreed upon purpose. You may want to go around the room encouraging each person to
introduce him or her self and share ideas, concerns or preconceptions about the purpose of the meeting.
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This can end with a short ―ice breaker‖ if time permits. There are many excellent ice breakers to be found
on the internet.
Purpose and Objectives
You have already developed these with the meeting manager. At this point, you want to present them to
the group and get the group‘s acceptance of them. This group or team has been called together to perform
a function that is important for the organization. Its purpose and objectives should emphasize the
contribution they will make to the organization. Clarify wording to the group.
Ground Rules
At the beginning of any group endeavor, it is important to establish and gain agreement from the group to
behaviors that are acceptable as it conducts its business. As facilitator, you guide the group to accept
ownership of the ground rules. Explain that such rules for group conduct have been shown to increase
group effectiveness and timely accomplishment of group objectives. You may begin with some
suggestions and then encourage the group to add to them. Finalize by asking if all members of the group
can accept and abide by these rules.
Ground rules can vary depending on the type group and its purpose. If it is a training group in which
personal growth and team-building are the purpose, the behaviors will reflect that atmosphere. The phrase
HEROS is often used as a memory aid for ground rules used in such a training group.
 Here and Now. No ―who shot John‖ or recriminations from the past. No history.
 Experiment with new behavior. Since growth is the objective, try some new things.
 Responsible for self. Focus on your own behavior. Do not judge others.
 Openness. This is a safe place. Let your guard down. Be open to growth.
 Sensitive to others and self. Listen. Share honestly and with compassion.
Other groups will focus on problem-solving or project development. They usually need a different set of
ground rules. They may vary, but will often look something like this:
 All members will participate fully.

 Members will observe a collective responsibility for achieving group objectives.
 Confidentiality will be maintained. Opinions expressed will remain within the group.
 Opinions of others are to be respected.
 Timely attendance is a must.
 Members will strive to achieve group deadlines.
 Only one person will talk at a time.
 Trust the process.
Much can be said of each of these. The facilitator will guide the group to consensus on a list that looks
something like this one. Ground rules are used to make the group process work. Any member is free to
point out a violation of the ground rules.
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Roles
The roles identified above are considered standard for most groups. The group should be made aware of
these roles and how they are intended to function during the group process. This can be accomplished in
several ways. Roles may be published in a handout or on a separate flip chart and posted on the wall. As
members of various groups become more familiar with the group process, less time will be needed for
this.
Administrative Items
Take a few moments to clarify the break and lunch protocol as appropriate. Other logistics can also be
clarified here. If group members are expected to make presentations, those preparations may be briefly
mentioned.
Agenda
It is considered a good practice for an agenda to be published well in advance of the meeting. This helps
all in their preparation. It is helpful to post the agenda on the wall in a conspicuous place so group
members can monitor the progress of the meeting.
Some facilitators use the NEAT formula which incorporates the agenda and other important meeting
information. It also presents an excellent opportunity for the facilitator to introduce the concept of
expectations and encourage group participation.
 Nature of the Meeting: State and post the type of meeting this is: Information, decision-making,
training, project development (work meeting), etc.
 Expectations: Although you may choose to present one or two of your own expectations to get the
process moving, this time is for the group members to share their outlooks or hopes for how the
meeting will unfold or how the group may interact.
 Agenda: The pre-published agenda will be inserted here.
 Time: The completion time is noted. If the meeting is to be over several days, the daily schedule
will be posted here.
The actions outlined above should give you a model for opening a meeting and beginning the group
process. During this phase of the meeting the facilitator establishes and clarifies his or her role and gains
confidence of the group members.
Conducting the Meeting

All that has gone before may be considered setting the stage for the main event. This part of the process
can take one session of an hour or so, or it can be composed of several sessions of problem-solving,
planning or some other task worthy of group involvement. If several sessions are anticipated, a modified
and truncated version of the opening process should be executed for each session. Keep the FIRO group
development process in mind. Whenever the group comes back together it may find itself in the
―inclusion‖ stage and need to work through it. This may include returning to meet after several days or
possibly even after a long break.
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You have now arrived at the heart of the meeting. As facilitator, your focus is that of guiding the group
toward achieving its objectives. Prior to the meeting you have studied the process and you have selected
the appropriate activities and steps within the process. With that in mind, your most important asset is
your flexibility. You must be prepared to modify your plan according to the attitude and responses of the
group while keeping the objectives in mind.
Do not attempt to rush the group or to force a point. Give the group time to discuss and ponder its ideas
and the process. Consider what it is attempting to achieve and then facilitate a process tool or activity to
help it arrive at its destination. Your responsibility is not the destination, but to the journey. This implies
that the experienced facilitator should have a variety of tools and techniques in his or her tool kit. This
will permit you to have at your disposal a variety of activities. Some of these are discussed below. Many
more are available both online and from process consultation and group dynamics sources.
Learning Styles
There is a close and important correlation between the way people learn and the effectiveness of a group.
Since people learn in a variety of ways, if one of these ways is ignored by a facilitator, the contributions
of some group members may be missed or excluded. How do people learn? What impact does this have
on the facilitator? If a facilitator can determine the learning style or an individual, it may be possible to
encourage that person‘s participation or to enhance that person‘s contribution to the group objective.
It is generally accepted that people learn in three modes or styles: Visual, Auditory, and Tactile
(Kinesthetic). We all have a primary learning mode, as well as a secondary and possibly a third. More
than half of the American population has ―visual‖ as either their primary or secondary preference for
learning. What does this mean? The visual aspects of facilitation are vitally important. This, however,
does not mean that the other styles are to be ignored.
 Visual. People with a visual learning style usually learn best by seeing or reading. These people
will respond best to things they can observe, such as flip charts, graphs, charts and pictures. Since
this style is preferred by so many people, facilitators want to ensure that lots of visual aids are
used. According to a 3M Visual Systems Division study, ―Presentations using visual aids are 43%
more effective than unaided presentations.‖
 Auditory. These people will tend to learn best by listening or speaking. You may have heard the
term ―thinking out loud.‖ This is often true of auditory people. This learning style usually involves
oral communications, but can include any kind of sound or noise.
 Tactile (Kinesthetic). Those with a tactile learning style learn best by doing or touching. They like
to physically experience things. This can present quite a challenge for facilitators. It may be
somewhat difficult to incorporate practical, hands-on experiences in the group process. However,
it is important to remember that there may be visual and auditory aspects of experiential learning
as well. This can be important to the entire group.
Instruments are available to determine the learning styles of individuals. In situations where the group is
expected to work together closely, over an extended period, a facilitator may arrange with the meeting
manager to administer such a tool. The knowledge derived can be helpful to the individual members as
well as to the facilitator.
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Group Processes (Tools and Techniques)
There is a wide variety of tools and techniques the facilitator can use to move the process along. Some can
be used for multiple purposes while others may by more narrow in application. Much of this depends on
the skill and flexibility of the facilitator. Many of these tools are used to gather and analyze information.
Others are specific ―group processes.‖ Below is a partial list.
Action Plan. This tool is used to implement a solution. Planning is a complicated and important function;
however, the Action Plan is merely an outline that itemizes tasks and outcomes, the responsible person,
due date, and may include a place for important remarks or notes as to status.
Action Plan
Prepared By _________________________ Date _________________
Project/Task Name ____________________ Responsible Manager ________________
Task Due Date Responsible Person Date Remarks

Assigned
Fig. 24
Brainstorming. A technique used in groups to generate, clarify and evaluate lists. This can include a list of
problems that a group may consider solving, or ideas for solutions, or any extensive listing. The idea is to
generate a large quantity of information in a short period of time without evaluation. It gets the group
thinking in a non-evaluative frame of reference and promotes creativity; however, it is completely
subjective. It may be necessary at a later time to substantiate certain items with factual information.
Brainstorming generally has three phases. 1) Generating a list, 2) Clarifying the list to ensure all
participants understand all the items, and 3) Evaluating the list to eliminate duplication and possibly
grouping like items. The facilitator guides and motivates the group to share and participate. Successful
brainstorming relies on the ability of the facilitator to set out the rules and ensure they are understood and
followed.
Guidance for the facilitator.
 The question or topic to be brainstormed is clearly posted

 Allow no criticism
 Record every idea mentioned without evaluation
 Record statements verbatim
 Work quickly
 Keep the activity to 5 or 10 minutes
 Post and explain the rules for brainstorming
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Rules
 No criticism
 Ask questions for clarification only
 Everyone participate
 Work quickly
 Piggy-back
 Think creatively
Checksheet
A checksheet is simply a format for collecting data. It can take a variety of shapes, but the bottom line is
that it is used to record raw data to be aggregated later. The facilitator may suggest this format when
members of the group are tasked to collect raw data.
Cheeksheet
Prepared By _________________________ Date _________________
Project/Task Name ____________________ Responsible Manager ________________
The question or issue __________________________________________________________
Question/Issue Frequency/Occurrences Totals

(Use tick marks here. Total to the right.)
Fig. 27
Decision Matrix
This tool may be used whenever it is necessary to evaluate several options or alternatives using a concise
set of criteria. The criteria established should be agreed upon by the group. When properly used, this tool
can produce a logical conclusion. The sample Decision Matrix below indicates that Alternative B meets
more of the criteria than any other. Often, however, all criteria do not have the same impact, and
therefore, it may be helpful to weight each criterion based on its importance to the decision.
SUCCESS CRITERIA
ALTERNATIVES
1 2 3 4 5 6
A X X X X
B X X X X X
C X X X
D X X X
Fig. 28
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Displayed Thinking
"Displayed Thinking" is a concept created by Mike Vance, former Director of Ideas and People
Development for the Disney Corporation. Displayed Thinking describes a visual group process that has
proven people work more effectively in groups or teams when they can see the ideas they generate. It is a
process of collaboration whereby work products, brainstorming lists, or other materials are displayed in a
common area where all team members can comment, modify, or correct various portions of the product.
Storyboards are an excellent use of Displayed Thinking. Since such a large portion of our society has
―visual‖ as a primary or secondary preferred learning mode, it has a high impact on group functions. It
provides a facilitator with yet another technique to enhance group effectiveness.
Effort-Impact Matrix
This Effort-Impact Matrix allows a group to evaluate and quantify the results of a brainstorming session.
It can also be used for other purposes depending on the ingenuity of the facilitator. It provides a method
for categorizing ideas, problems, or situations based on two criteria. They are effort and impact. Effort
usually relates to time, money, training or other resources. Impact relates to the overall effectiveness and
complexity of the ideas or issues being categorized. It is critically important for the group to have a
clearly understood concept of these as they relate to the specific ideas or situations being evaluated.
All ideas being evaluated are placed into one of four quadrants as follows: High Effort/ Low Impact, High
Effort/High Impact, Low Effort/Low Impact, Low Effort/ High Impact. This can provide an excellent
springboard for discussion and understanding of a problem or situation.
Fishbone Diagram/Cause and Effect Analysis
As a group analyzes a particular problem or situation, this tool can be used to help visualize the
relationships between ―causes‖ and ―effects.‖ The problem or the effect is stated to the right side of the
model. Causes are listed to the left. Sometimes major categories are identified and analyzed to help the
group with their thinking. These may include people, time, materials, and money. Categories are selected
based on the specific problem to be analyzed.
Dr. Kaoru Ishikawa, a Japanese quality control statistician, invented the fishbone diagram. Below are the
steps he outlined in creating one.
 Draw the fishbone diagram....

 List the problem/issue to be studied in the "head of the fish".
 Label each ""bone" of the "fish". The major categories typically utilized are:
 The 4 M‘s:
o Methods, Machines, Materials, Manpower
 The 4 P‘s:
o Place, Procedure, People, Policies
 The 4 S‘s:
o Surroundings, Suppliers, Systems, Skills
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Note: You may use one of the four categories suggested, combine them in any fashion or make up your
own. The categories are to help you organize your ideas.
 Use an idea-generating technique (e.g., brainstorming) to identify the factors within each category that
may be affecting the problem/issue and/or effect being studied. The team should ask... "What are the
―machine issues‖ affecting/causing..."
 Repeat this procedure with each factor under the category to produce sub-factors. Continue asking,
"Why is this happening?" and put additional segments under each factor and subsequently under each
sub-factor.
 Continue until you no longer get useful information as you ask, "Why is that happening?"
 Analyze the results of the fishbone after team members agree that an adequate amount of detail has
been provided under each major category. Do this by looking for those items that appear in more than
one category. These become the 'most likely causes".
 For those items identified as the "most likely causes", the team should reach consensus on listing
those items in priority order with the first item being the ―most probable" cause.
Flow Chart
A flowchart is a pictorial representation of the steps in a process. It can be used by groups to understand a
process under examination. Computer software is available to assist in this effort. Some projects lend
themselves to putting the entire flowchart on a large wall and including actual documents and charts that
are part of the process. Usually, specific shapes are used consistently for standard actions. These include
rectangles for events or actions and diamond shapes for decisions.
Process Flow Chart- Finding the best way home
This is a simple case of processes and decisions in finding the best route home at the end of the
working day. It has been copied from the following website.
http://deming.eng.clemson.edu/pub/tutorials/qctools/flowm.htm
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fig 29
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Grid Analysis
This is another name for Decision Matrix and has the same uses. It might also be called a Pugh Matrix
analysis or MAUT which stands for Multi-Attribute Utility Theory. It is a useful technique to aid the
decision–making process.
Graphs
Graphs include Bar Charts, Line Graphs, Pie Charts, Histograms and several other graphic representations
used to analyze and communicate data. These are often used to facilitate group discussion and in the
development of alternatives and when evaluating them.
Histograms are a special kind of bar chart and are used to represent relative proportions of data points.
Measures of central tendency (Mean, Mode and Median) are often described using histograms.
Interviewing
This is an important source of information for groups. Interviewing is a method of gathering information.
In order for that information to be used and processed by the group, it is important for the interview
outcomes to be clearly in mind. Structured interviews can be easier to analyze. The difficult part is to
bring the information derived from the interviews back to the group in a method the group can use to
further its objective.
Multi-voting
Multi-voting is a technique used within a group to reduce and prioritize a large amount of data into a more
manageable number of items. Consensus is usually used in groups to make final decisions. This technique
is used in earlier stages of a process to manage large amounts of data. Occasionally, brainstorming will
produce more data than the group can comfortably deal with. Multi-voting may be used to reduce the list
to just a few items.
The procedure is simple. If the list is long (say 20 to 30 items), award each member of a typical group (8
persons) five or so votes. Inform them that they may ―vote‖ on which items to retain by casting their votes
for one or more of the total items. They may give all five votes to one item or one or more to several
items. Those items with the largest number of votes are retained on the reduced list. The same kind of
thing can be done to prioritize a list. The results are simply displayed in rank order by the number of votes
for each item.
This tool can be very helpful to a facilitator attempting to help a group pare down a large list. The
facilitator should remember that this is not a decision-making technique. If the group agrees that the
results are not acceptable (perhaps one important item was not selected), then they should discuss how to
proceed.
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Nominal Group Techniques
NGT is often used as an alternative to Brainstorming. It can help a group move toward consensus, and is a
group decision-making process used when prioritization and ranking are needed. In normal Brainstorming
the more aggressive participants are more influential. When NGT is used, voting is anonymous, and there
are opportunities for equal participation even from less aggressive group members. It is more structured
than Brainstorming and can be less creative and can reduce cross-fertilization. The facilitator evaluates
the situation within the group and determines if there is an advantage to using this technique.
The steps in the GNT process are as follows.
 Clearly state or write down the question.

 Ask participants to write down their ideas without discussion.
 Record all ideas in round-robin fashion without discussion.
 The facilitator leads a group discussion of ideas posted, but only for clarification.
 Establish a voting system. It may be as simple as one vote per person or a weighted scheme where
each participant gets a number of votes to use however he or she chooses.
 Results can be discussed if necessary.
 The facilitator guides the group to consensus.
Be careful that the process does not become so mechanical that it impedes creativity and group synergy.
Pareto Diagram
The Pareto Diagram was conceived by a 19th century Italian sociologist and economist named Vilfredo
Pareto. It is used to display data according to relative values. It identifies the most important problems,
causes or conditions in a given situation. When a group gathers the data and constructs the Pareto
Diagram it is laying the groundwork for an open discussion based on factual information. It identifies the
vital few and separates them from the trivial many.
The finished diagram is similar to a bar chart; however, the bars are arranged in decreasing order from left
to right. This can be helpful for the facilitator that desires to keep the group focused on factual
information rather than emotional content.
There are numerous books and articles on Pareto Diagrams.
Repetitive Why?
Use of the ―Repetitive Why?‖ technique is often combined with the Fishbone or Cause Effect Diagram. It
is used to discover the root cause of a specific problem or situation. The facilitator delves into the
situation by asking ―why?‖ The first ―why‖ usually identifies the obvious cause or causes. The next
―why‖ asks the group to dig deeper, and so forth. This can be a highly effective approach, but the
facilitator should be careful not to appear flippant or trite to the group.
 The meeting was poorly attended. Why?

 Most of the people scheduled to attend were not informed. Why?
 The meeting was announced using only one medium -- a hardcopy memo. Why?
 The one who called the meeting did not have everyone‘s e-mail address or phone number. Why?
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 Company policy makes it difficult to find this information.
 Result: What is the company policy and should it be changed?
T-Chart
These are used for comparing and contrasting similarities and differences. It is a handy tool for a
facilitator to have ready to use. It can compare various aspects of the group‘s interest: problems, causes,
or potential solutions. It might also be used to identify and compare the pro‘s and con‘s of an issue.
Individual characteristics of each can be recorded and discussed.
A T-Chart might look like this.
T-CHART
Possible Solution
+ Item - Item
+ Item - Item
+ Item - Item
+ Item - Item
Fig 30
Closing the Meeting

A team may be assembled for one meeting with a simple, direct purpose or for a series of meetings to
address a more complicated problem or situation. Either way, every meeting should be drawn to a close in
a manner that will encourage and motivate participants. The facilitator and the meeting manager should
agree as to their respective responsibilities for drawing the meeting to a close.
Ending the meeting on time is important. At the outset of the meeting you and the meeting manager have
contracted with the group for the meeting to take a specified amount of time and be concluded at the time
agreed upon. If, for some reason, it is determined that more time is needed, the facilitator should negotiate
this change with the group and consider more than one option. Can all members accept an extension?
Would it be best to have another meeting to continue to fulfill the purpose of this meeting?
Every meeting should conclude with a summary, evaluation, documentation and scheduling of the next
meeting if appropriate.
Summary
The summary should relate back to the original purpose and objectives of the meeting. The facilitator
should clearly outline what has been accomplished and what actions have been assigned. The outline of
an Action Plan delineating responsibilities, and dates for completion can ensure that no one leaves
without being aware what is expected of him or her.
As part of the summary, either the facilitator or the manager should be sure to acknowledge those who
have made special contributions to the success of the meeting. Acknowledgements and thanks should also
be given to all participants, ensuring that their enthusiasm and active participation are appreciated.
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This is the place where the group can confirm its consensus and agree to its commitment to its outcomes.
The manager may be responsible for implementation and should take this opportunity to lay the
groundwork for action. Each member should leave with a sense of satisfaction and a commitment to the
outcomes and future actions.
Evaluation
This pertains to an evaluation of the meeting process. How did it go? What was done well and what was
done not so well? What could make the next meeting better? Group members want to know that their
input on this matter is sincerely appreciated and that it will be seriously considered.
 Ask participants to sum up the meeting in a few words.

 Return to initial expectations. Were they met?
 If time permits, have small groups meet and report back as to what worked and what did not.
This part of the meeting is usually most effective if comments are recorded on a flip chart and
documented.
Format for Evaluation
What, Gut, So What, Now What?
What (Facts)
What did we do?
What did you observe?
What is noteworthy about what we did?
Gut (Feelings)
Was there a high pint for you? Low point?
Where were you engaged? Disengaged?
What excited you? Disappointed you?
So What (Meaning)
What did you learn?
How does this meeting fit into your bigger plans?
What benefits did we gain today?
Now What (Action)
How will you do things differently as a result of this meeting?
What are our next steps?
How might you support one another as we move forward?
Documentation
Often, valuable information developed during a meeting is lost because no provision has been made to
document it. This is usually the role of the designated Reporter. If a follow-up meeting is to be held, the
work done at this meeting could be invaluable for success of the next. Ensure that the manager directs a
responsible individual to consolidate information that has been recorded on flip charts. Once it has been
reduced to a file, it can be printed and provided to all participants. This should include the meeting
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evaluation and the date and time of the next meeting if appropriate. Documentation should be distributed
as soon as possible after the meeting.
The Next Meeting
Pave the way for on time arrival and good attendance at the next meeting. Build a consensus that another
meeting is needed and that all agree to attend. The manager should drive this point home before the
meeting is dismissed.
Facilitator Skills
Focus
A meeting without focus will usually be unproductive. It is the facilitator‘s job to maintain that focus.
This is done be keeping the purpose, objectives and agenda in mind. Do not hesitate to return to the
purpose of the meeting to re-focus the group.
Review the purpose and objectives when necessary. As needed, point to the ground rules and ensure they
are not being violated.
On Track
Good preparation is essential to keeping the meeting on track. Select process activities and interventions
that you believe will move the meeting toward its prescribed goals. The participants have chosen their
desired outcomes. The facilitator is there to gently guide them and keep them on track. This means using
the most subtle interventions first, and elevating the level of disruption only when necessary to help the
group move toward its originally stated outcomes.
Here are some suggested methods a facilitator may use to keep a meeting on track.
 Pay close attention to the process. Do not become a slave to content.

 Keep on schedule. Be flexible.
 Keep sidebar discussions to a minimum.
 Do not let one person take the group on a rabbit hunt.
 Be alert to interpersonal friction and personal attacks.
 Use breaks as needed to get a fresh start.
 Keep breaks short and encourage returning on time.
Tips for Facilitators
Prepare, prepare, prepare.

Don‘t take yourself too seriously. Be ready to laugh.
Always remain neutral, objective and fair. These attributes are absolutely essential for a facilitator!
Learn to build consensus. ―Can you live with this?‖
When questioning, use open ended questions to promote discussion, creativity and participation.
Close ended questions may be used to gain clarity.
Stay away from generalizations, such as: always, never, everybody, they and others.
Remember the verbal techniques in your tool kit.
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Acknowledge
Check for understanding
Paraphrase, summarize
React positively
Look for the best
Question -- even challenge
Show connections
Help others develop an idea
Remain aware of non-verbal communications
Tone, Inflection, Pace
Eye contact
Facial expressions
Silence
Keep your recorder busy. Promote recording in color and with creativity.
Promote participant involvement. Everyone has something to contribute.
Stop ―air-time hogs.‖ Learn techniques to do this effectively. The group will love you for it.
Smile, look people in the eyes and use their names.
Do not be afraid of silence. It is OK to wait.
Be sensitive to the mood of the group.
―How are we doing?‖
―Is this pace OK?‖
―Do we need a break?‖
Handling Difficult Situations

Reinforce positive behavior
Do not take positive behavior for granted. Say, ―Thank you for sharing that.‖ Or, ―That was a helpful
observation.‖ Read the book ―Whale Done‖ by Ken Blanchard and others. It focuses on the power of
positive relationships. It has been said many times that praise has a greater impact than punishment. It is
so true and so powerful that it has become a cliché, but it works.
Practice prevention
This is one of the most difficult techniques for a facilitator to master. It requires seeing into the future --
that is, anticipating when things can go wrong. It requires that you be highly sensitive to interpersonal
friction or possibly hidden agendas.
Use extinction strategy
No one likes to be ignored. That is why ignoring unpleasant or unproductive behavior is sometimes an
effective way to discourage it. Some people are disruptive because they seek attention. Depriving them of
that attention may extinguish the spark that could become a fire if addressed head-on. With experience,
the facilitator can learn which behaviors and which people are best handled this way.
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Appreciate differences
Creativity often comes from unlikely places and people. Conformity can make the facilitator‘s job easier,
but it can stifle creativity as well. Be careful not to peremptorily ―shut down‖ a person who is
demonstrating individualism. Celebrate that this person can give new ideas and possibly solutions to old
problems.
Use process observation
This is the mark of the truly effective facilitator. Most participants come with adequate or better content
knowledge. It is part of what they do. As facilitator, you are the process expert. This means you guide the
process, but it also has another important aspect. It means you observe not just what they are saying, but
how they say it and how they interact. Does Juan usually speak immediately after Louise? Does Hiram
often roll his eyes when Gloria is speaking? Does Mary choose to make a cell phone call whenever Alicia
gives a presentation? Sometimes, what is not said is more important than what is. These are process
observations that can help you understand the dynamics of the group.
Even during breaks, there can be interactions and behaviors that tell you something about the group or
about individuals or sub-groups. As a facilitator, you may want to remind yourself that very few things
happen ―by accident.‖
Share responsibility for success
The meeting does not belong to you. It is the group‘s meeting and any success is not yours but belongs to
the group. You do not have to wait until the end of the meeting to point to success. A successful meeting
is composed of a series of successes. Give the group credit for every success, even the small ones. ―Now
we are moving along! Great job, group. Give yourselves a hand.‖ Sound trite? It can re-energize the group
and prepare them for the next step.
Model the way
As a facilitator, all eyes are on you. It is not your meeting, but you are the process guide and others are
watching you closely. You set the example in many ways. Some of them are subtle. Your posture,
demeanor, facial expressions, and even the way you interact with the recorder set the stage for teamwork
and positive group dynamics.
Patience and flexibility are the hallmarks of the effective facilitator. Never interrupt. Never be negative.
Always look for the win-win and you will be a good model for the group.
Summary and Conclusions

Becoming an effective facilitator is not easy. It is more than an intellectual exercise. It requires
preparation, practice and experience. Most meetings revolve around content. As the facilitator, you are
there to guide the meeting and ensure that the process moves along in a productive manner.
Possibly, the most important skill you will need to develop is that of becoming a good listener. This
requires concentration and withholding judgment. You are listening in two dimensions. 1) What is being
said? This is content related and you have to understand the flow of information to determine if the group
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is moving toward its goals. 2) The other dimension is how things are being said and how the participants
interact. This is a process orientation and it is what makes you different from most other participants.
Patience is essential. Don‘t interrupt. Seek understanding and try to help the group share information
effectively. Encourage participation from all.
During the conduct of meetings and immediately after, the good facilitator will evaluate his or her
performance. Did I talk too much? Did I use enough open ended questions to get group members to share
and express themselves? Did I avoid interrupting and still manage to seek clarification when it was
needed? Finally, was I a good process observer? These and other similar questions can help you develop
your skills to move the group along to achieve their goals and the purpose of the meeting.
Much of your success relates to how well you can guide the group around the common pitfalls of
cynicism. There is a tendency among some groups to throw up road blocks to success. Your knowledge of
group dynamics, your positive attitude and your faith in the process can help you overcome the myths that
often exist in organizational settings. Such myths as:
 It won‘t work here. This organization is different. The problems and details of the situation are so
unique that the problem can not be solved. Many of the things we take for granted today were
considered unsolvable problems just a short while ago. Putting a man on the moon and
successfully bringing him back to earth, for one. Synergy and the power of a creative group
process can work miracles. As facilitator, you encourage the group to see these possibilities.
 I don‘t have time. An old saying seems appropriate here. ―There is never time to plan, but there is
always time to do it over.‖ Time management is at the heart of effective leadership. It is usually a
matter of choosing the right things and prioritizing them. Once the group decides to address an
issue, it will ―make the time‖ to get it done.
 I can, but the rest of my office won‘t. The same logic that makes this approach sensible and
workable to you (and participants) can convince others as well. It is a matter of belief and
commitment. The facilitator has the challenge of helping the group see this potential.
 It‘s the flavor of the month. This is often the result of an organizational culture that is immobilized
by the status quo. So many fads and ―programs‖ have come and gone. The difference needs to be
that a group should not attempt to solve symptoms, but to get to the root causes of situations and
seek a systemic solution that will achieve a meaningful change that will last.
This paper has described how facilitative leadership can help drive team and meeting success. Becoming
an effective facilitator has rewards that transfer to many leadership and management situations. Many of
the skills associated with being a successful facilitator apply to leadership responsibilities. It all begins
with understanding the mission and purpose of the organization and how this particular group process or
meeting can support that purpose. Getting organized for a meeting has many of the same elements as
organizing for any management challenge.
Think ―process.‖ As a facilitator, you are a process guide. As you cooperate and coordinate with the
meeting manager, you are focused on taking the manager and the group where they want to go.
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2.12 Supporting Change
The pace of change in our world today is so great that coping with it has become a major aspect of
success in business and government. Travel that once took weeks turned to days, which have since
become hours. Data that once occupied an entire building now can be recorded on a device smaller than a
tube of lipstick. Wars once took years and now take days. Tom Peters, leadership consultant and lecturer
states, ―Today‘s successful business leaders will be those who are most flexible of mind. An ability to
embrace new ideas, routinely challenge old ones and live with paradox will be the effective leader‘s
premier trait.‖ 1
Change will occur. It is not a question of ―if‖ but of ―when.‖ Charles Darwin once noted, ―It is not the
strongest species that survive, nor the most intelligent, but the ones who are most responsive to change.‖
You, therefore, as a supervisor, have only two alternatives: Let change catch you by surprise and
unprepared, or anticipate change, embrace it, and plan for it. The first will undoubtedly end your career as
a leader. The second may assure your success.
Almost every aspect of what you do is affected by change. It impacts individuals, teams, and entire
organizations. It may emanate from a new government policy, new technology, or a new business process.
New personnel can equal change. So can a new location, a new procedure, or a reorganization. Along
with change invariably comes a transition from one way of doing things or of behaving to another. This
transition may at first cause resistance and even resentment. Change Management is an effort to guide
change in a way that will be positive and successful for both individuals and for the organization.
Much has been written and studied about the topic of change. Kurt Lewin developed an early model to
help us understand change. It describes three phases of change identified as unfreezing, changing and
refreezing. Elizabeth Kubler-Ross, in her book, On Death and Dying, presents another way to look at the
transition associated with change. Richard Beckhard, John Kotter and others have also contributed to our
understanding of this important aspect of leadership.
In this chapter, we discuss change as a function of leadership. It will include understanding the process of
change itself, as well as why it often meets resistance. Finally, you will gain insight into how you can
prepare yourself to be a positive influence for individual and organizational change. We shall incorporate
information provided by the above mentioned experts on the subject.
First, let‘s listen to another discussion between Marsha, our supervisor, and Jim her mentor.
Marsha: Well, Jim, I have good news and bad news.
Jim: Why do I suspect that the good news will take less time to discuss than the bad?
Marsha: Isn‘t that the truth. Okay, here‘s the good news. My boss, Ms. Phillips, approved my idea for
reorganizing the Customer Service Department. And (with a big smile) she put me in charge of the
project.
Jim: That‘s wonderful. You must have dazzled her with the idea of improved service and happier
customers. (After a short pause) Do you want to tell me the bad news?
Marsha: It‘s the second verse to the same tune. So far, all I have gotten from the teams involved,
including the supervisors, is a song and dance about why it can‘t be done. ―It won‘t work. It isn‘t in the
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budget. It will require too much training. We are doing alright without it.‖ I thought people would be
eager to improve customer service.
Jim: I‘m sure they are, but take a minute to think about it. If someone came to you and announced that
they were going to re-organize your team and your department, how would you feel?
Marsha: Well, if I knew it was for the best, I‘d go along with it.
Jim: How would you know it was for the best? What would your very first reaction be?
Marsha: I suppose I‘d be a little defensive.
Jim: Marsha, most of the people you are talking about are just like you. They do a good job (He raised his
voice.) And they like things just the way they are. It‘s human nature. They weren‘t part of the assessment
or the decision. I doubt they were given all the statistics and analysis you used to convince Gloria Phillips
of the idea.
What do you know about managing change?
Marsha: I read something about it. ―Change is like death and taxes. It is inevitable.‖
Jim: That‘s right, and as a supervisor you deal with change every day. Now, you need to take a good look
at the change process and know what to expect when you initiate any kind of change. Some changes are
so small they go relatively unchallenged, but some, like this one, are big enough to make people a little
resistant.
Marsha: I understand resistant, but these people just outright refuse. They say it can‘t be done, and I
know it can!
Jim: That‘s the first step in the process. It‘s called ―denial,‖ and it won‘t last forever. What you need to
do is understand the process and prepare for how to deal with it. If you had planned ahead, you might
have recognized the need to involve some of those people in your study. That would have gained you some
supporters. Now, you have to go out and sell your concept -- even though it has already been approved.
Marsha: Why can‘t they just do what they‘re told?
Jim: That‘s definitely one approach to executing change. It is usually not the most productive. You don‘t
want to drag people into this new organization kicking and screaming. You want them to want to go. And
you can only do that by helping them understand the value of the change. But first, you need to learn
about the change process and how to minimize the negative impact of the transition to a new situation.
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Management, Leadership and Change
Early in Part I of this manual, the difference between management and leadership was discussed.
Leaders are the innovators and the visionaries who align, inspire and guide. Managers are
the operatives who organize, budget and monitor. They are the implementers, who are,
generally speaking, more predictable than leaders. Both are important. Both are needed.
And, often, you will act in both capacities.
LEADERSHIP MANAGEMENT
1. Aligns People 1. Plans and Budgets

2. Inspires – Motivates 2. Organizes and Staffs
3. Guides – Sets direction 3. Controls and Solves Problems
Change Oriented Resource Oriented
Fig31
You, in your role as a leader, are to be ―change oriented.‖ You look to the future and imagine what it
should be like. You and others like you have a vision and share that vision with your team. In the dialog
above, Marsha knew these things, but she had not considered her role as a leader in a ―change
environment.‖ This is not to exclude or minimize the need for good management in executing meaningful
and results-oriented change. John Kotter notes that ―All highly successful transformational efforts
combine good leadership with good management.‖ ** He goes on to state that ―management produces a
degree of predictability and order, and that management has the potential to consistently produce short-
term results expected by various stakeholders. Leadership produces change, often to a dramatic degree,
and has the potential to produce extremely useful change for stakeholders.‖ 2
Although every leader is responsible to think creatively and embrace the concept of change, significant
change within any organization usually emanates from the executive level. It is, however, vitally
important that you, the supervisor, understand the change process. This includes knowing those practices
that work and have worked to create positive results from change efforts. Likewise, you will be well
armed to be aware of those practices that have been found to stifle or inhibit change. Supervisors have a
grave responsibility to communicate and encourage change. In doing so, they can have a significant
impact on its success.
The Change Process

Change Agent
Change can be generated and managed at multiple levels within the organization. A change agent is a
leader who either causes or accelerates change. This person helps the group to become open to new ideas
and to focus its energy on making things work rather than throwing up roadblocks to efforts directed at
continuous improvement. This person sees the need for change and embraces it. The change agent
understands the change process, anticipates problems and resistance and develops a plan to make change
happen in the most expeditious and efficient manner possible.
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Change often fails because the process is not understood, potential barriers are not anticipated, and plans
are not made to counter them. Failed change sends a negative message to all involved. It can make new
ideas suspect and de-motivate employees. Failure in one effort can undermine commitment to future
opportunities for improvement and build skepticism for any type of modification of the status quo.
As a supervisor, you may often be in a position to act as change agent. Your understanding of the change
process can facilitate your ability to promote and accomplish change in your team or organization.
The Classic Change Model
In the early 20th Century, Kurt Lewin developed a model to help us understand change in individuals and
in organizations. It is still a simple and meaningful way to look at change.
It suggests that we approach change in three phases: Unfreezing, Changing (or Transition), and
Refreezing.
Unfreezing. People tend to be comfortable with the status quo. In it they feel safe and have some sense of
control. Any suggestion interrupting this comfortable state can be seen as a threat. It is the change
agent/leader who has the responsibility to help the group understand the nature of a proposed change. This
educational process may involve encouraging group members to take part in designing their new future.
Recognizing that the team must be unfrozen, the leader can use numerous techniques to accomplish this.
This is where inspirational leadership can be important. The leader can help the team understand the
inefficiency of the present situation and inspire them to overcome it. Another method can be to present a
logical, factual assessment of how the current situation is impacting negatively on the team and especially
on individual members. While this may appeal to their rational side, other efforts can be made to help
them feel the benefits of change. Arouse their sense of competition and accomplishment. Part of the
leader‘s job is to understand and promote the organizational vision. Unfreezing may include helping the
team understand how change can move the team and the organization toward its vision of an improved
future state.
The goal of the unfreezing process is to create a group that is ―change ready.‖
Change. The key here is to recognize that successful change does not occur by edict and it does not
happen over night. Truly, it is a transition and may require several stages that occur over time.
Organizations are notorious for developing new policies or programs in an executive vacuum and then
announcing them to an unprepared organization. A clear and practical awareness of the change process
might prevent such occurrences. Lewin emphasized that change is a journey and not a single step.
Enlightened leadership at every level is essential to successful change. An unfrozen state or change
readiness is only the start point. The leader must present an appealing alternative to business as usual.
This must open up individuals to new patterns of behavior.
Recognize that denying, and anger may be initial reactions to the prospect of change. Expect resistance
and be prepared to address it. Get group members involved. If possible have them incorporate their
experience and expertise in the process. Give them all the information you have. Answer questions.
Ensure that all required training is planned, publicized and well executed. Inspire and encourage them
toward success as a group and as individuals. If necessary, develop a method for executing the change in
increments so it is not a bombshell. Remember that change takes time; do not move too fast.
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Refreeze. Reinforce and institutionalize it. Make the change part of a new and improved system. When
the change appears to be moving along in a positive manner, it may be taken for granted. It may be
assumed that the change is permanent. That assumption may be incorrect. Without reinforcement the
group may revert to the old way or, worst, to an unplanned hybrid that ends up being worse than the old
or the new.
Formal and informal reward systems may be important to the refreezing process. It is, after all, a
continuation of the overall transition, and as such it can take time. This can be further complicated by the
fact that many organizations are in a constant state of change. Therefore, the refreezing may never be
fully accomplished. It is up to the leader to encourage the team to see its existence as a state of
―continuous improvement.‖ With that mindset, change becomes a partner in growth and organizational
development.
This three-step model implies that change can not be expected to be accomplished by a decision at a
higher level. It requires leaders at every level of the organization understand the complexity of change and
approach it carefully.
Kotter‘s Transformation Process
John Kotter looks at change or transformation from a slightly more detailed approach. In the Harvard
Business Review, March-April 19953, he presented an eight step transformation process. There are several
versions of these. They can be overlaid on Kurt Lewin‘s three stages of change. It provides more detail for
the leader.
 Increase Urgency. Help others see the need for change and the importance of acting
immediately. Identify flaws in the current system and present them as opportunities for
improvement.
 Create the Guiding Team. Ensure there is a powerful group guiding the change process.
The group should include superior leaders, with enthusiasm and commitment, credibility,
communications skills, authority, analytical skills and a sense of urgency. This group must
combine to form a collaborative team.
 Get the Vision Right. This centers on developing the change vision and strategy. Clarify
how the future will be different from the past, and how you can make that future a reality.
 Communicate for Buy-in. Promote the vision and the strategy. Use every possible mode of
effective and heartfelt communication to get the word out.
 Empower Action. Remove as many barriers as possible so that those who want to make the
vision a reality can do so. Identify and change structures that seriously undermine the vision.
Encourage risk-taking and creative problem-solving.
 Create Short Term Wins. Plan for and achieve visible performance improvements as soon
as possible. Recognize and reward those responsible.
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 Do Not Let Up. Press harder and faster after the first successes. Create improvements and
build on them. Initiate change after change until the vision is a reality. Recognize and reward
personnel involved in the improvements.
 Make Change Stick. Link new behaviors to organizational success. Create a new culture
that includes the change. Institutionalize.
Resistance
Even those who proclaim their openness to change may demonstrate some resistance. It is a natural
response and a normal reaction. Consider a simple change in supervisors. Most people will be somewhat
hesitant and reluctant when a familiar face is replaced by a new supervisor. This is not necessarily
because the team members do not like the new person. It may simply be because the new supervisor is an
unknown quantity. For that reason, it is wise to manage that change with a transition process whereby the
new supervisor can share with the team his or her experience and understanding of the job. It will also
give the team members a chance to ask questions and perhaps point out some of their concerns.
Rue and Byars4, in their 2005 discussion of resistance to change outline six of the most frequent reasons
for resisting change.
 Fear of the unknown. Naturally, when all the facts are not known or are unclear, there will be
hesitation and sometimes resistance.
 Economics. If threats to jobs, incomes and livelihoods may be lurking in a proposed change,
there will be resistance.
 Fear their skills and expertise will lose value. No one wants to become irrelevant because of
new technology. Anything that may be perceived to potentially reduce a person‘s value to the
organization will be resisted.
 Threats to power. Supervisors and other managers are particularly susceptible to this. Both
formal and informal power may appear to be threatened by a proposed change. A change
involving reorganization may be met with resistance.
 Additional work and inconvenience. New methods, reorganizations and other such changes
usually involve more work and are often inconvenient for employees. Sometimes the benefits of
the change are not understood and the additional work seems to make the change burdensome with
little benefit.
 Threats to interpersonal relations. Often, social and interpersonal relationships are more
important than they may appear on the surface. Comfort levels may be involved. Getting to know
new people can be uncomfortable for some. Sometimes efficient work methods are based on long
standing friendships. If these appear to be threatened, resistance may occur.
Although Elisabeth Kubler-Ross‘ 1969 book, On Death and Dying5, was directed at helping people deal
with death and tragedy, it has become very influential in helping leaders understand change. She
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addresses Five Stages of Grief, but in doing so we have found that it is also applicable to the way most
people deal with change. Not every stage is experienced by every person in all situations; however, it does
provide a leader insight to predict possible responses and therefore be better prepared to address them.
Denial. This is usually the initial stage and is characterized by the person saying, ―This can‘t be
happening.‖ In an organizational setting it may simply pertain to an underlying belief that this situation
will just go away if I ignore it.
Anger. ―How dare you do this to me?‖ In short, the change proponent is disturbing the status quo and
creating unnecessary turmoil. This may be seen as, ―Those people up at a higher level don‘t understand
what it is to work down here in the trenches.‖
Bargaining. ―If we just work a little harder, we can make the present system work.‖ This is often an effort
to convince those who would promote the change that the same results can be had without the hassle of
the change.
Depression. ―I feel like quitting. Someone is always disrupting things for me.‖ Depression can be the sign
of preparedness for change. It can signal that a person is leaning toward altering his or her patterns of
behavior. Depression can mean that a person or group is about to let go of the old and become open to
acceptance of the new.
Acceptance. ―After all, this looks like it will work.‖ It is up to the leader to ensure that mere acceptance is
developed into eager support.
Emotion plays an important role in how individuals respond to change or the prospect of change in their
organization. The Kubler-Ross concept can help managers understand this emotional dimension.
Individuals may respond differently to the same change scenario. Some may respond in a very positive
way, ready to accept new responsibilities or anticipating the possibility for promotion. Others may be
more wrapped up in the status quo. As mentioned, some will experience only a few of the five stages
presented and they may differ in order. The important thing for the leader to remember is that change
requires awareness of all of these potentialities.
The change process is often described using a line graph. It shows the decline or dip in productivity
normally associated with change. It is the responsibility of the leader or change agent to minimize that dip
and move the work unit on to improved productivity as rapidly as possible. As can be seen from the
diagram below, without paying attention to change management, the dip can be significant. When
attention is paid to good change management, the dip is significantly reduced.
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The Impact of Good Change
Management
P
R
O
D
U
C
T
I
V
I
T
Y
Good Change Management
Without Change Management
TIME
Fig 32
Resistance to change can be caused by several factors. Chief among these is fear of the unknown. Most
people get comfortable with a routine and a particular way of managing day-to-day activities. Rumors of
change can begin to stir up fear that current stability may be disrupted. Rumors and conjecture about
impending change rarely focus on its positive aspects. Normally, this fear of the unknown produces the
worst-case scenario. This can be compounded when partial information about the change may be
perceived as potentially threatening the power or prestige of an individual. It is human nature for each of
us to project how an impending change might impact our self-interest. As we discuss ―Leading Change‖
you will receive suggestions for minimizing resistance and countering its effects when it happens.
Expect some resistance to change. By knowing and understanding the reasons people resist change you
will be better prepared to deal with them. The Successful Manager‘s Handbook6 notes, ―People resist
change when they:
 Think it is unnecessary.
 Believe it is wrong.
 Think it will make the situation worse.
 Fear that the change will mean personal loss – of security, money, status, friends, freedom.
 Resent the way the change was introduced.
 Believe they had no input in the decision.
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 Believe the change will not be successful.
 Lack confidence that they will be able to perform new practices effectively.
 Are satisfied with the status quo. (They subscribe to the belief that ―if it‘s not broken, don‘t fix it.‖)
 Believe the timing is poor.
 Believe that prior initiatives were not properly implemented.
 Lack faith in those driving the change.‖
There are numerous ways of looking at the change process, but all of them have to address resistance and
how to counter it. Creating a healthy, ―change ready‖ environment can stop resistance before it takes hold,
or nip it in the bud, so to speak. Other points of resistance will have to be addressed directly as they occur.
Leading Change
As a supervisor and leader, you deal with issues of change on a daily basis. Hopefully, the above
discussion of change has helped you understand that change is a somewhat predictable process. By
understanding this process and recognizing that resistance to change is natural and may be expected, you
are now in a position to prepare yourself to support change.
Some changes are small and seemingly inconsequential. Others are more serious and can have greater
repercussions. Our purpose is to present the things you can do as a supervisor to facilitate and support
change within your team. Some of these suggestions are leadership techniques you can and should apply
in your role as supervisor. Others will relate more directly to specific changes that either come down from
a higher level or that you may choose to initiate in your sphere of influence.
Change-Friendly Atmosphere.
This is a matter of setting the example and encouraging a ―change ready‖ team. It begins by encouraging
team members to suggest improvement in the way your team does business. The implication is that the
team is always considering new methods. Focus on the customer and how to best serve the customer‘s
needs. Never reject a recommendation out of hand. Discuss it with the person and encourage that person
to research it and perhaps present it to the group. It may go through several modifications, but that
promotes involvement of team members. Even if it is ultimately rejected, the person who suggested it has
been taken seriously. The concept of change and innovation has been established as a healthy part of team
development. Promote involvement and creative thinking before, during and after a change.
Educate and Communicate.
This can occur before and during a change in progress. Promote open discussion of rumors and label them
as such. Encourage team members to ask questions, especially about unsubstantiated report of some
looming change in the works. Don‘t hold back; let your team know all that you know.
If you are considering a change to team procedure or in personnel, engage the team members, if possible,
in the process before the decision is made. Consider lessons learned from Situational Leadership. How
mature is the team? Are they ready for a participating or delegating strategy?
Where there is a lack of information or where information is inaccurate, get answers. Tell your people all
you are able to discover. They will be more supportive if they are not kept in the dark. This can be time
consuming. Do not commit to things you can not deliver. Keep communications channels open.
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Participate and Involve.
Recognize that people are more likely to support decisions in which they had a say. If the decision for a
change has come down from a higher level, see if you can get permission to involve your people in a
feasibility study or a pilot test. The people who initiated the change may need more information to ensure
its success. People who participate will become committed to implementing the change.
If the decision has already been made, remember that you have the ability to ―sell‖ it rather than dictate it
as a mandate from higher. Your success will be based on how well you master the details of the change.
Facilitate and Support.
Occasionally, people will resist because they have real or imagined adjustment problems. Part of your job
as a leader is to train and encourage. Be open to their concerns and offer training and support as
appropriate. It may be appropriate to assign a mentor to help an individual make the necessary adjustment.
This is no time for you to be remote. Spend time with your team and offer to help them adjust to the new
situation.
Negotiate and Modify.
Some changes produce negative impact on one or more individuals. Do not disregard or ignore these
situations. In these cases, as a supervisor, your ability to empathize and assist those individuals is critical.
How can the situation be modified to make it more palatable for them? Can you turn a win/lose into a
win/win? This will not always succeed. Your efforts, however, will not go unnoticed.
Manage and Support Change
 Become familiar with the proposed change. Master the details and understand the advantages and
disadvantages as well as the impact on each individual involved. Remember that you may be
impacted by the change. Seriously consider how your feel about it and what you may need to do to
cope with it.
 Provide accurate and authoritative information to your people. If you do not have the full story, let
them know that. ―Sell‖ the change by focusing on the positive while acknowledging the negative.
Ensure they understand the nature and extent of the change and the time it will take to execute it.
Some things may remain the same. Make them clear to the team.
 If the change is phased and there is a lengthy transition time, make the milestones clear. When the
change is complete, provide a definite point of closure.
 Recognize the emotional impact the change may have on others. Assess how you intend to
respond to this. These may be highly subjective, but they are very real to those impacted and need
to be addressed seriously and in depth.
 Sometimes negative impact on individuals can not be avoided. Be empathetic. Here is where the
time you have spent getting to know your people and being a good listener will pay off.
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 Keep the Kubler-Ross model in mind. Do not attempt to rush people through the grieving process.
If possible, try to compensate people for their losses.
 Clearly stipulate how the change will move the organization and its customers forward. If
possible, quantify these indicators of improvement.
Supervisor Change
In the section above about the change process, several models are discussed. Although they are meant to
be instructive, they can be confusing as you attempt to overlay them on each other. Below is a modified
version of the change process which should be more easily understood and applied by supervisors. This
Supervisor‘s Change Process draws on the more complex models and boils them down for simplicity
sake. It reduces the process to four stages. Note that the dip in productivity that occurs in Stage II is not
fixed. In fact, the depth of the dip is variable depending on how you as a leader prepare your team for the
change, as well as how you manage it. (See ―The Impact of Good Change Management‖ diagram above.)
If, prior to and during Stage I, you have encouraged your team to be ―change ready‖ you will have
reduced the negative impact of the change. Then, in Stage II, you use good lines of communication to
help the team understand its resistance. Through involvement and participation you can guide the team
beyond its initial resistance and overcome it effectively. By attending to this, you will find that they will
be prepared to move into Stage III sooner. It is in Stage III (Exploration) that the team begins to realize
the positive benefits of the change. This is why the change was instituted in the first place -- to improve
productivity and efficiency. Stage IV represents the culmination of the process. The change has become
part of the day-to-day operation of the organization. It has been accepted. It is during this stage that the
leader continues to build a change-friendly atmosphere, and maintain a ―change ready‖ environment
within the team.
Recognize that virtually every change will create a dip in productivity. Even when the change is
universally accepted and appreciated, there will be some small bump in the road caused by adjusting to
something new. Your responsibility as a leader is to minimize that dip and guide the team through Stage
II as rapidly as possible.
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Fig 33
Making Change Work

Much can be learned from change efforts that have failed or been only marginally successful. As
managers assess their past change efforts, what might they do differently if they could do it all over
again? Likewise, when changes have been successful, what practices have proven effecitive?
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The top concern is usually a matter of aggressive and consistent leadership or the lack of it. Good leaders
encourage team members to ask questions and seek out new ways of doing things. They recognize that
open and honest communications reduces rumors and promotes trust in the supervisor.
Prosci's BPR Online Learning Center is a comprehensive directory and resource guide for business
process reengineering teams. Prosci has a dedicated Change Management Learning Center for managing
the people side of change. It is an excellent source for research, books, tutorials, best practices and
training in this area. The information presented below has been extracted from the Procsci website 7.
Prosci Do’s and Don’t’s for Changing Behaviors.
Do -- Communicate, Honest, Early, Often

Do -- Encourage involvement
Do -- Encourage executive updates on the business and need for change
Don‘t -- Mandate change without involvement

Don‘t -- Rely on one-way communication
Don‘t -- Ignore resistance and negativity
Don‘t -- display impatience, anger, or unprofessional behavior
Don‘t -- Announce change and expect everyone to follow
Communication is more than ―putting out the word.‖ It requires face-to-face and one-on-one discussion
when at all possible. It is essential that you share with your team all that you know about an impending
change. Some team members may simply want you to listen to their concerns. Do not become defensive
and think that you must have all the answers. Be honest about the impact of a proposed change on
individuals and on the organization. It is very difficult to ―over-communicate.‖ Use multiple channels. E-
mail can provide an excellent vehicle for updates.
Involve your team members in the process. If the decision has been made, let them have a hand in the
planning. As a small group they might brainstorm potential glitches or rough spots and discuss how the
team might prepare to address them.
Address resistance head-on. Change can fail when employees are not aware of why the change is
important or of the facts that demanded it. Many employees are concerned about their jobs. Will there be
lay-offs? Be honest. Tell how the organization intends to address the issue. Paint a before and after picture
describing the benefits of the change to the team, the organization and its customers.
Supervisors and managers are not immune to resistance. In fact, Prosci ++ research indicates that while
front-line employees may be responsible for 19% of resistance, middle managers account for as much as
53%. Overall, front-line supervisors are generally open to change and account for only 7% of resistance.
Managers and some supervisors fear a loss or power and control. They often already feel overloaded with
current responsibilities and are concerned that they may not have skills required by the change. You may
choose to discuss these concerns with colleagues or your boss.
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Conclusion
Change is so integrated in all you do as a supervisor that it must be a fundamental aspect of any
discussion of leadership. Effectively leading change is synonymous with being a good leader. Every
minute of every day, you are creating an environment that encourages continuous improvement. This
requires that you understand the vision of the organization and share it with your team. Although you
must deal with every day concerns and requirements, you must also think strategically and be open to
innovation which includes changes that did not begin with you. Treat suggestions from your people with
serious and appropriate consideration. Help them think in terms of customer satisfaction. Your
effectiveness as a leader will be evident by the way your team deals with change.
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1. Peters, Tom, Thriving on Chaos, Harper Perennial, A Division of Harper Collins Publishers, New
York, NY, 1991, P.474
2. Kotter, John, Managing Change and Transition, Harvard Business School Publishing Corporation,
Boston, MA, 2003
3.Kotter, John, ―Leading Change: Why Transformation Efforts Fail,‖ Harvard Business Review. March-
April 1995, pgs 59-67.
4.Rue, Leslie, W. and Byars, Lloyd L., Management: Skills and Application, Eleventh Edition, McGraw-
Hill/Irwin, New York, NY, 2005, Page 342
5.Kubler-Ross, Elizabeth, On Death and Dying, Macmillan Company, England, 1970
6.Gebelein, Susan H. et al, Successful Manager‘s Handbook, Personnel Decisions International

Corporation, Roswell, GA, 2004, Page 511
7. Prosci Research, Loveland CO, ―Best Practices in Change Management,‖ Accessed 6/14/07 at
http://www.change-management.com/
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NOTES
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2.13 Conflict Management
Conflict. Although it has more than four letters, it sounds like a ―bad‖ word.
Whenever two or more people come together, there is chance of disagreement. In fact, we can expect it.
Disagreement is a normal part of interpersonal relationships. When disagreements create disharmony and
impact on the effectiveness of an organization they create a type of conflict that has negative
consequences. However, conflict is not always a bad thing. It can be the stuff that develops innovation
and strong interpersonal bonds that can reinforce organizational values.
This chapter addresses the supervisor‘s efforts to manage conflict. Conflict management is an attempt to
handle conflict in a way that will be helpful and positive for the organization and its people. It is different
from conflict resolution, which is an effort to resolve a dispute. While conflict resolution may pertain to
techniques for addressing individual situations, conflict management is a long-term leadership activity.
Much of our discussion will focus on the supervisor‘s efforts to resolve conflict, but it is important to
remember that the environment created by successful leadership sets the stage for effective conflict
management.
Let‘s see what Jim has to say about conflict.
Jim: Hey, Marsha, how are things going in your department?
Marsha: Over all, things are fine, Jim. There is one person that is giving me conniption fits, but I think I
am going to transfer her.
Jim: Oh? What‘s her problem?
Marsha: She is my problem. I guess I would have to label Joyce an obstructionist. She disagrees with just
about everything we try to do. The trouble is she is no dummy. She could make a real contribution if she
wasn‘t always so disagreeable. I hate to lose her, but she is always stirring up conflict.
It seems we have a running argument going. She has to be right all the time.
Jim: Well, is she ever right? Does she have any good ideas?
Marsha: Sometimes.
Jim: Marsha, how do you feel about these disagreements?
Marsha: I hate ‗em. We have a pretty good team, and I like us to work smoothly together. You know,
without dissention!
Jim: What do you say when she disagrees with you?
Marsha: I usually try to explain the logic behind my point of view, but she comes at me like a tiger.
Sometimes I just get so frustrated that I walk away without saying anything.
Jim: What would happen if you said this to her? ―Joyce, you may have a good idea there. Please make a
few notes on it and come to my office this afternoon. We can discuss it in more detail.‖
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Marsha: Gee, I don‘t know. She might think I am backing down from my position.
Jim: Would that be so bad? It seems to me there are two sides here. You don‘t want to back down, and
she thinks she has a better idea. You know, disagreement and conflict don‘t have to be all bad. By giving
her room to explain her position you may find that the two of you can collaborate and come up with an
even better approach. From what you tell me, you and Joyce both like to win, but that means someone has
to lose. If you open the door to a more collaborative approach, she may surprise you with a more
accommodating attitude. After all, you said she was no dummy.
By asking her for her opinion and discussing it rather than shutting her down, you may throw her off
balance, confront the conflict, and perhaps end up with a more productive solution to whatever issue you
are addressing.
Marsha likes to win, and so does Joyce. We might say they are both competitive! So far, Marsha has seen
only the negative aspects of Joyce‘s disagreement. Her responses seem assertive, but she is really
retreating into a defensive mode by attempting to defend her position. How can she turn the situation
around and make something positive of it?
What about conflict?

Many people think only of the negative aspects of conflict. Some people simply hate confrontation and
will go out of their way to avoid any type of conflict. In fact, in an organization that avoids dealing with
conflict, situations tend to fester and creative opportunities are often lost because people are not
comfortable with forthright discussion. Disagreements can provide an opportunity to improve. This kind
of healthy conflict can force people and organizations to challenge their assumptions and their current
way of dealing with certain situations. But, if they are ignored and ―swept under the carpet‖ wonderful
opportunities can be missed, and worse, if left unresolved they can fester and create truly serious
organizational problems.
Conflict used constructively can lend clarity to problems and produce exceptional solutions. It can
encourage team members to speak frankly and openly about their concerns. When conflict is properly
managed it can produce improved communications and a closer, more effective team. When team
members learn to deal openly with their disagreements, the work environment can become more pleasant
and the negative impact of stress can be reduced. In short, when conflict is seen as natural and acceptable,
it can be an important element of improved productivity and organizational effectiveness.
On the other hand, conflict can be a negative and even destructive influence in an organization. When it is
avoided as uncomfortable it can aggravate working conditions and undermine productivity. It can divert
attention and effort to less important activities simply because they are more comfortable to deal with.
This can destabilize and demoralize an entire team. Further, it can create cliques and rival groups. The
healthy and productive organization can not abide poorly managed or unresolved conflict. Therefore,
effective and successful leadership demands understanding conflict and being able to address it in any of
its manifestations.
What is at the root of unhealthy conflict? Certainly, weak and indecisive leadership can contribute to it. It
is up to you, the supervisor, to promote good communications among team members. Poor
communication is often at the heart of unhealthy conflict. As a team learns to communicate through the
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sharing of concerns and honest feedback focusing on behavior rather than on personalities, conflict will be
reduced. Sometimes, the management or leadership style of a supervisor or manager can promote the
wrong kind of conflict. Leaders who do not understand the value of Situational Leadership approaches
can create conflict by ―over-supervising‖ in some cases, while ―under-supervising‖ in others. This may be
compounded by poor communications and a lack of openness on the part of team members.
Trust is at the heart of a leader‘s effectiveness. Faith in the leader‘s motives and commitment to the
organization and its people can minimize potentially unhealthy conflict in a variety of situations. Changes
in mission or in leadership can be unsettling for an organization. Lack of trust in these situations can
produce conflict. The chapter on Supporting Change addresses some of the things leaders can do to
promote a healthy and open approach to change. By developing an atmosphere of trust, potential conflict
can be averted.
Sometimes conflict can be the result of individual personalities and the occasional power play. People are
motivated to do certain things based on their perception of what is good and beneficial for them.
Another definition of conflict is that my needs/wants are different from your needs/wants. As a result, we
have differences of opinion about what is the best action to take in a particular situation. These needs and
wants can be divided into four categories that may help us understand the conflict better. These sources of
conflict are facts, methods, goals, and values. Each individual is guided by his or her perception of these.
Let‘s look at them one at a time.
Facts: Individuals can disagree about the facts of a situation. Perhaps, I think two days is enough time to
accomplish a particular activity. You, on the other hand, may think that is unreasonable. You believe four
or five days would be more realistic. We disagree.
Methods: This is very common among experienced employees. They disagree on the way in which a job,
project or activity should be accomplished. I prefer to turn the project over to an ad hoc team. You see it
as a matter for the department director to address without interference from outsiders.
Goals: You have heard it many times. ―That goal is unreasonable.‖ However, it may not appear to be
unreasonable to the person who developed it. A typical conflict is between quality and quantity. How is
success measured in your organization? Are there conflicting ideas of what success looks like? These
differences can be small and almost trivial, or so large that they impact the entire organization. Either
way, there are ample grounds for conflict.
Values: These pertain to the basic philosophical differences among individuals, or between individuals
and the organization. They tend to address the standards and principles of people and organizations.
Which is more important in your particular organization, success or honesty? Some organizations expect
success at any price. An individual within that organization may not be willing to ―cut corners‖ in order to
be successful. Therefore, conflict can arise.
When conflict occurs because of differing perspectives of facts, methods, goals or values, how do people
react? Perhaps the most common reaction is to avoid it. Avoidance seems safe and easy. Conflict left to
fester can seethe and grow to become a much greater problem and disrupt the entire organization. Some
may attack the other person and see the matter as a win/lose situation where they must win. This will
ensure that someone will be a loser, and dissention will most surely continue. Still others may seek allies
for their particular point of view. This can develop into rival groups and further disrupt productivity and
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organizational harmony. Obviously, unhealthy conflict that is not resolved will generally become a
problem for the leader and the organization.
―For lack of a nail, the horseshoe was lost. For lack of a shoe the horse was lost. For lack of a horse, the
king was lost. For lack of a king the battle was lost. For lack of a king the kingdom was lost.‖ All for the
lack of a nail. Small conflicts unresolved can lead to serious consequences. Individual pain and
organizational failure can result. ―Conflict defines. It forces us to examine our assumptions, ideas, and
solutions. But left unmanaged and unresolved, conflict can become destructive, eroding the confidence
and trust that are crucial to a team‘s ability to work together effectively.‖ 1
Conflict Within Yourself

The fundamentals of leadership begin with knowing and understanding yourself. How you relate to
conflict is an important part of who you are as a leader, and how successful you will be. There are several
modes or approaches to conflict situations. You probably have a preferred mode -- one that you have
become comfortable with over time. This impacts how you treat others and how you react to conflict.
Kenneth W.Thomas and Ralph H. Kilmann introduced their Thomas-Kilmann Conflict Mode Instrument
some years ago. The TKI, as it is commonly known, has proven to be very helpful to leaders and team
members seeking to understand how they tend to react in conflict situations. The TKI is a self-scoring
instrument or survey. It consists of only 30 items and can be completed in about 15 minutes. It is ―the
world‘s number one assessment tool for understanding how different conflict-handling modes, or styles,
affect interpersonal and group dynamics; and also for learning how to select the most appropriate style for
a given situation.‖ It provides interpretation and feedback materials to help you understand how you relate
to each conflict-handling mode. Additionally, it can provide suggestions for increasing your comfort level
with your less used styles.
Rather than identifying any one mode or style as good while others are bad, the theory behind the TKI is
based on the belief that there are no bad modes. All can be good in different situations. Of course, some
tend to be more versatile and useful than others. The five modes are based on the Blake and Mouton
research that evaluates each mode based on two perpendicular axes -- concern for people or
cooperativeness (the horizontal axis), and concern for task or assertiveness (the vertical axis).
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ASS
ERT
IVE
NES
S
Competing Collaborating
Compromising
Avoiding
COOPERATION
Fig 34
The TKI reveals that most of us have a preferred or favorite mode which we may call our ―conflict style.‖
There has been some misunderstanding of these styles. Each has its strengths and weaknesses and each
can be successfully used in various situations. Likewise, any one of them taken to an extreme can produce
negative results. Below is an outline of the five modes. 2
 Competing. This mode is extremely assertive and can be (but does not have to be)
uncooperative. Competitors advocate positions that have factual merit. They tend to be clear
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thinking, candid and action oriented. They can also monopolize ―air time‖ and exaggerate to make
a point. Competitors usually are not good listeners and need to work on this characteristic.
 Accommodating. This mode is at the other end of the spectrum from Competing.
Accommodators want to build good will and cohesiveness. They are supportive and generous.
Their focus tends to be more on people and their welfare. Because of these tendencies, they may
be inclined to allow questionable decisions for the sake of tranquility within the group.
 Avoiding. Avoiding is often misunderstood and is usually considered as a negative approach;

however, some attributes of avoiders can be helpful. For example, avoiders are sensitive to time
and its costs. They may value conserving personal time and energy. They can influence prudence
in a variety of ways and can help to keep meetings short. On the other hand, avoiders can
purposely miss meetings in an effort to sidestep conflict. They may also promote procrastination.
 Collaborating. This mode may be perceived as both assertive and cooperative. Collaboration
is an excellent forum for seeking innovative solutions and usually strives for the win/win situation.
Collaborators value open-mindedness. Because they are good problem-solvers, collaborators may
tend to over-analyze and get caught up in the problem-solving process. This mode is often
recognized as an optimum state for a team, although there can be downsides to some of these
characteristics.
 Compromising. The ability to compromise is seen as ―splitting the difference.‖ It can provide
moderation and balance when others are promoting extremes. Compromisers tend to be
pragmatists and bargainers. On the other hand, they may have a tendency to rush to a settlement
for the sake of balance and ―keeping the peace.‖ Because of their focus on balance and
amicability, they may push for solutions that erode organizational principles or values.
Leaders are capable of using all five of these modes. Most, however, have a preferred style of dealing
with conflict. If a leader has a tendency to favor one particular mode or style to deal with conflict, the
danger is that he or she may attempt to apply it in every situation. This is not recommended.
The TKI provides a tool for the leader to learn which style is his or her preference. Armed with that
information, the leader can then approach each conflict situation with greater insight to self and the
situation. Further, leaders can encourage the entire team to take the TKI and share the results. This can
provide insight into potential disconnects between team members and their individual approaches to
conflict. For example, the accommodator will generally give in to the more competitive member. If the
former has a better solution, this can be to the detriment of the team mission. But, knowing the conflict
style of these members, the leader can moderate the situation and ensure that the more competitive
member does not take advantage of the situation.
The TKI also identifies a person‘s secondary conflict style. This means that although you have a primary
style, you probably also have a style with which you are comfortable as a fall-back mode. It can be very
helpful to be aware of this secondary style, because it usually compliments the primary style. For
example, if your primary style is competing, you may be surprised to learn that your secondary style
could be accommodating. This can be helpful because your competing style may not produce favorable
results. In that can, since your secondary style is accommodating, you may be comfortable relaxing your
position. In addition to providing insight to your preferences, the TKI results may help you to be more
comfortable with your secondary style.
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There is another exciting and valuable dimension to the TKI. Using this instrument (and accompanying
workbook materials), it is possible to develop a ―team conflict style.‖ The team style is shaped by the
styles of its members and especially its leader. Leaders that know and understand their team conflict style
and their own individual style can take action to counter-balance negative impacts. For example, if the
team tends toward being highly competitive, the leader can guide its members toward more collaborative
approaches.
Knowledge of the team conflict style can also be used during team building sessions to promote better
understanding of other styles. The collaborative style is considered a good problem-solving mode. If the
team is coached to acknowledge this, it can improve its openness to more collaboration during problem-
solving activities.
Causes of Conflict
There are several published lists of the causes of interpersonal conflict. These causes are highly
compatible with the sources of conflict outlined above -- facts, methods, goals and values. One list that
seems to be all encompassing is that provided by Dudley Weeks in his book, The Eight Essential Steps to
Conflict Resolution. He gives seven causes of conflict. 3
 Diversity and differences between us

 Needs
 Perceptions
 Power
 Values and Principles
 Feelings and Emotions
 Internal Conflicts within a Person
These boil down to differences in what individuals see as what is best for them or their group. I may come
from a Hispanic background in which lunch is a more leisurely experience, while you may like catching a
quick sandwich during a meeting. My needs may conflict with what you see as your needs. I may perceive
a problem as unimportant while to you it is of supreme importance. I may be happy with the current
power structure while you may want to see power shared with more members of the team. And so on with
the other causes listed. While these may be important for you to understand, more immediate to your role
as supervisor are those causes of conflict that we might call ―leader behaviors‖ that cause conflict or that
create circumstances which breed conflict.
Carter McNamara has provided an outline of ―managerial actions that cause workplace conflict.‖ The
following is adapted from the Field Guide to Leadership and Supervision. 4
These focus on poor leadership, poor communications, misaligned or insufficient resources, and
personality or ―chemistry.‖ As a team supervisor, these causes of conflict may be influenced by you. Let‘s
take a brief look at each of them.
Poor Leadership. The leader sets the stage. An open and honest environment in which organizational
expectations are understood reduces the chances of unhealthy conflict. When team members trust their
supervisor to make rational and informed decisions based on facts, they will not be caught be surprise. If
and when the situation allows, the leader attempts to include team members in decision-making. In these
situations healthy disagreement is promoted and controlled.
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Team members expect consistent, informed leadership. The enlightened leader will be aware of his or her
style of handling conflict and be ready to modify it when necessary. Successful leaders will not ―avoid‖
conflict merely to keep the peace. They will not pass the buck and will take responsibility for their
decisions. Finally, they understand the strengths and weaknesses of their team members. This includes
how they react to conflict.
Poor Communications. This is an important extension of the leadership dimension. When

communications are good and information flows freely, the chances of unhealthy conflict are minimized.
Changes of all kinds should be shared with all team members. When employees understand the rationale
and logic behind decisions and program changes, they will be in a position to disagree openly. Rumors
will be minimized. Poor communications leads to misunderstandings and unnecessary conflict.
Misaligned or Insufficient Resources. When the alignment or the amount of resources is insufficient for
the task or assignment, the scene is ripe for conflict. Stress is created when resources are insufficient. An
adversarial situation can be created. It is the supervisor‘s job to make rational assignment of resources
and, if necessary, explain why some individuals or teams must do with less than optimum.
Personal Chemistry. This may include conflicting values or goals. Sometimes there can be clashes based
on strong personalities that conflict with others. It is particularly helpful for the supervisor to know each
team member and be familiar with each person‘s values and expectations for the work environment. Here
is where the leader can attempt to influence the situation through deliberately crafted team building
efforts.
The successful leader, through education, training and setting the example can impact how the team
responses to various forms of conflict. It is important for the leader to encourage healthy disagreement
while being able to identify the potential for unhealthy conflict and take steps to redirect it. Most of this
effort requires preventative measures. An open and honest environment that promotes honest and
sensitive criticism based on facts and behaviors will prevent much unhealthy conflict.
Handling Conflict
As a leader, when presented with a conflict situation you are confronted with choices. The information
presented above is intended to provide you with a better understanding of the nature of conflict. As you
recall from Part I, your approach or the leadership style you choose to employ in a specific situation is
based on your assessment of that situation. In Situational Leadership you may choose to Tell, Sell,
Participate or Delegate. Addressing how to handle a conflict situation is much the same. Your first task is
to assess the situation. Your ability to assess is predicated on your experience, and knowledge of your
team members.
Thus far, we have discussed sources of conflict and modes or styles available to address it. The sources of
conflict are facts, methods, goals, and values. Conflict styles are competing, accommodating, avoiding,
collaborating, and compromising. You, the leader, will be aided in your effort to handle conflict situations
if you see your choices in the context of a ―process.‖ What does that process look like?
The Conflict Resolution Process
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 Identify the conflict. Before you can address a conflict issue, you must recognize it as such. This
means looking at a situation and labeling it as a conflict issue. Consider the definition of conflict.
When needs or wants clash, conflict exists.
 Determine the kind of conflict. What is the nature of the conflict? Is it a conflict of fact, method,
goals or values? This determination can help you make it less of an emotional issue and more a
matter of observable differences.
 Determine choices. There are five choices available to you. What do you think will be the result of
each choice? This step in the process is addressed in some detail below.
 Take action. Implement the style choice you have selected.
 Evaluate the actual results of your leadership approach.
We have discussed the first two steps in this process in some detail above. Step 3, ―Determining Choices‖
is a matter of considering strategies and projecting how each might impact the conflict situation.
What are your options? You can choose to CONFRONT the conflict and get it over, or to CONTROL it
for the time being. Confronting is a more assertive approach in which you seek to resolve the conflict and
move on. Controlling is generally more cooperative and provides a temporary fix. Look at the figure on
page 3 above. The Competing and Collaborating styles are more assertive; hence, they can be used to
confront conflict if that is the strategy you choose to employ. The figure also shows that the Avoiding and
Accommodating styles of handling conflict are more cooperative. They can be used as a strategy to
control a conflict situation. Since the Compromising style is midway between assertive and cooperative
and employs some of each, it can be used as a strategy in either confronting or controlling conflict
situations. Therefore, it can provide a permanent solution or a temporary fix.
In summary:
When you CONFRONT conflict you are choosing to take a more assertive position to ultimately resolve
the conflict using
Competing Collaborating Compromise.
When you CONTROL conflict, you are choosing to take a more cooperative position that will result in a
temporary fix (control now, resolve later) using
Avoiding Accommodating Compromise.
Most of the time, conflict is not a matter of right or wrong, but rather it is a matter of people or groups
seeing things differently. It is a natural part of interpersonal work life. As supervisor, it is your job to
assess the situation as you would any other leadership situation and determine how best to handle it.
Remember that good things can come from conflict if it is correctly handled. Below are two examples of
conflict situations. The strategies selected are not the only approaches. You may handle each differently
and still achieve satisfactory results.
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The HR Department has mandated that everyone in the organization attend a six hour computer security
training session. They recommend that it be done in two six hour blocks of instruction, with half Dale‘s
team attending each. Dale sees this as an extreme burden that could hinder the team‘s effectiveness and
put it behind in productivity. The conflict is one of fact and method. How will Dale deal with it? His team
has 16 people and they work on flex time. Does he want to control it or confront it?
The training is a requirement that will not go away by ignoring it. Dale chooses to confront it with the
head of the HR Department. Through open and honest discussion, he makes her aware of the time and
operational constraints that make it difficult to get the training done in only two sessions. The HR
Director has a limited budget which influences her flexibility. Dale employs his active listening skills and
hopes to get the HR Director to compromise. In the end, they agree to train most of the team in two
sessions, and to have two of Dale‘s people prepare to teach make up classes to the rest of the team. The
HR Director will provide the required materials and training software. This resolved the conflict and
attended to the needs of both parties.
In an example of controlling a conflict situation, Roseanne, supervisor of a customer service team, is

asked to change her schedule from four ten hour days (Monday through Thursday) to five eight hour days
(Monday through Friday). Her boss is concerned that there is not enough ―management presence‖ on
Fridays. Roseanne is happy with her current schedule and thinks her team is performing well. Her boss is
firm about the change. After discussion, Roseanne suggests changing her schedule for three weeks.
During this time she will do two things. First she will monitor the quality of customer service more
closely to see if there is any change. Second, she will train an assistant team leader to act in a supervisory
role on Fridays. This may also produce the side benefit that Roseanne will have a team member cross-
trained and prepared to assume her duties in emergencies. Her boss is very pleased with the arrangement.
The conflict is temporarily resolved, but it may end in an improved way of doing business.
Consider the situation between Marsha and Joyce discussed at the beginning of this chapter. Both were
aggressive and both wanted to win. Jim suggested that Marsha turn the situation around by 1) modifying
her own competing style, and 2) opening up to collaboration from Joyce. By doing this, she was able to
confront the situation and strive for a win/win rather than a win/lose. Of course, it is up to Marsha to
assess every conflict situation before determining which strategy she will apply.
There is considerable flexibility among the five conflict styles. The lines between the styles may even
become somewhat blurred in practice. You may enter into a conflict situation intending to use a
competing style, but end up compromising or even accommodating. When a particular aspect of a
disagreement is vital to you, you may use a competing mode. Another aspect may be less important and
you may be willing to compromise or accommodate. Here, the critical issue is the relative importance of a
particular point versus the power of the individual who is for or against it. Some things are simply not
negotiable because a higher authority has made the decision and there is little or no room for negotiation.
After taking the TKI and becoming more familiar with your preferred style you may develop an increased
ability to be flexible and vary your style. Collaboration has shown to be a highly successful problem-
solving style. When the situation calls for a problem-solving approach, the supervisor may want to guide
the team toward a collaborating approach. This focuses on teamwork and consensus building.
Reaching consensus is a powerful tool in collaboration. It is used when a conflict involves several people.
A facilitator is often employed. See the appendix on Facilitation Skills. Consensus is a group decision
which all members of the group find acceptable. Perhaps the spirit of consensus is best captured in this
saying, ―I may not get my way, but I do get my say.‖ Some members may feel it is not the best decision,
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but it is one with which each can not only live, but that each can support. A consensus is not gained
through voting. It is arrived at through open and honest discussion and a spirit of cooperation. This aspect
of collaboration requires mutual respect and an overriding concern for doing what is best for the group.
Not every member will be completely happy with the outcome, but no one should be disgruntled.
Consider these points when seeking consensus:
 Establish a baseline of trust.

 The win/lose mentality is wholly unproductive.
 Open minds are essential.
 Participation and honesty are essential.
 Voting is never used.
 Arguing and posturing are not productive.
 Rushing to agreement can be counter-productive.
Step 4 in the conflict resolution process is ―Take Action.‖ This requires that the leader follow-up with
both the letter and the spirit of the agreement. Setting the example reinforces the trust that is essential for
a healthy leadership environment. For example, choosing to ―avoid‖ may mean doing nothing, but it does
not mean ignoring the situation. It must be monitored and constantly evaluated.
Step 5, ―Evaluation‖ requires that the leader seek and understand feedback. Has the pressure of unhealthy
conflict been dissipated? If not, what further actions are necessary? If your actions have been successful,
what lessons have been learned and is it possible to avoid future conflict of a similar nature?
Handling conflict situations is facilitated by understanding what conflict is, and how it can be addressed,
and then methodically applying the process outlined above.
Tools and Techniques

Unproductive or unhealthy conflict can occur in many ways. It can be a clash between two individuals,
between two groups, or even between a group and its leader. As a Supervisor you must recognize the
conflict and determine how best to handle it. Probably the most common form of conflict is when two
people within a team disagree, and that disagreement either potentially or actually impacts on the
harmony and productivity of the group. How do you address it?
Mediating Interpersonal Conflict.
Let‘s say that Bob and Ted are co-workers that have a conflict. We need not stipulate exactly what the
conflict is. They disagree and it is becoming a source of disharmony for the team. How should you, as
supervisor, deal with this situation? In essence, you are about to intervene as a mediator.
Assess your own feelings regarding the situation. Let‘s assume that neither Bob nor Ted is violating any
rule, procedure or policy. If one of them were doing so, this would be a disciplinary problem and not a
conflict situation. It is essential that you put aside your own biases and enter the mediation with
impartiality.
1. Select a place to meet with the two individuals that is neutral and where there will be no interruptions.
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Have Bob and Ted sit either side-by-side or across from each other. You assume a neutral position in the
room.
2. Make an opening statement outlining the purpose of the meeting. Make an effort to say some positive
things about the two participants and their value to the team. Outline the situation and emphasize that it is
(either now or potentially) having a negative impact on the team and productivity. Do not go into too
much detail. Doing so may imply that you have chosen a side. Explain the process you want to take.
Each will state the problem from his perspective.

Each will then describe the problem from the other person‘s point of view.
Each will have an opportunity to verify the other‘s accuracy.
Discuss the facts. As mediator, help them agree on the facts surrounding the situation.
Ask each to suggest a workable solution that will solve the situation and be good for the team.
Negotiate an agreement for a solution that they can both agree on.
Set a date for a follow-up meeting to review the situation.
3. Each will state the problem from his perspective. Remind the participants that you are only interested in
facts and observations, not emotions or personal attacks. Bob and Ted take turns describing the problem.
4. Each will then describe the problem from the other person‘s point of view. This is an effort to open
their minds to the other‘s perspective. Again, it should be focused on fact, not assumptions about the other
person‘s attitude. Ted may say, ―This is what Bob sees as the problem.‖ Don‘t let them gloss over this
with a broad statement. Ensure that they provide the same detail the other person used in the original
statement.
5. Each will have an opportunity to verify the other‘s accuracy. Get Bob to acknowledge that Ted has
satisfactorily described his (Bob‘s) side of the story. Then, ask Ted to do the same for Bob.
6. Discuss the facts. Help them clarify the facts surrounding the situation. Relate the facts to the team and
productivity. What are the negative implications of the facts?
7. Ask each to suggest a workable solution that will solve the situation and be good for the team. The
emphasis here is on a workable solution. Do not hesitate to point out if a solution is counter-productive. If
Ted suggests that Bob be transferred to another department, this would not be considered constructive.
Ask them to attempt to understand each other‘s position. ―What would you do if you were in his place?‖
8. Negotiate an agreement for a solution that they can both agree on. This is the most critical step. They
may initially have two very different potential solutions. See how they react to the other‘s suggestion.
Does one have potential to be accepted by both parties, perhaps with some modification? You may have
to take part of each and attempt to reach a compromise. Find a solution in which neither feels like a
―loser.‖ Then, re-state the solution and get each member to summarize his part in the solution and how he
feels about accepting it. Encourage them to agree to a trial run.
9. Set a date for a follow-up meeting to review the situation. This added personal responsibility and
accountability on all concerned, including you. Write the date and time of the follow-up meeting on your
calendar immediately. Do not neglect the follow-up meeting -- even if the solution seems to be working.
This process is subject to a critical flaw if it is poorly managed. That is that the agreement can be ―ram-
rodded‖ down the throats of the members by an over aggressive supervisor. This will not solve the
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conflict and may make it worse. The agreement reached between the two individuals must be a sincere
one. The supervisor must ―facilitate‖ the mediation, not force it on the team members.
Personal Conflict with Another.
Leaders are not immune to conflict. In fact, this kind of conflict may be one of the more difficult to
effectively address. Keep in mind that knowing yourself and how you relate to conflict is a critical skill
for any leader. Carter McNamara4 presents an outline of an effective approach to such situations.
1. Know what you don't like about yourself, early on in your career. We often don't like in others what we
don't want to see in ourselves.
a. Write down 5 traits that really bug you when see them in others.
b. Be aware that these traits are your "hot buttons".
2. Manage yourself. If you and/or the other person are getting heated up, then manage yourself to stay
calm by
a. Speaking to the person as if the other person is not heated up - this can be very effective!
b. Avoid use of the word "you" - this avoids blaming.
c. Nod your head to assure them you heard them.
d. Maintain eye contact with them.
3. Move the discussion to a private area, if possible.
4. Give the other person time to vent. Don't interrupt them or judge what they are saying.
5. Verify that you're accurately hearing each other. When they are done speaking:
a. Ask the other person to let you rephrase (uninterrupted) what you are hearing from them to ensure you
are hearing them.
b. To understand them more, ask open-ended questions. Avoid "why" questions - those questions often
make people feel defensive.
6. Repeat the above step, this time for them to verify that they are hearing you. When you present your
position
a. Use "I", not "you".

b. Talk in terms of the present as much as possible.
c. Mention your feelings.
7. Acknowledge where you disagree and where you agree.
8. Work the issue, not the person. When they are convinced that you understand them: Ask "What can we
do fix the problem?" They will likely begin to complain again. Then ask the same question. Focus on
actions they can do, too.
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9. If possible, identify at least one action that can be done by one or both of you.
a. Ask the other person if they will support the action.

b. If they will not, then ask for a "cooling off period".
10. Thank the person for working with you.
11. If the situation remains a conflict, then:
a. Conclude if the other person's behavior conflicts with policies and procedures in
the workplace and if so, present the issue to your supervisor.
b. Consider whether to agree to disagree.
c. Consider seeking a third party to mediate.
By being aware of your own hot buttons and by being a good listener, you can divert many conflict
situations. When they need to be addressed head-on, the steps outlined above can be useful.
The Reflect, Respect, Respond Model
This model has been used in several settings. Al Borowski 5 uses it to gain rapport with an audience.
Others apply it to child rearing. In their Primer for Nonprofit Leadership, Social Enterprises, Inc. +++
presents a simple but effective model for addressing conflict in merger discussion; however, this model
can easily be applied in a variety of potentially volatile conflict situations. It acknowledges that
communications free of emotion, tension and defensiveness increases the chances of effective conflict
resolution.
Simply put, Reflect, Respect and Respond is a tool to help you remember the fundamentals of
interpersonal interaction that can assist to avoid the human tendency to become defensive during
disagreements.
Reflect. This relates to the active listening technique of ―reflection.‖ To apply it you must first refrain
from jumping in with a combative attitude. Listen. Give the other person an opportunity to state her or his
views. Then, restate that perspective as you heard it being careful to use your own words. Make no
judgments. This lets the other person know you are truly listening. In doing this, you have not escalated
the conflict and you are gaining empathy with the other person.
Respect. Too often, people take disagreements personally. There is a tendency to attach personal worth to
a position. Your goal in this step of the model is to let the other person know that you maintain your high
opinion of her regardless of the difference in perspectives about this particular issue. You value the other
person regardless of the disagreement. How can you do this? There are several ways. You can come out
and say it. ―Bobbie, you have been on the job for a long time. I respect your experience and your
knowledge.‖ Or, you can be slightly more subtle. ―Bobbie, I am aware of your reputation for excellence.‖
Don‘t rush it. Patience itself can convey respect and it gives you time to honestly understand the other
person‘s point of view.
Respond. In this final step, you share your own views. You have laid the groundwork of respect and you
have not rushed. You have probably reduced the emotional charge of the situation. It is now more likely
that the other person will be more willing to listen to your side of the story. Be clear and concise. Talk
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about the situation, issue or behavior at hand, but do not attack or ridicule personalities. Remind yourself
to avoid the win/lose mentality.
The Reflect, Respect, Respond Model may be applied in almost every interpersonal interaction. As it
applies to conflict, it should be used while keeping in mind the sources of conflict: Facts, Methods, Goals
and Values. This model provides an excellent opening interaction in most conflict situations. It can help
you in your selection of the appropriate conflict style to apply in a particular situation.
Conclusion
There are significant differences between people. These differences can produce both positive and
negative consequences. The writers of the United States Constitution experienced numerous
disagreements based on their backgrounds, personalities and values. Had they allowed this conflict to
become destructive, they might have failed at their mission. However, their ultimate product reflects
innovation, creativity and a remarkable practicality that has permitted it to survive in a changing world.
They conquered the impact of internal conflict and interpersonal conflict by placing the success of their
mission above personal victory. Study will show that they used competing, accommodating, avoiding,
collaborating and compromising to achieve their final goal.
Often, we as supervisors are confronted with conflict situations in which we are tempted to ―come out
fighting,‖ or recoil and avoid the conflict altogether. Many of us have become successful because we are
aggressive and tenacious. There are, however, times when we can personally ―win‖ the battle while losing
the war. That is, we can come away with a personal victory that does the organization no good at all. To
avoid this, we must come to understand how we relate to internal conflict and strive for inter-dependence
within our team. As we become more comfortable in our leadership roles, we (like the writers of our
Constitution) can begin to see conflict as an opportunity to build our team and improve our organization‘s
performance.
Approach conflict situations with a view to do what is best for the organization. Healthy conflict can
improve team performance. Unhealthy conflict can be resolved by addressing it as a process. In every
conflict situation you have choices to make. The key to successfully handling conflict is through an
environment that promotes open and honest communication in an atmosphere of trust.
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1.Fisher, Kimball, Fisher, Maureen Duncan, The Distributed Mind, American Management Association,
New York, 1998, page 234-235.
2. Extracted from the CPP Conflict Management Solutions website.

http://www.cpp.com/PRODUCTS/conflict/index.asp
3. Weeks, Dudley, The Eight Essential Steps to Conflict Resolution, Penguin Putnam, Inc. New York,
1994
4.McNamara, Carter, Field Guide to Leadership and Supervision for Non-Profit Staff, Authenticity
Consulting, LLC, Minneapolis, Minnesota, 2000
5. Borowski, Al, Speaking Tips: Building Rapport, accessed on July 21, 2007
http://www.allbusiness.com/services/business-services-advertising/4244921-1.html
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2.14 Motivation
There are numerous ways to approach motivation. In Part I some of the basics of motivation were
discussed. They include Maslow‘s Hierarchy of Needs and Herzberg‘s Theory of Motivation. These ideas
can help you understand what motivation really is and what it is not. In this chapter, however, we will
present some straight forward leadership behaviors that can ―motivate.‖
In order for us to discuss this topic, we must have a commonly agreed upon definition. Motivation is not
something we, as supervisors, do to people. We will talk about ―motivating‖ others, but in reality leaders
only create the environment or atmosphere in which people become motivated. Therefore, when we talk
about leaders ―motivating‖ others that is what we mean. Supervisors actually influence people by
recognizing what their needs are and what gets them excited and energized to do certain things. To
influence someone‘s motivation, you must get them to willingly do what you know needs to be done. In
the final analysis, they must want to do it and actually behave in a way that will accomplish the desired
goal. Motivation is not a matter of attitude. It is a matter of behavior.
Having said this, we continue to talk about how leaders ―motivate‖ their people. We know that this is not
technically correct, but we still discuss motivational techniques of the leader. Supervisors communicate,
influence, create an environment and set the example. Those techniques or behaviors are the subject of
this chapter.
Marsha: Jim, I finally have a success story to share with you.
Jim: Great, Marsha. Let‘s have it.
Marsha: I remember what you said about benefits, good wages, and a fair and honest supervisor being
the reasons people come to work here. They expect those things when they accept the job. So, I have been
focusing my motivational efforts on things I can influence. I try to learn what each person wants and
needs from our work situation and then help them get it.
At first, Bob was a real puzzle to me. He has a great personality. Everyone likes him, and he is always
first to help organize the department picnics. But his productivity was barely satisfactory, even though he
has plenty of experience.
Jim: Interesting. You‘re telling me he has a great attitude, but his performance was sub-standard.
Marsha: Exactly. It took me a while, but I finally realized that he had most of his work done before lunch
and was bored to tears the rest of the day. Apparently, the old supervisor was okay with that.
Jim: Well, what did you do?
Marsha: After getting to know him a little better, I found that he is really good with computers and is a
good organizer. Last winter, he organized a Very successful ski trip for a bunch of our people. So, I had a
long talk with him and let him tell me about his interests. We actually ended up creating a new job for
him. He is organizing our software continuity program. In addition to his current duties, he‘ll basically be
our internal software specialist. It‘s something we need and he was eager to do it.
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I told him it was important that he set a high standard at his current duties in order to have credibility at
his new responsibilities. His performance at his regular duties has really picked up He is now one of my
top performers.
Jim: That is quite a success story. What have you learned as a supervisor?
Marsha: Well, first, it reinforced what you told me about attitude not being the same as motivation.
Beyond that, I realized that the key to motivation is to know the person and what he needs in order to feel
good about himself. Bob was bored and felt wasted. Now, he has a challenge. It‗s different for everybody.
Jim: I love it. Next you‘ll be teaching motivation to your peers.
Marsha: You never can tell. That might be what ―motivates‖ me.
Consider motivation in light of the four leadership approaches in the Situational Leadership Model.
Telling, Coaching, Participating and Delegating are each selected for use in a particular situation. This
acknowledges that there is a fundamental difference in the task maturity of each employee. If that is the
case, does it not stand to reason that each employee would also be motivated differently? In the dialog
above, how would you classify Bob‘s state of maturity? Awareness of this difference is a significant piece
of information for every supervisor. In order to understand how to motivate, you must know the person
and the situation. What motivates the new employee to learn the basics may not be the same thing that
motivates the more mature employee to accept and accomplish a complex task.
In the arena of motivation, your task as a supervisor is to identify the needs of an individual (or even a
group) and influence that person (or group) to believe that certain actions will satisfy those needs, and get
that person to take those actions.
How to Motivate
As a supervisor it is critical that you understand what does not motivate. In Part I we list the things that
many people mistake for motivators. These include benefits, salary, job security and working conditions.
These are the things that influence a person to take a job, but they do not motivate a person to perform
well in that job.
Most of the things that induce the employee to improve performance are things you, the supervisor, can
influence. Achievement, recognition, personal growth, increased responsibility, advancement, and interest
in the work itself can all be influenced by the supervisor and they can all be used to ―motivate‖
employees. To repeat, by motivate we mean influence them to accomplish things that you (in concert with
the organization) believe need to be done. How do you go about doing this?
Create a Positive Work Environment
Have you ever worked for someone who was unfriendly, critical and always seemed to have a negative
attitude? Have you seen situations where the employees simply did not respect the boss, and usually were
critical of her decisions? People in this situation rarely perform at their best. They watch the clock and
rarely volunteer. Their opinions are never requested and so they never get a chance to demonstrate their
creativity or initiative. Even if benefits, salary and job security are all excellent, people in this situation
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are usually on the lookout for a ―better‖ opportunity, or else they simply are content to coast. This is the
profile of a negative work environment. If this describes your situation, you have work to do.
On the other hand, if the boss shows interest in her employees, asks for their opinions and seems to have a
perpetually positive attitude, the environment will promote high performance. In these situations, the
employees like coming to work. They feel more of a team spirit and a sense of pride in team
accomplishments. The supervisor is a mentor and a guide, not an ogre. This environment promotes highly
motivated employees.
How does a supervisor establish a positive work environment? 1
Establish clear expectations. Many times people proceed on incorrect assumptions. It is up to you to
ensure that what you expect is clearly understood. Do not assume. Describe the outcomes you are looking
for and be certain there is no doubt about them. To ensure this, ask the person to summarize your
guidance. Be certain that specific goals and deadlines are set. If the project is ongoing be sure to program
in-progress-reviews.
Show interest and be accessible. Remember MBWA (Managing By Walking Around). Ask them how the
task or project is going. Call your team members by name and make solid eye contact. Many years ago,
Dale Carnegie said that a person‘s name is sweet music to his ears. When work is on track be certain to
render a smile and an enthusiastic complement. If the work is not progressing too well, ask for his opinion
as to how it might be improved. Ask what you can do to provide support. Only after getting his input and
observations should you offer your suggestions for improving the situation.
Create an encouraging environment. Creativity and innovation are encouraged when the leader recognizes
that new ideas come with risk. If employees are criticized and censured for honest failure, they will stop
trying to improve things. You can let them know that you value suggestions and new ideas. Maintain your
sense of humor and try to make the work place a fun place. Even ideas and efforts that do not work can be
appreciated. The work environment is very closely related to your personal outlook on life and on your
team. Thank people for their efforts and reward success publicly. Balance individual success and praise
with recognition of team accomplishment.
Recognize and reward good performance. Remember what really motivates: achievement, recognition,
personal growth, increased responsibility, advancement, and interest in the work itself. Garrett Coan, in
his article, How to Create a Positive Work Atmosphere, mentions several ways to do these things. Even
small successes can and should be complimented. Say, ―Thank you.‖ Use the thumbs-up gesture. Make
recognition public when possible and appropriate. Use a company or departmental newsletter, bulletin
board, or a ―broadcast‖ e-mail to all employees. Write letters of thanks and appreciation. Place them in
personnel files. Recommend deserving individuals for promotion. These are only a few ways to recognize
and reward good performance. Be creative.
Coan goes on to outline the following guidelines for recognition.
―1. Describe the results you are recognizing. Be specific. It‘s important to make certain the
employee knows what behavior or accomplishment you are referring to.
2. State your personal appreciation. Say, ―I appreciate it.‖ Adding your personal
appreciation makes the compliment feel more genuine.
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3. Encourage the person to continue producing such good work. This increases the chances
that the person will repeat the desirable behavior.‖
The supervisor is the key to building a positive work environment. It all begins with your attitude toward
your people.
Keep Communications Open
Good communication is at the heart of every relationship. Whether it is between two individuals or
between members of a team, or the supervisor and members of the team, open communications is a
critical part of the work environment. Improved motivation comes with open communications.
An entire chapter has been dedicated to communications. Let‘s quickly outline some major points.
Think before you speak. When you do speak, begin with something positive that will maintain or enhance
the person‘s self-esteem. What is it you want to convey? Get that clearly in mind before you say anything.
To do this, you may want to ask some questions. ―What happened?‖ ―How do you see it?‖
Listen, listen, and listen. You have one mouth and two ears; it may wise to listen twice as much as you
speak. After you have listened, summarize the other person‘s comments to ensure you understand. If
necessary, ask for clarification.
Pay attention to non-verbals. This is true for you and the person with whom you are communicating.
While you are listening, watch. Is the person taking a defensive stance with arms folded and legs apart?
While you are speaking, does she maintain eye contact or are her eyes wondering? As for you, have you
made good eye contact? Should this be a public or a private conversation? Are you raising your voice? Is
that appropriate? Is your tone condescending? Pay attention to these matters, because they matter.
Be proficient at speaking to groups. As a supervisor you are to be an encourager. Learn to speak

effectively to a group. Whether it is a formal presentation or an informal pep talk, remember to have an
introduction, body (main points), and conclusion. Be organized. Do not bore the group. Use short, easy-
to-understand sentences. Speak clearly and with enthusiasm.
Ask for feedback and opinions. You set the tone for communications in your team. They must know that,
in certain situations, you want their input. Learn how to ask for feedback and how to deal with it. Do the
Johari exercise. Learn the rules for giving and receiving feedback. Do not castigate a team member for
being honest. Thank her for her input.
Provide Opportunities for Advancement
Advancement can be a tricky commodity. Know just how much you can influence, but remember that
your recommendation needs to be a powerful and sincere one. When you do make a recommendation for
advancement, ensure that it is based on observable performance. If possible, the person‘s successes that
have merited advancement should be recorded and available in the person‘s personnel file.
Depending on the person in question, advancement may take the form of increased responsibility. Be sure
you understand the personal goals and expectations of each member of your team. Those who thrive on
increased responsibility should be coached and mentored.
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Occasionally, a promotion for one of your team members may mean a loss for you and the team. The
personal growth and development of each team member is a matter of pride for both the leader and team.
Think of the benefits of leading a team known as a springboard for future leaders. The most energetic and
driven individuals will seek opportunities to join you. Individual motivation and esprit will soar.
Recognize and Reward
This is discussed in some detail above as it pertains to establishing a positive work environment. It is
important, however, to note that recognition and reward are powerful tools in your motivational tool kit.
Each individual is different and may have different ―buttons‖ that encourage and influence them to strive
for higher performance. It is your task to know each team member and what motivates him. Once this has
been done, you can develop a specific plan focusing on recognition and reward.
It is not unusual for supervisors to become so involved in day-to-day activities and putting out brushfires
that recognition becomes an after thought. To preclude this from happening, develop a specific list of
ways you can recognize and reward your people. These can range from buying the person a bottle of coke
or a cup of coffee, to recommendation as ―Employee of the Year.‖ You are limited only by your own
creativity.
Next, plan a way to seek out and reward success. Make it part of your modus operandi. Note it on your
calendar and make it an important event. People respond well to being appreciated.
Encourage Teamwork
Motivation is very much an individual thing; however, being part of a ―winning team‖ can also provide an
important aspect of motivation. Even the largest and most complex task seems somehow more achievable
when you know you have a supportive team behind you. It is not only misery that likes company. Success
thrives amidst the comradeship of a team that has achieved a sense of unity and purpose.
The effectiveness of a team comes from the understanding that each member brings different talents and
abilities to the mission. Ensure that members of your team are aware of each other‘s expertise. Dana may
not be an expert on cost accounting, but she knows she can turn to George who is really comfortable with
it. It is encouraging and highly motivating to know that you are not alone, and that you have comrades to
whom you can turn for assistance. Be certain that all members of the team are aware of various tasks and
projects, and encourage them to offer their assistance if it is needed. Likewise, drive home the point that
there is nothing negative about asking for support.
The values, needs and goals of your team should coincide with those of your organization. In other words,
team members must feel a sense of motivation to do things that correspond with organizational goals.
This will be best accomplished if your team is completely aware of organizational goals and plans.
Make team meetings positive experiences. Recognize team success and encourage mutual support. Show
members how their efforts fit into the big picture.
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Conclusion
Job performance is comprised of ability and motivation. Both are needed and both need to be maximized
in order to achieve the highest levels of performance. Ability is a matter of education, training and staff
development, as well as inherent employee talent and intelligence. Usually, when you as supervisor
believe that the employee has the necessary ability but performance remains low, the issue is one of
motivation. Well motivated employees are going to be more productive and better team members.
There is little doubt that learning to motivate your employees is critical to your success as a leader. Above
we have listed some techniques you can use to motivate your team members. Keep in mind that there are
several basic strategies or approaches you can use. Some of them may be combined.
Learn to be an accomplished listener.

Think in terms of ―what this person needs.‖
Remember that positive reinforcement is more effective than punishment.
Each person and each situation is different.
Align personal goals with organizational goals.
Make recognition and rewards an important part of your leadership approach.
Be creative. There is no limit to how you can motivate.
What motivates people is usually something you the supervisor can control. Don‘t get sucked in to
believing that salary and benefits motivate. Probably the most important increment in effective motivation
is your attitude toward your people. Think about them; what they need as well as what excites and
energizes them. People want to feel good about what they are doing. They want challenge, advancement
and recognition. They want to know what is expected of them. You can influence these things.
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1. Coan, Garrett. "How to Create a Positive Work Atmosphere." EzineArticles 20 January 2005. 06
August 2007 <http://ezinearticles.com/?How-to-Create-a-Positive-Work-Atmosphere&id=10536>.
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NOTES
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2.15 Customer Service
Everyone talks about customer service, but few understand it and do it well. It is easy to include a
powerful commitment to customer service in a statement of organizational strategy, but it is not so easy to
make satisfying the customer a daily focus. Customer service is simply a matter of how well an
organization meets or exceeds customer expectations. Success at this demands that we know our
customers, and beyond that, it demands that we build a relationship with them.
The business or service organization that is not improving will atrophy and die. The key to improvement
is the customer. Who is your customer? What does your customer want? How does an organization
develop a culture in which customer service is a daily focus? How do you know that your customer is
pleased with her most recent interaction with your organization? These are some of the things we will
discuss in this chapter.
Let‘s begin by comparing two organizations that do basically the same thing.
Company B
In this company there is an emphasis on making the numbers. There is no effort to know the customers on
a personal basis. Each transaction is executed with precision and by-the-book. A checklist has been
printed to insure that each customer knows the process. Personnel are quick to point out when a customer
violates the procedure. An automated voice mail system is designed to handle most of the telephone
inquiries. Other customer inquiries are addressed within the five day period established by management.
Service is cold, impersonal and conforms to the rules and procedures. One customer is pretty much like
another.
Company A
Each customer is welcomed and recognized as a valued asset to the organization. Smiles abound.
Customers are greeted by name and every effort is made to minimize waiting time. When lines get too
long, managers step in and help move the process along. When a contact person does not have an answer,
she escorts the customer to someone who has the needed expertise. Inquiries are handled in person and
usually within 24 hours. Phones are answered on the second ring by live people who greet the customer
with warmth and sincere interest.
Which company would you rather do business with?
We have been tracking the development and growth of Marsha, a supervisor. She is learning about
customer service and making good progress. Her mentor, Jim, has been coaching her.
Marsha: Jim, we had a workshop on Customer Service two weeks ago and it has really helped.
Jim: I am glad to hear that, but I am a little surprised, too. Didn‘t we talk about internal customer some
time back?
Marsha: (With a bit of a frown.) Yes, and I guess I was all wet about that.
Jim: How do you mean?
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Marsha: Well, you tried to convince me that I have customers right here in our organization, and I had it
in my head that only people outside the organization are really customers. (Jim starts to respond, but
Marsha raises her hand.) I know, I know. Anyone who relies on my team to get their job done is my
customer!
Jim: (With a huge smile.) Halleluiah!
Marsha: Let me tell you the rest. I have this ―internal customer,‖ the Purchasing Department, who was
always critical of how we do business. You know, constant complaints about processing time and our
requirements for accuracy. The department head, Jan Taylor, was the biggest complainer. She never had
anything positive to say, no matter how hard we tried to please her.
Jim: How long has this been going on?
Marsha: As long as I have been team supervisor. Jan has a reputation as a hard worker, but she can be
difficult.
Jim: How well do you know her?
Marsha: That‘s just the point. Although I had a passing acquaintance with her, we hardly ever interacted
in person. Everything was on paper, or through e-mail or phone conversations. But, after the workshop I
took a new tact.
Jim: What did you do that was different?
Marsha: Well, first, I recognized that she really just wants to do a good job, same as me. So, I asked her
to come over and take a tour of our operation. I think she was surprised, but she came. I showed her the
entire process and then we went into my office and had a talk. I asked her for specific suggestions on how
we might improve service to her department. She really didn‘t have much to say, but I think the face-to-
face time made a big difference.
Jim: Sounds like you are moving in the right direction. What are you going to do next?
Marsha: To tell the truth, I want to ask her to lunch and then see if I can get a tour of her operation.
Maybe if I can understand her process a little better, I will be able to improve my service to her
department.
Jim: Marsha, you have used the word ―service‖ a couple of times and that is really important. Since your
team does not have direct contact with external customers, the quality of service you provide within our
organization is the mark of your success. No one is a better judge of your effectiveness as a leader than
your customers.
Quality customer service has very little to do with what you do or the type of product or service you
provide. It has to do with how you do it. Although quality customer service means different things to
different people, there are some common themes. You may deal with 20, 50 or even 100 customers each
day, but each of them has only one interaction upon which he can judge your service. Here are seven
items that translate to quality customer service.
 Doing ordinary things extraordinarily well.

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 Going beyond what‘s expected.
 Adding value and integrity to every interaction.
 Doing your best with every customer.
 Discovering new ways to delight those you serve.
 Surprising yourself with how much you can do.
 Taking care of your customers like you would take care of a loved one.
Who is your competition and who is your customer?
The people who run a butcher shop may not consider the bakery next door to be their competition, but
they are. If I leave the bakery after a delightful five minutes of being treated like someone really special
and walk into the butcher shop only to be treated as a minor inconvenience, what will happen? I will tell
ten people that I received terrible service in the butcher shop. So, although they are in different types of
businesses, they are competitors because the customer compares the quality of service received from both.
In the future, I may go out of my way to tell others how poor the service is at the butcher shop.
Tim Connellan, author of Inside the Magic Kingdom: Seven Keys to Disney‘s Success, says, ―Your
competition is anyone the customer compares you with.‖ Are you surprised? This means that although
you may think you have a ―captive audience,‖ your level of customer service may still be compared with
that of many other organizations.
This revelation about your competition may cause you to wonder just who your customer is. Here, you
may be in for another surprise. You have both internal and external customers. Many people think only of
customers from outside their company or agency. It is not unusual for someone in the accounting
department to believe that she has no contact with customers. In fact, she has numerous customers from
within her own organization. These internal customers are critical to the success of the accounting
department. Furthermore, poor service to internal customers can sour their attitudes and impact on their
interactions with external customers.
An internal customer is ―anyone you count on or rely upon to complete a task or a function or to provide
you with information so that you can get your job done … and anyone who counts on you to complete a
task or function or to provide them with information so that they can get their job done.‖ Who do you
rely on to get your work done? Who relies on you to get their work done?
External customers are people and organizations outside your company or agency that obtain and use
products and services you provide.
Internal and external customers both require and deserve quality customer service. As a supervisor, it is
imperative that you identify who they are and ensure that your team members are impressed with their
importance to the team and the overall organization.
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Talk Is Cheap; Action Pays Off
Every employee has the ability to impact customer service for better or worse. Any organization can post
a strategy that says, “Provide superior customer service.” Making that happen requires action and a
commitment to quality customer service. This begins with defining what “superior” customer service is.
Words such as ordinary, run-of-the-mill, common, and average do not define superior customer service.
What words come to mind when you think of “the best customer service”? How about, outstanding, above
and beyond, way more than expected, better than my wildest dreams. Customers expect quality product
and service and complete fulfillment of their expectations. In fact, the very best customer service is that
which anticipates and goes beyond what the customer expects. What organizations come to mind when
you think about superior customer service? A few might be FedEx, Nordstrom, L.L. Bean, Disney and
Ritz Carlton. These organizations go above and beyond. They realize that without a completely satisfied
customer, they have failed. Care and special attention is given to both internal and external customers.
Therefore, they have made quality customer service the focal point of what they do, day-in and day-out.
Making the strategy a reality begins with understanding what comprises great service. One way to
understand it is by dividing great customer service into four elements: Customer Focus, Information
Technology, Business Processes, and Behavior. Each is important, but one may tend to over shadow the
rest.
Customer Focus. This element recognizes who the customer is and how important he is to the
organization. The importance of the internal customer must not be overlooked. It is essential that
customer service be more than a slogan but rather a way of life; a daily emphasis that is never taken for
granted. Going the extra mile is expected.
Information Technology. It has been said that our world has become digitized. Technology is here to
make life easier and to make our organizations more efficient. Information technology can, however, be a
two edged sword. When it improves efficiency while frustrating customers and leaving them feeling
ignored, it negatively impacts the organization. Information technology must be used to the customer’s
advantage and to help us become better at providing great customer service. This wonderful resource can
be used to maintain detailed information needed to personalize customer service. Further, it can be used to
retain and organize data to measure customer satisfaction.
Business Processes. Quality products and services are the result of well designed and executed processes.
However, they can be an asset or a liability in the achievement of great customer service. When these
processes are designed without concern for the customer they can over-power the all important customer
focus. Each business process whether it is billing, or shipping or gathering information, should be
developed with customer service in mind.
Behavior. This element can not be over-emphasized. It pertains to a special and often delicate interaction
between human beings. It is the single element that the customer will remember above all others. The
person interacting with the customer should reflect patience, understanding, empathy, respect, concern
and a sincere desire to make the customer’s experience a pleasant and satisfying one. This element can
make or break a customer service opportunity.
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In order to make quality customer service more than a motto or a few lines in a strategy statement, we
must understand these four elements and ensure that they are constantly approached with the customer in
mind. We must turn our intentions into actions.
It is a noble cause to emphasize quality customer service and include it in your organizational strategy.
When this is done, however, the organization is establishing expectations for both customers and
employees. You are establishing expectations about a level of service. If they are not met, the
organization risks disappointment and frustration. Therefore, it is essential for your statement to be clearly
defined, easily understood, and measurable.
What is ―superior‖ customer service? How is that measured? If there is an expectation for providing
timely responses, what does timely mean? Is it one hour or two days? The word timely can easily be
misused by the employee to reinforce a lethargic response. Goals in customer service should be clearly
defined for the customer‘s benefit as well as for that of the organization.
Customer Service is Just Common Sense. Not hardly!

It has been said, ―Everything I need to know about customer service I learned in Kindergarten.‖ The
implication is that customer service is simply good manners and courtesy, and therefore everyone should
already be doing it. Unfortunately, this is not the case. Customer service is being provided in your
organization and in just about every organization across the continent. The important question is this:
What is the quality of that customer service?
Because it is really more than common sense, we will highlight five methods that have been used by well-
known companies to make quality customer service a way of life. Periodically, we will use examples from
Disney, Nordstrom and Ritz Carlton Hotels.
Daily Focus. Begin each day with a reminder to each employee about the importance of extraordinary
customer service. It does not happen by accident. It takes commitment, discipline and practice.
Commitment means that it is not just a ―flash in the pan.‖ It is important every day. Discipline implies
that someone has the responsibility to ensure that it is not forgotten and that it gets the attention it
deserves. Practice is putting it to use. ―Use it or lose it.‖ Disney, The Ritz and Nordstrom all focus on
customer service by involving everyone and making it part of a daily ritual. They recognize that
outstanding customer service is something you do with a customer, not to a customer. Every employee is
encouraged to go the extra mile.
Rope Drop. Successful customer service organizations are very aware that it is often that first few
moments of exposure to you and the organization that will set the tone for the entire customer experience.
We all know that first impressions count!
Picture first thing in the morning at Disney. Thousands of people crowded together to begin their day of
fun. This could be a potential nightmare of crowding, falling, and confusion. Recognizing this, Disney has
proactively identified a potentially frustrating or even hazardous event and turned it into a public relations
activity. Metal barriers were replaced with ropes for guest safety, hence the ―Rope Drop.‖ They enlist
employees to generate conversations and give tips to guests to ensure an enjoyable day. Several children
are selected to come to the front on the line, and they are announced as ―Disney Ambassadors‖ of the
park. They lead the official opening walk into the park and no one is allowed to ―rush‖ in front of them.
This reduces confusion and chances of injury.
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Now, translate this to your organization. How about that first impression? What can you do to make it a
totally positive and memorable one?
Little Stuff. Little stuff counts. It is often the perceived difference in service that makes a happy customer.
This is where customer focus and behavior are so important. Small things can say to the customer, ―You
are important.‖ For example, at the Ritz employees do not say, ―You are Welcome;‖ they say, ―My
pleasure.‖ A subtle but important difference.
How do you feel in a restaurant when you ask for something and the server says, ―No problem.‖ Well, of
course, it should not be a problem. The server is there to attend to your needs. No problem? What
message is this sending to the customer?
How is the phone answered in your office? Can you ―hear the smile‖ or is the caller made to feel as
though his call is an inconvenience? Call your own office to check. Are people placed on hold?
Do you give directions, or do you help the customer find her way?
Get the Show Ready. As with many endeavors, successful customer service is often ensured by the
preparations one makes before hand. This may include training and rehearsing. Certain customer service
issues can be anticipated. Response to these can be rehearsed and even roll-played. Setting the sage is also
vitally important. At Disney, for example, one never sees Cinderella smoking. Why? Does she smoke at
all? She may, but never in front of the public. It would tarnish her image. Likewise, employees can be
trained never to disagree or argue in front of a customer.
Service Recovery. It is easier to retain a current customer than to find a new one. No matter how hard we
try or prepare, mistakes will be made. There will be customer complaints. Often the true mark of quality
customer service is reflected by how well we deal with these challenges. General guidance is: Don‘t get
defensive, and don‘t begin with an excuse. Here is a suggested method for addressing customer
complaints.
 Attempt to understand the problem.

 Identify the cause.
 Through discussion, gather information.
 Solve the problem. Fess up if necessary.
 Gain assurance that the problem is solved.
It Won’t Work Here!

Improving customer service begins with you. As a supervisor, you set the example. If you do not believe
it and emphasize it, there will be no change. Here are five typical reasons given that ―it won‘t work here.‖
If you choose to believe them, there will be no change in your team.
―This won‘t work in our type organization.‖ It‘s not-for-profit. It‘s government. It‘s manufacturing. It‘s in
an unconventional industry. Almost every organization has internal and external customers. They are both
important and they can both be influenced by thoughtful use of customer focus, information technology,
business processes, and behavior. Go to the Internet and you will find hundreds of articles and books
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describing how emphasis on improving customer service has had a positive impact on all kinds of
organizations.
―We‘re not a hotel or amusement park.‖ The examples of The Ritz, Disney and Nordstrom show that the
kind of organization may vary greatly. There are numerous other examples of diverse industries where
these approaches have worked. The principles of quality customer service can be applied in your
organization.
―I can but the rest of my office won‘t.‖ You are a leader. It begins with you. If you do nothing but set the
example, you will have done something. However, you can emphasize customer service every day as you
―manage by walking around.‖ You can recognize and reward those who have successful interactions with
customers. You set the stage by ensuring your people have identified all their customers and are aware of
just how important they are to the team and the organization.
―It has to be from the top down to work.‖ There is no doubt that top down emphasis is important for the
success of any organizational endeavor. On the other hand, the powerful influence of the grassroots leader
should never be underestimated. Rare is the strategy that can succeed without the support and active
participation of the front-line supervisor.
―It‘s the flavor of the month!‖ It is true that fads come and go, but the customer remains! No initiative can
be more powerful in any organization than a renewed emphasis on quality customer service.
If you can agree that these initial statements are shallow and incorrect, you can have a positive impact on
customer service. As a supervisor, you can take an active role in creating a positive customer service
environment.
Sins of Internal Customer Service

Unfortunately, the internal customer is often neglected or treated poorly. The importance of these
customers cannot be over-emphasized. Often, the behaviors of a team or section toward internal
customers are a reflection of the attitude of the supervisor. Karl Albrecht, a successful entrepreneur, has
developed a list of seven behaviors that have a negative impact on internal customer service. Each of
these can make the internal customer feel unappreciated and unimportant to those who provide services
within the organization. The Seven Sins of Internal Customer Service are outlined below.
1. The Black Hole. The servicing department treats the internal customer as though it does not exist.
Requests are made and paperwork is submitted, but nothing comes of it. Requests for information or
assistance are made, but no response is forthcoming. Therefore, the customer sees this department as
unresponsive, apathetic and lost in its own little world.
2. The Bounce Back. This department has developed an attitude. It enjoys rejecting requests on
technicalities. The form was incorrectly completed and not in sufficient copies. Customers often view this
as ―the brush off.‖ This department is seen as attempting to increase its importance through nitpicking.
There is much activity, but nothing gets done.
3. The Edict. Here, a sense of power is demonstrated when a section or department makes declarations
about the parameters of its responsibilities. ―The department will do this, under these (and only these)
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circumstances, and it will not do this … effective immediately!‖ This is a way of creating a ―them versus
us‖ or win/lose situation. Getting the job done is not nearly as important as asserting authority.
4. The Gotcha. The ―Gotcha‖ department justifies its own existence by denigrating others. It gets carried
away with enforcing proper procedures. They seem to take a sadistic pleasure in catching people in other
departments making mistakes or violating rules. Granted, there is a valid reason to enforce certain
procedures and rules. At issue here is not what they do, but the how they do it. Customers view this as
condescending.
5. No-ism. This is demonstrated by a strange delight in saying ―No.‖ Instead of seeking ways to help other
departments achieve their goals, they take the opposite tact. What reasons can be found to de-rail another
department‘s efforts? This is clearly a matter of attitude.
6. The Paper Mill. This department has a form for everything. It buries you in paperwork with a special
form for every need. Face-to-face or telephone communications are never ―official.‖ This may come from
an over emphasis on bureaucracy or a desire to have a valid paper trail. The process has become more
important than the outcome. When the question ―Why?‖ is asked, the answer is often, ―Because this is the
way it has always been done.‖ Customers see this ―by the book‖ approach as an obstacle to success.
7. Turfism. Once again, the ―them versus us‖ ethic rears its ugly head. This department has a jealous
preoccupation with its responsibilities. Rather than seeing the entire organization as one large team, it sees
others as competitors. While some competition is healthy, turfism is unhealthy to the overall organization
and can become a major obstacle to customer service.
Any one of these sins that impacts on the internal customer can easily extend to external customers.
Departments that demonstrate these traits are self-centered and lack a ―big picture‖ philosophy that
recognizes an organization that is focused on the customer. The insecure leader can easily fall victim to
this negative kind of thinking.
If you are not serving the customer directly, you are serving someone who is. Good internal customer
service results in good external customer service.
What Customers Want

Take a moment to put yourself in your customer‘s shoes. When someone is providing a service or a
product for you, what are your expectations? You may be surprised to find that those expectations are not
unreasonable. Whether you are an internal or external customer you simply want a quality product in a
timely manner presented with dignity, respect and a little common courtesy. As a supervisor, you may
want to break these expectations into four simple groups to facilitate understanding and teaching them to
your team members. These groups are Good People, Good Offering, Convenience, and Good
Environment. Let‘s discuss each one.
Good People. Your customer wants to deal with someone who is knowledgeable. That means a person
who is technically and practically familiar with your offering and who can answer questions with
confidence. Your customer also wants to interact with someone who is friendly, empathetic, trustworthy,
and responsible. Your representative should believe that the customer is important and worthy of his time
and consideration. This should be someone that you as a supervisor trust and have faith in to act in the
customer‘s best interest. What is best for the customer will ultimately be best for your organization.
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Good Offering. Whatever you provide should be of the highest quality and available when needed by the
customer. If it is a service, remember that the customer has the final say on its quality. Delivery or
availability should be based on the customer‘s needs or projected needs. If your product or service needs
tweaking or modification to suit the customer‘s needs, then do your best to attend to that requirement.
Above all, be honest and forthright about what you can and cannot deliver.
Convenience. Years ago, banks were open from 9:00 a.m. until 3:00 p.m. This was convenient for the
bank, but not for the person who worked from 8:00 to 5:00. Today, banking hours are flexible and many
are open until 8:00 p.m. Convenience is determined by the customer‘s situation, not by what is convenient
for your organization. The customer expects fast, efficient service without long waits or being put on
hold. If a special situation arises, the customer has the right to expect that you will modify your schedule
and procedure to comply with her needs. The essence of customer service is embodied in the slogan,
―Have it your way!‖
Good Environment. Ernest Hemingway once wrote a short story entitled, A Clean, Well Lighted Place.
Certainly, your customer has a right to expect that as a minimum. Although you may consider your work
area to be ―organized chaos,‖ it sends the wrong message to your customers. They expect a clean, well-
lighted place that is well organized and professional looking. It should not be a frantic place that seems
out of control. The customer should feel comfortable and impressed by your good order.
These four groups are a convenient way for you to understand customers better. How might you add to or
modify them in order to relate more specifically to your organization and type of business? Consider how
you can influence each of these areas to meet customer expectations? First, remember that you set the
example within your team. Your attitude toward customers sets the standard for your people. As you
review your organizational strategy or long range plan, think of ways you might adapt the four groupings
to specific goals.
Measuring Methods. In order to improve our customer service, it is essential to measure it. Measuring can
help us understand what we need to do to improve customer service. How was it before, and how has it
changed? Has what we have done been effective?
There are several methods and many tools for measuring customer service. Each can be discussed in
detail, but for our purposes, let‘s just list them and briefly explain each.
 Impromptu Method. This method is rather subjective, but can be very effective. It is simply talking
with customers and getting feedback from them. It is most effective when data is collected and stored
for analysis. If every person who interacts with a customer asks the same questions and records the
answers, a snap-shot of customer satisfaction can be developed.
 Surveys and Questionnaires. These can be very useful and there are dozens of firms willing to help
develop, administer and analyze them. Often, they are administered to a sampling of customers.
 Surveys may include questions such as: Was the staff courteous and helpful? Did the product or
service meet your expectations? The wording of the questions correlates to the response choices.
Responses use scales such as Strongly Agree, Agree, Neutral, Disagree, Strongly Disagree.
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 Questionnaires are usually less formal and may be randomly provided to customers. Whether surveys
or questionnaires are used, it is essential to have a method or procedure for collecting, correlating and
analyzing the responses.
 Interviews. These can be formal or informal, open-ended or structured. They tend to be more
subjective, but can provide excellent insight.
 Analysis and Reporting. These methods usually use data that is normally collected during customer
interactions. For example, the number of interactions with a particular customer over a specific period
compared with an earlier similar period. The number of customer complaints or requests for assistance
are often collected and analyzed.
Organizations that take customer service seriously usually have a well thought out method for measuring
customer satisfaction. Whether or not this is the case in your organization, as a supervisor, you can train
your team members to apply impromptu methods as well as using the occasional interview.
Taking Action for Customer Service

Understanding your customer and the obstacles to great customer service are only the first steps to
improved customer satisfaction. You need to translate that knowledge into action. What are the actions
and behaviors that lead to great customer service? In this section, you will be given specific objectives
and techniques to help you build an action plan for improving customer service. In the same sense that he
map is not the territory, the plan is not the action. It is only a guide to action. Its execution will require
commitment and energy from you and your team.
There are numerous approaches to building such a plan. We have chosen to present three major actions
that will combine to create a workable program to improve customer service. 1) Partner. Build a
relationship with your customers. 2) Respond. Establish an atmosphere and attitude that is thoroughly
responsive to customer needs and expectations. 3) Anticipate. Put yourself in your customers place and
think of what they will want in the future. The goal of this action plan is for you to incorporate these
things into the way you do business.
Partner. The term ―partner‖ implies a mutual understanding and a sense of moving forward together.
There need to be mutual goals, collaboration and accountability. Problems are addressed together and
jointly resolved. The ―them versus us‖ philosophy is replaced by the ―we‖ approach. Open and honest
communication is at the heart of any partnership. Incorporate specific actions to accomplish this
partnership in your action plan.
 Understand your customer‘s mission. In order for you to truly provide great customer service, you will
need to put yourself in the customer‘s place. This comes from developing a relationship based on a
sincere desire to know what success looks like for them.
 Know your customer‘s expectations. Ask the tough questions. ―In a perfect world, what would our
service look like to you?‖ Do you understand the customer‘s specifications and time limitations? How
might poor quality product or service impact on your customer?
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 Know your customer‘s process. It is essential for you to know how you contribute to the process.
What does the customer‘s end product look like and how does your contribution impact? This insight
can provide much needed empathy for the customer‘s situation.
 Know your process. In order to provide the best in product or service, you must have a thorough
knowledge of how you produce what your customer needs. Here, the old maxim ―know thyself‖
makes supreme sense. If you want to provide the best to your customer, you must understand the
forces which impact on your own internal process.
 Take time to meet customers in person. There is no substitute for a face-to-face relationship. It can be
an important element in developing better communications and a more relaxed sharing of
expectations.
 Respond. Energetic, prompt and thorough responsiveness to customer requests send a message of
sincere commitment. One of the basic tenets of great customer service is to value your customer. How
you respond to the needs and requests of your customers will transmit the depth of your sincerity. If
you truly value your customer you will demonstrate genuine responsiveness.
 Don‘t start with ―No.‖ One of the Seven Sins is ―No-ism.‖ Share with your people a variety of ways to
open a productive discussion without using the word ―no.‖ By extension, try not to appear negative.
Think of ways the problem can be solved. Of course, there will be times when the answer has to be
―no.‖ Rather than starting with a negative, start your response with what you can do.
 Paraphrase and clarify understanding. Ask open ended questions and listen closely to the answer. Seek
clarification. This sends the message that you are truly interested. Ask for correction if your
paraphrase of the customer concern is incorrect.
 Explore all the options. Don‘t limit yourself or your customer, and don‘t peremptorily reject
suggestions. Ask the customer to suggest options. Combine more than one option if appropriate. If
you don‘t understand an option, ask, ―How would that work?‖ Remember, it‘s a partnership.
 Return phone calls and e-mails promptly, even if it is just to acknowledge receipt. This is a simple
sign of respect. Set aside time each day to return calls and respond to e-mails. People appreciate your
effort even if it is only a note to say, ―I‘ll get back to you later.‖ The longer you postpone a response
that more difficult it becomes.
Anticipate. This is the mark of the consummate customer service provider. The partnership has been
developed. You have proven your responsiveness. Now, you are truly putting yourself in your customer‘s
shoes. Ask yourself, ―If I were the customer, what would be the frosting on the cake? What would go
above and beyond my expectations?‖
Anticipate your customer‘s needs. As you understand your customer better, you can begin to project
future needs.
Be prepared and on time. Never miss a deadline. Never assume.
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Project customer needs for the coming year based on historical trends. This requires using the
information technology discussed above. What are the trends in recent quarters and in recent
years? What does the customer‘s market look like?
Assess risks, analyze risks, manage them and be prepared for any eventualities. Consider the system
in which your customer operates. What factors influence it? Are there community or government
regulations that may impact? Project these to determine how they will affect your ability to service
the customer.
Fulfill your customer‘s requirements and aim to exceed expectations. If you were the customer, what
extra element of quality would impress you? Quantity is not always the answer. How can you
make the customer‘s life easier? Meanwhile, never skimp. Always provide the highest quality in
line with your customer‘s expectations.
Handling Difficult Customers

Most customers are easy to please. They have the same basic desire to do a good job and achieve
reasonable goals. There are always a few, however, that are more difficult to please than the rest. These
present a challenge to us all. The truly difficult customer can be a thorn in the side. There is always the
danger that our response will be guided by defensiveness and emotion. Of course, this is the one thing we
must guard against. Regardless of how a customer might act, we have the responsibility to make the most
of a poor situation.
Often there is an underlying cause to explain why a particular customer is so difficult. It may have to do
with past experiences or a basic personality issue. The challenge for us is to address that customer
unemotionally trying to find a way to solve the problem or the perception of a problem to satisfy the
customer. This will not always be possible, but when we are successful in turning around the difficult
customer we have done a true service to ourselves, our team and the greater organization.
We are going to present ten types of difficult people. Not every difficult customer will fall into one of
these groups, but most will. As we discuss them, try to think of difficult customers you have had to deal
with in the past. Keep in mind the standard advice given to people engaged in human relations; ―You can
catch more flies with honey than you can with vinegar.‖ Above all, maintain high standards of
performance and remember that your goal is to create satisfied customers. Always try to find the positive
intent of the person and build on that.
Sherman Tanks. This person is pushy, abrupt and sometimes hostile. His approach is to attack and bowl
people over, forcing them to accept her way. This person usually wants to get to the point and becomes
aggravated by too much discussion or friendly chit-chat.
Positive Intent. He wants to get things done.
Basic Coping Strategy.
Hold your ground, but don‘t fight back.

Interrupt that attack by repeating her name.
Restate the problem.
State your own opinions forcefully.
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Be ready to be friendly.
Snipers. Snipers hide in the weeds (in crowds) and use jokes and sarcasm to sidetrack, humiliate and
embarrass people. They may roll their eyes to distract you and can become Sherman Tanks if exposed.
Friendly snipers use humor to get attention from the group.
Positive Intent. Get it done; get appreciated.
Surface the attack immediately.

Ask about his intent and the relevancy of the snipe.
Seek group consensus of criticism.
Solve the problem if any exists.
Resolve on-going problems in private.
Exploders. These individuals throw tantrums, usually because they feel thwarted and threatened. They
may storm out of the room or attack others verbally without explanation. They may cry or silently
enraged.
Positive Intent. Get appreciated.
Give them time to run down.

Get their attention.
Show that you take them seriously.
Reduce intensity. Take a break.
Identify and solve underlying problems.
Know-It-All-Experts. These people are usually extremely confident in their abilities; very accurate and
thorough. They tend to ignore other opinions and are quick to criticize and pick at others. They don‘t like
being contradicted.
Positive Intend. Get it done.
Be prepared and know your stuff.

Listen and acknowledge respectfully.
Present your views indirectly.
Turn them into mentors.
Think-They-Know-It-All. These people are not really experts, but they come on as though they are. They
tend to be generalists. Often, they are charismatic and enthusiastic talkers. They like to pontificate about a
subject in front of others, even though they are not experts.
Positive Intent. Get appreciated.
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Give them a little attention.

Clarify for specifics.
State facts or alternative opinions.
Allow them to save face.
Break the cycle.
Super-Agreeables. This type tries to please everyone by doing what is asked while sometimes feeling put
upon. She tends to over-commit so much that she perform poorly. She might use humor to reveal issues.
Positive Intent. Get along.
Make it safe to be honest.

Talk personally and honestly.
Help them learn to plan realistically.
Ensure commitment.
Strengthen the relationship.
Indecisives. They avoid making decisions for fear of harming a personal relationship and may hint or beat
around the bush to remain honest. This type may try to postpone decisions until they are not necessary.
Positive Intent. Get along.
Establish a comfort zone.

Surface the issues.
Help them problem solve.
Reassure, then ensure follow through.
Strengthen the relationship.
Unresponsives. These withdraw from others when they become frustrated. They appear angry and stop
talking and tend to wash their hands of a decision rather than try to understand the background and the
details of the project.
Positive Intent. Get it right.
Be prepared to wait.
Ask open-ended questions expectantly.
Avoid filing quiet pauses with talk.
Help break the tension.
Guess.
Show the future.
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Negativists. Negativists feel hopeless to enact change. They destroy morale and react strongly to problem
solving or process changes. They seem more bitter and hopeless than Complainers.
Avoid getting drawn in.

Don‘t argue.
Explore the problem before solutions.
Describe worst case situations.
Use them as a resource.
Wait for them, but be prepared to act.
Complainers. They whine and speak in generalizations about problems, and they focus on problems rather
than solutions. The Complainer believes someone else should fix the problem.
Listen for the main points.

Acknowledge, interrupt and get specific.
Don‘t agree or apologize. State facts.
Switch to problem solving.
Draw the line. How should this end?
Pulling It Together
Great customer service is not the product of words and ideas, but of action. Your action plan begins with
finding out what your customers want and outlining the specific activities necessary to partner, respond
and anticipate your customer needs. You cannot do it all by yourself. Your team should be intimately
familiar with your action plan. In fact, you can gain their support and participation more easily if you
enlist their help as the plan is developed. They can help you collect information about each customer.
Share the information in this chapter with them and discuss it. The entire team should understand the
importance of customer focus.
Set customer service goals for yourself. Facilitate the same for your team. Goals that they develop will
become ―their goals‖ not yours only. Then, gain their commitment to the action plan. Set milestones and
monitor success. Let your boss know what you are doing. This will force accountability for you and your
team. Finally, seek feedback from others regarding your success. Ask customers if they can see a
difference. Remember, the best judge of customer satisfaction is the customer.
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NOTES
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2.16 Emotional Intelligence
Marsha: Emotional Intelligence! Isn‘t that a contradiction, you know, an oxymoron? I have always heard
that intelligent people were not ruled by their emotions; that the two were opposites.
Jim: You‘re not far from the mark there, Marsha. What you have just described is the typical
contradiction that arises when emotions and intelligent reasoning collide. Emotions often get the upper
hand. Remember the last time you did something in the heat of the moment? You know, something dumb,
that you regretted later?
Marsha: That‘s just what I mean, Jim. I was acting with my emotion and not my intellect. So the term
Emotional Intelligence just doesn‘t ring true to me.
Jim: You understand the concept better than most. You just need to have a better understanding of the
term ―Emotional Intelligence.‖ What you describe is what we might call an ―immature‖ person who
allows emotion to overwhelm her intellect. We might say that person has a low level of emotional
intelligence. Now, think about the times when you initially felt really angry and wanted to strangle
somebody, or maybe you wanted to call him an idiot to his face. But you counted to ten and took a couple
of deep breaths and decided to deal with it in a more civilized and socially acceptable way. In the long
run, you were probably more successful. In that instance, you displayed a higher level of emotional
intelligence.
Marsha: (Her eyes grow wider.) So, Emotional Intelligence is really a way of looking at how well I
interact with people when my emotions could potentially make me do something unproductive. If I let my
emotions get the best of me, my emotional intelligence is low, but if I control myself, it‘s high.
Jim: Yes, Marsha, that‘s it in a nutshell. EI is all about your ability to effectively be a leader and use your
emotions in a positive way rather than letting your emotions control you. It is your ability to effectively
manage emotional connections with those around you.
IQ (Intelligence Quotient) is a protocol we use to measure and talk about a person‘s cognitive
intelligence. Your EQ is a protocol we use to measure and talk about a person‘s Emotional Intelligence
Quotient or how well they use their emotional intelligence.
Marsha: OK, Jim, now you are starting to get me a little confused. We will need to discuss this in more
detail.
In a leadership workshop, the facilitator asked her group of fifteen or twenty attendees to think about the
best boss they ever had; someone they might want to emulate as leaders. Then she asked them to make a
list of that person‘s behaviors that made that person such a good leader, and write each behavior on a little
yellow sticky-note.
After about five minutes, the facilitator produced a flipchart with two broad columns on it. The heading of
the column on the left was Task Oriented/Technical Skills. The column to the right was labeled
Relationship Oriented/People Skills. Next, the attendees were asked to post each of their behaviors on the
flipchart. They were to decide whether each behavior was essentially task-oriented or relationship-
oriented, then post it to the appropriate side of the chart.
What do you think the flipchart looked like when the posting was completed?
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Well over 90% of the little, yellow sticky notes were on the right side of the flipchart! Over 90% of the
skills that made leaders outstanding in the eyes of their subordinates were people skills. The impact of the
activity was powerful! Leaders live and die by their ability to develop relationships. Rare indeed is the
successful leader with few or no people skills. This chapter on Emotional Intelligence addresses a very
important dimension of these leadership skills.
Although Robert Thorndike (1910-1990) is primarily known for his ground breaking work on cognitive
intelligence testing, as early as the 1930‘s he was writing about the need to understand social
intelligence.1 It has been long recognized that IQ as a measure of cognitive intelligence is not a good
predictor of success in a variety of fields. Those fields which relate to guiding, managing and influencing
people require more than cognitive intellect. Why is it that some people with high IQs are mediocre as
leaders, while others with much lower IQs become highly successful leaders? Being smart is not enough.
It takes more than being smart to be a good leader.
―In 1983 Howard Gardner began to write about "multiple intelligence." Gardner proposed that
intrapersonal and interpersonal intelligences are as important as the type of intelligence typically
measured by IQ and related tests.‖ 2
By the 1990s Daniel Goleman3, a Harvard educated psychologist, became interested in the idea that IQ
alone was not a good predictor of success, especially in people-related fields. In 1995 he published his
international best selling book, Emotional Intelligence. It remained on the New York Times best seller list
for over a year and a half. He is considered by many to be the leading authority on Emotional Intelligence
and much of what we now accept as common knowledge about EI comes from Goleman‘s work. Since he
introduced the concept to the world it has become an important aspect of leadership development. Much
research and many books and articles have since been written on the subject.
Daniel Goleman defines Emotional Intelligence (EI) as ―the capacity for recognizing our own feelings and
those of others, for motivating ourselves, and for managing emotions well in ourselves and in our
relationships.‖
Is it worth your time and effort to learn how to apply EI in the workplace? It is if you want to become the
best leader you can possibly be. You will begin to understand the powerful influence of emotions in your
leadership efforts. You will understand the increasingly important concept of Emotional Intelligence
Quotient (EQ) and the difference it can make for you and those you lead. You will also find that EI skills
are identifiable and learnable. You can increase your EQ and in the process become a much better and
more successful leader.
Understanding Emotions
Stress, conflict and resistance to impending change can produce a wide variety of emotions in most of us.
Emotions are normal. From time to time we all have felt anxious, fearful, elated, content, as well as angry,
outraged and spiteful. Emotions are usually brought on by actions. Something happens or someone does
something that triggers an emotion.
Mary Jo comes to work late (Action). Bob observes this and concludes that Mary Jo is lazy
(Interpretation). Bob gets angry (Emotion) and says something unkind to Mary Jo.
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The same event can create differing emotions.
Mary Jo comes to work late (Action). Sam observes this and speculates that Mary Jo may have a personal
problem (Interpretation). Sam is sympathetic (Emotion). He goes to Mary Jo and asks if anything is
wrong and offers assistance.
Emotions impact others. They can be contagious. Bob‘s reaction to Mary Jo could create a chain of events
that results in animosity and reduced productivity. Sam‘s reaction might produce improved cooperation
and teamwork. The emotionally mature individual will think before speaking and does not react without
taking time to think about the ramifications of his response. We might say that emotions and our reactions
to them can move us toward something better or something worse. Every action has the potential to create
an emotion. That emotion can be productive or counter-productive.
A wise woman used to tell her children this. ―Feelings are natural. It is okay to feel a certain way. So
feelings are neither good nor bad. But, what you do as a result of those feelings can be right or wrong.‖
We are responsible for our actions.
If we stop and think before we react we can make better decisions. You have heard the old saying, ―He
put his foot in his mouth.‖ If each of us can learn to pause before acting and think of the various options
we might have to the situation, we will be less likely to put our feet in our mouths. This can be difficult
for some of us because of our previous dispositions. Some have learned to react immediately and
automatically. That can be very helpful in emergency situations, but uncontrolled it can lead to over-
reaction and poor decisions. Furthermore, some of us are predisposed to think pessimistically. This tends
to take a potentially bad situation and insure that it gets worse. We will talk about pessimism and
optimism later; however, there is rarely an advantage to being a pessimist.
The Brain.
It would be a shallow attempt to understand emotional intelligence without spending some time
discussing the human brain and how it handles emotions. It is not necessary for you to become a
neurologist, but it will be helpful for you to understand how the brain processes emotional input.
The neocortex is the part of the brain that processes rational thought. It is also responsible for complex
thought, and putting things in perspective. However, before external stimuli get to the neocortex they are
screened by another part of the brain called the amygdala. The amygdala which is located in the brain
stem might be called the center of your emotional mind. It manages involuntary responses and reflexes.
All incoming sensory data pass through the amygdala where it is analyzed for emotional content before it
is moved on to the neocortex. If the sensory input is powerful enough the responses of the amygdala can
override rational and reasonable responses. 4
―In an emotional emergency, the amygdala proclaims a crisis, recruiting the rest of the
brain to its urgent agenda. Goleman calls this an emotional hijacking, because it occurs so
fast that the thinking brain has no opportunity to grasp what is occurring and decide on the
best course of action. Emotional hijackings produce astonishing feats of bravery, hideous
acts of violence, and everything in between. Meanwhile the neocortex—in the prefrontal
lobes just behind the forehead—is working to control feelings in order to reappraise
situations and deal with them more effectively.‖ 4
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In short, the amygdala does the hijacking. When any input is perceived as a threat – real or imagined, the
amygdala takes over. Response to emotional input can overwhelm a more measured and thoughtful
response. We are hard-wired for fight or flight response to the threat. Our thinking and processing abilities
decrease. We have all experienced this. It is our first line of defense. It can save our lives in an
emergency, but it can also cause us to take socially unacceptable actions without thinking about the
consequences. This emotional or amygdala hijacking lasts approximately 18 minutes.
Now that we understand how and why this happens, it is our job to gain control of these immediate
responses when they are irresponsible or socially unacceptable.
Triggers.
A trigger is anything that is perceived as a threat. If you perceive that you are being attacked by a
colleague, this may trigger an emotional hijacking. If you have been humiliated or even interrupted, your
emotions may take over. Occasionally, circumstances can serve as a trigger. When you enter a meeting
and you see people there who you believe will challenge a position that you are there to defend, this can
trigger an emotion of fear and anger.
The first step to controlling your emotional response is to identify your triggers. Possible triggers: Being
interrupted in mid-sentence. Receiving criticism that seems unconstructive. Noticing a member of a group
you are addressing ―rolling her eyes.‖ Triggers can be real or imagined affronts to your sensibilities.
What are your triggers? List them and try to envision your typical response. Is it fight or flight? Fight can
be as simple as a terse remark or as obvious and powerful as a full-blown verbal assault. Sometimes flight
may be storming out of the room. It can also come in the form of becoming non-responsive and
unproductive at a meeting. You may figuratively curl up in the fetal position and remain there until the
meeting is over.
Whatever your response is, how do you think it may impact those around you? As a supervisor, you are
expected to set an example of thoughtful and intelligent response to difficult situations. Therefore, it is
important for you to recognize your triggers and think about how you might best respond. We are not
suggesting that you suppress your emotions, but rather that you find a rational and productive manner in
which you can respond to them.
Responses.
Now that you have identified potential people, events or situations that might trigger emotional hijacking,
how can you control it? Awareness is important. If you know what is about to happen or what is
happening, you are more likely to override your amygdala. Look for symptoms and be prepared to
provide a measured response. Be aware of your motives. Are they guided by emotion or by clear
thinking? Take deep breaths and restrain yourself from over-reacting. Be courteous and try not to become
defensive. Ask questions and don‘t be afraid to consider the other person‘s point of view; however, you
can stand firm on your position. When appropriate, response in a forceful but rational manner.
One technique you may want to consider is ―Pre-empting the Emotional Hijacking.‖ Emotion laden
situations can sneak up on you. The first step is to be sensitive and aware. When you are confronted by
one of these situations or a person whom you know evokes negative emotions, take a metaphysical step
backward and a take a long, deep breathe. Two or three may be even better. Step two, notice your
emotion. Consider your physical reactions. Are you getting red in the face? Is your heart racing? Are your
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fists clenched? What emotion are you experiencing? Step three, recognize what is happening to you and
name the emotion (anger, embarrassment, humiliation). Finally, Step four, turn the situation around. Make
it a win/win by deciding not to be a victim. Identify three positive things about the situation or person
who has caused this reaction in you. Remember, an emotional hijacking can take 18 minutes, so be
sensitive to lingering emotion.
You can also recognize emotional responses from others. Do not respond in kind. Be rational; ask
questions and get them to think about the facts. Most important, do not promote a win/lose situation. Seek
compromise and understanding.
Branches of EI.
In an effort to understand and study emotional intelligence Mayer and Salovey in the late 1990s
developed what they called the four branches of emotional intelligence. 5They are listed and briefly
described below to help you gain insight to the concept of emotional intelligence. What are the four
branches?
 Perceiving Emotion
 Using Emotions to Facilitate Thought
 Understanding Emotions
 Managing Emotions
Perceiving Emotion. This addresses the non-verbal reception and expression of emotion. How do human
beings recognize and express emotions. We have all been aware of such emotions as happiness, sadness,
anger and fear in people without exchanging a word of verbal communication. Your ability to accurately
read emotions in the faces, actions and tonal quality of others can be a valuable asset as you strive to
develop your emotional intelligence.
Using Emotions to Facilitate Thought. This area and the one above are equally fundamental to
understanding emotional intelligence. There is a relationship between emotion and thought. Emotion can
place emphasis on how we think and what we think about. It is important to recognize how emotion can
direct or even re-route thought. It has been suggested that some forms of creativity are influenced by
emotional input.
Understanding Emotions. Mayer and Salovey state, ―Emotions convey information. Happiness usually
indicates a desire to join with other people; anger indicates a desire to attack or harm others; fear indicates
a desire to escape, and so forth.‖ 5 Understanding these relationships can help a supervisor discern core
emotions by observing individual actions. If you observe fear in an individual, you may assess the
situation and determine that the person may feel under attack. This can help you to better deal with the
situation. This type of analysis becomes increasingly easy as one more fully understands the nature of
emotion and its results on people and situations. By extension, this awareness leads to the next branch.
Managing Emotions. For you, the supervisor, this is what it is all about. Emotions are part of who people
are and how they perform. Your increased understanding of what emotion is and how it works, will put
you in a position to exercise greater impact on morale, team building, communications and most
important, on performance. Emotions can be managed. Whether they are yours or those of members of
your team, they impact your success. When you acknowledge this and commit to understanding
emotional intelligence and managing it, you will be primed to become a better leader.
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Emotional Intelligence Quotient (EQ)
As we delve more deeply into emotional intelligence, the question arises, ―Can it be measured?‖
Organizations like to quantify things. It often helps to be able to express things in measurable terms, such
as 90% or a grade of ―A‖ rather than a ―B‖ or a ―C‖. We have accepted the Intelligence Quotient (IQ) as a
protocol for comparing levels of cognitive intelligence. An IQ of 100 is about average and one of 140 is
pretty smart. Someone with an IQ of 50 is not very smart at all. Unfortunately, EQ has not reached that
level of standardization or acceptation.
Your EQ is the degree to which you have the ability to sense, understand and use emotions to more
effectively manage yourself and then help others become aware of their emotions.
Psychologists have been measuring IQ since the early 1920s. Nonetheless, there is still discussion and
confusion as to its reliability. The definition of intelligence itself is still a matter of controversy. The
concept of EQ is much, much newer. Like cognitive intelligence, there are several definitions of
emotional intelligence, thus making it difficult to measure. There are ability based models and trait based
models. A researcher named Reuven BarOn developed a measure of Emotional-Social Intelligence (ESI).
Daniel Goleman developed the Emotional Competencies Inventory (ECI).
The ECI is based on Goleman‘s EI competencies. It uses a 360 degree, multi-rater methodology in which
an individual is rated by self, boss, direct reports, and peers. It measures 20 competencies and organizes
them into four constructs: self-awareness, social awareness, self-management, and social skills (also
called relationship management). Results are subjective, but they give the subject a start point and the
beginnings of insight to emotional intelligence.
―Emotional Intelligence measuring instruments are generally divided into two types: specific ability tests
and general integrative tests. Specific ability tests measure a key specific ability related to emotional
intelligence such as the capacity to accurately identify emotion in faces. General integrative tests measure
across a number of specific emotional intelligence skills to provide an overall picture of an individual‘s
emotional intelligence.‖ 6
There are several instruments that can be used to obtain an approximate measure of your emotional
intelligence. If possible take several of these and use them to create an emotional intelligence profile of
yourself. By comparing the results you should be in a better position to create an action plan to help you
improve your EQ. This experience will then help prepare you to guide your team as it attempts to grow its
emotional intelligence.
Since EI is a relatively young area of study, there is significant controversy as to how it can be measured
and whether or not it should be measured. No instrument currently available can be called 100% valid and
reliable.
The most important point about EQ may be this. It can be improved! Research has found that IQ changes
only slightly after ten years. EQ, on the other hand, can be learned and improved. Sometimes it improves
from experience and what we often refer to as the maturing process. It can also be improved by a
conscious effort. That is what this chapter is all about.
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Why does EQ matter?
Keep in mind that emotional intelligence and EQ in particular do not reflect hard scientific fact, but hinge
to a great extent on subjective evaluation. Comparisons made between IQ and EQ are indicators of EQ‘s
importance to success in various life experiences; however, any correlations that may have been found do
not necessarily indicate causation. On the other hand, there is sufficient research and observation to
pronounce the value of this thing we call emotional intelligence.
Researchers and psychologists have come to believe the following: 7
 Successful leaders, sales people and customer service persons tend to have a high EQ.
 Global 500 companies agree that emotional intelligence is more important to their productiveness than
any other single skill.
 Some believe that emotional intelligence accounts for up to 60% of workplace success.
 The difference between good leaders and excellent leaders is accredited mostly (85-90%) to emotional
intelligence.
 The US Air Force has indicated that after a small investment in emotional intelligence training, it has
reaped enormous savings.
Successful leaders demonstrate competencies that are not related to cognitive intelligence. They may be
related to personality or learned social responses, but they do matter. We have chosen to wrap this in a
concept we call emotional intelligence. EQ is an effort to provide a measure, a yardstick, to help us
monitor our personal growth in this area. It enables us to train leaders in ―soft skills‖ and competencies
that are often overlooked. Although we have taught such things as delegation and communications as part
of leadership development, the designation of this set of skills called emotional intelligence and EQ have
provided a needed forum to incorporate many of these topics in our overall leadership model.
EQ does matter. It can be the determining factor in a successful leadership career. There are strong
indicators that emotional competence is much more important than purely cognitive abilities. As one‘s
leadership responsibilities increase there is an inverse relationship between task and relationship
orientations. That is, as responsibilities increase the need for task or technical expertise reduces, while the
requirement for improved people skills including emotional intelligence continues to rise.
Emotional Intelligence Skills

Until now, we have discussed EI in a rather general sense. It is time for us to focus on specific skills that
are related to emotional growth. As mentioned earlier, researchers have compiled several different models
for looking at EI. We have selected one that is used fairly often and has been found quite helpful. The
BarOn Emotional Quotient Inventory (EQ-I ™) provides a set of skill categories and skills used for EI
measurement. It is based on the work of Dr. Reuven BarOn 8 and has been administered to approximately
85,000 individuals. It is designed to measure constructs related to emotional intelligence. We present
these constructs as skill categories and skills for discussion and to help you understand the various
components of EI. There are five broad skill categories and 15 skills relating to them. They are outlined
below.
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Intrapersonal
 Self-Regard
 Emotional Self Awareness
 Assertiveness
 Independence
 Self-Actualization
Interpersonal
 Empathy
 Social Responsibility
 Interpersonal Relationship
Adaptability
 Reality Testing
 Flexibility
 Problem Solving
Stress Management
 Stress Tolerance
 Impulse Control
General Mood
 Optimism
 Happiness
The five skill categories are generally described by the skills that comprise them. None-the-less, below is
a short explanation of each.
Intrapersonal EI relates to the ability to know one‘s self. It is introspective and has to do with how well a
person relates to emotion internally. A strong sense of knowing ―who you are‖ and being content with
yourself is part of this skill category. It relates to your self confidence and the extent to which you are
emotionally flexible. What is your capacity for understanding and expressing your own feelings?
Interpersonal EI focuses on the ability to understand other people. In general, it pertains to what
motivates others and being able to relate to them in emotional situations. Although there is no evidence
that strong intrapersonal EI is closely related to interpersonal EI, it is generally accepted that those with a
mature self image, confidence and comfort with themselves tend to be more comfortable with others in
stress or conflict situations that generate strong emotions. Often leadership surveys and evaluations
include a category entitled ―relationships.‖ It has been suggested that this may relate to emotional
maturity. What is your capacity for understanding others and relating with people?
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Adaptability EI assesses an individual‘s flexibility when presented with a variety of emotional situations.
It may be considered a function of self-management. Can the individual perceive a new reality or is there
a tendency to want to resist change. This also has implications for one‘s ability to solve problems when
emotional factors are present. What is your capacity for managing change and solving problems?
Stress Management EI is concerned with the impact of stressful situations. Is a person consumed by stress
or does that person deal with it appropriately? Stress and the things that induce it can create emotion.
Some people react to stress in a socially unacceptable way, while others merely tolerate it. When it
occurs, how great is its influence? Can you manage and control your emotions in stressful situations?
General Mood EI might seem deceptively simple. These factors are sometimes grouped under the heading
of personality. To some people the glass is half empty while to others it is half full. This general
predisposition says a lot about how one relates to emotional input. Here, happiness is not to be defined as
being giddy, but rather someone who is committed to enjoying life and getting the most out of it. People
who are happy in this sense are content with what they have rather than unhappy because they do not have
more. What is your general outlook on life and work?
The skills in each of these categories can be honed and improved by anyone willing to put forth the effort
to do so. Again, this is important because successful leaders demonstrate all or most of these skills. Below
we have taken each of the specific skills listed under the skill categories discussed and made a brief
statement about each. There is obviously much more that could be included. What is provided here is
intended as a baseline explanation.
Intrapersonal
 Self-Regard. Do you like yourself? Do you respect and accept who you are and the experiences that
have contributed to your current level of success? This is a very powerful predictor of competent
behavior.
 Emotional Self Awareness. Recognition of what triggers emotion in you and how you respond to it.
 Assertiveness. Being comfortable as you express your feelings and beliefs and defend your rights, and
doing both without being either overbearing or timid.
 Independence. Capable of assessing a situation and making a decision based on your own analysis.
 Self-Actualization. Having a realistic assessment of your talents and skills. Recognizing your potential
and knowing where you are on the road toward its achievement.
Interpersonal
 Empathy. Being able to place yourself in another‘s position and understanding their emotions.
 Social Responsibility. Seeing the group and the larger organization as an important element in your
life and taking action to improve and protect its purpose and its values.
 Interpersonal Relationship. Valuing others and respecting them as people and recognizing that their
emotions are real and important to them.
Adaptability
 Reality Testing. Is what you want concrete? Is it achievable in the context of this organization and this
situation?
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 Flexibility. Being able to change you mind and not resent it. Can you see the other person‘s
perspective?
 Problem Solving. Your capacity for putting aside your emotions to address problem-solving from a
logical perspective.
Stress Management
 Stress Tolerance. Recognizing what produces stress and planning what to do when it arises. Do you
accept stress as something that is normal under many conditions?
 Impulse Control. Remaining in control of your reactions, especially in highly stressful, emotional
situations. Can you counteract potential ―Emotional Hijacking‖?
General Mood
 Optimism. Is the glass half full or half empty? Do you find yourself seeking solutions or pitying your
situation?
 Happiness. This relates to the degree you are satisfied with the present and looking for an even better
tomorrow. Happiness, like optimism, is contagious.
Your emotional intelligence is comprised of these skills or similar factors. It is not static. It can vary from
day to day and with differing situations. The challenge to you is to be aware of how you are impacted by
emotions that arise from such things as stress, conflict, change and simple differences of opinion. What
triggers emotion in you? What triggers emotion in your team members? What can you do to deal
productively with emotional situations when they arise?
Improving Your Emotional Intelligence

As we have already mentioned, your EI can be improved. It is simply a matter of becoming more aware of
emotions (yours and others‘) and how they can impact your performance and that of your team. Of
course, that is easier said than done. What most of us need are some tools and techniques we can apply in
specific situations in which emotions come into play. There is no end to ways you can better manage your
approach to emotions and situations where you may find yourself potentially a victim of emotional
hijacking. Some tools will be more general in nature and will suggest that you consciously change how
you think in a rather broad sense. For example, while pessimists do have the ability to identify problems
and guard against under-estimating complex situations, optimism has been shown to have a powerful,
positive impact on organizational environment. Improved emotional intelligence suggests developing a
more optimistic outlook. Other tools are more specific and less complex. Okay? Here we go.
1. The ABCDE Model. 9 Martin Seligman has written two very powerful books: Learned Optimism 10and
Authentic Happiness. 11 Both books have useful suggestions for becoming a more positive thinker. In the
latter, Seligman provides a technique that can be employed by anyone seriously concerned about
improving his outlook on life and becoming a more positive person. It is called the ABCDE approach.
The ABC refers to how we might act negatively to certain events or activities. The DE refers to a method
of rethinking our pessimistic thought pattern into an optimistic one. Pessimism is a habit we have
developed. To change that habit we must change our way of thinking. This is done by going through the
following steps.
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A (Activity or Adversity). Some event occurs that pushes our pessimistic button. First, we must recognize
when adversity strikes. What is the trigger? Write it down.
B (Belief). What is your initial belief about this event? What self-talk is going on? ―I really screwed up. I
am such an idiot.‖ Write it down.
C (Consequences). Beware of the emotional consequences of your belief. What unpleasant feelings and
behaviors come to mind? ―Humiliation! People are going to think I an worthless.‖ Write it down.
D (Disputation, Debate). What is the evidence to dispute your beliefs -- your self-talk? In this positive
step you open your mind to another interpretation of your belief and the consequences of it. Write it
down.
 What is the evidence of my beliefs?

 What are the other possible explanations for what happened?
 What are the implications of my believing this way, and do they make it worth holding on to my
beliefs?
 How useful are my beliefs? Do I or others get any benefits from holding on to them. Or would we
benefit more if we held other beliefs?
E (Energization, Effects). How has your thinking in ―D‖ shifted your feelings and behaviors? What new
consequences are now available? Write it down.
These steps can be presented on a single sheet of paper as a five column matrix or they can simply be
written out. Below is an example of how one might move through the five steps of the model.9
 I didn‘t finish [writing] this chapter by the end of the Thanksgiving holiday as I promised my wife and
myself I would do. (Adversity)
 I‘m an incurable procrastinator who‘ll never meet my goals. (Beliefs: a personal, pervasive, and
permanent explanation, which is therefore pessimistic.)
 I might as well abandon this project and settle for a life of less ambitious projects. That way, my wife
won‘t be disappointed with me when I miss deadlines. (Consequence)
 Wait a minute! Lots of writers set unrealistic deadlines. Besides, my wife and I did several things
together and with her parents that had a very positive impact on our relationship. And if sticking to my
schedule were so all-fired important to her, she could have insisted on doing some of those things
without me. (Disputation)
 I‘ll talk about my schedule with her and get her input on whether the remainder of the schedule is
important to her. If not, I‘ll push my deadlines back. If so, I‘ll ask her assistance and cooperation in
finding ways to make more time for writing. I really don‘t want to give up this project. It‘s exciting,
even if it is a little off-schedule. (Energization)
The ABCDE Model can seem a bit daunting at first. But after applying it a few times, it becomes easier
and you will begin to see how easy it is to make yourself see things from a more optimistic perspective.
1. Good Leadership. In a very general sense, mature emotional intelligence is one of the significant marks
of a mature leader. Emotional hijacking is less likely to occur when the leader develops a pattern of
clearly thought out, logical actions. This begins by forcing yourself to slow down. With the exception of
the rare emergency, there is seldom a need to act before thinking. Be aware of your feelings and how they
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can affect your actions. Make an effort to keep your perspective. Your responsibilities go beyond this
instant and this situation. Try to put yourself in the other person‘s position and give him the benefit of the
doubt. Above all, ensure that whatever you do is ethical.
2. Anger and Conflict. Make your inner dialog a matter of conscious consideration. Left unmanaged, the
mind will tend to gravitate toward the negative. Take charge of your mind through controlling your inner
dialog. Avoid hateful, nasty thoughts toward others. Reframe your perspective by seeing things through
someone else‘s eyes. Stop, look and listen before you leap. Ask others how they would solve the problem.
3. Physically ―up.‖ The way you look and act transmits a very clear message about how you see life and
work and the people around you. Erect posture and a well-groomed appearance say positive things about
you. Be conscious of your facial expression. Is it easy for you to relax into a frown, or do you tend to
smile more than not. Confidence can be expressed by strong eye-to-eye contact and a sincere effort to
really listen to another person. Emotional intelligence begins with an awareness and appreciation of those
around you.
4. MBWA. There is more to Managing By Walking Around than just managing. There is relating. There
is an emotional element to the process. Yes, we mention listening more than talking, but it is also
important to listen with an ear for emotion. As a leader who is in tune with emotional intelligence, you
must train yourself to notice emotional signs and signals from others. Are the words being spoken
congruent with the emotional cues you observe: facial expressions, fidgeting, easy distraction, pre-
occupation with another issue? We have two ears and one mouth; the implication is that we should listen
twice as much as we speak. In this context, we want to listen for emotional cues.
5. The Target Model. Earlier, we discussed things a leader can control and things that he can only
influence. We called it The Target Model. This concept extends to the world of emotions as well as other
aspects of leadership. It is important to identify the things you can control and those things you can not
control. How are you going to use your emotional energy? How can you sense emotion in others and
accurately assess the degree of influence you might have in the situation? This comes with accurate
observation and assessment. It may be helpful to educate your team about accepting the things they can
not change rather than expending (wasting) emotional energy on them. As a leader, you can help them
focus on things they can impact.
6. Flexible and Creative. Your attitude toward change and that of your team can impact the team‘s
flexibility and creativity. Our emotional reaction to change often stifles our creativity. We tend to be
content with the status quo and sometimes feel threatened by the suggestion of change. Emotionally, we
may feel attacked. We may be overwhelmed by fear of the unknown. Train yourself to see change as a
positive thing. Flexibility means that you are open to other possibilities.
Encourage yourself and your people to embrace new ideas and approach change as ―improvements‖ rather
than threats. Make the unknown exciting rather than threatening. Let your enthusiasm for new
possibilities infect your team. Remember the concept of synergy and remind your team members that all
of you are smarter than any of you. Encourage them to see the big picture and to look for ways to build on
a suggestion that may seem foreign or outlandish. Approach failure as though it is the last step before
success. That is the optimistic perspective.
7. Your Mind Set. Aaron Beck 12 of the University of Pennsylvania has distilled ten common self-
defeating beliefs. Although they may seem outlandish to some people, many of us live with these beliefs
tucked neatly in the back of our minds. We may say we don‘t believe them, but all too often we act as
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though we do. By reviewing these and evaluating how you relate to each, you can get a firmer grasp on
your emotional intelligence. (We have added notes on reality.)
1. Emotional perfectionism: I should always feel happy, confident, and in control of my

emotions. Reality: Always? Various actions evoke a broad range of feelings which we can not
stop. We have little control over the way we feel. We do, however, have control over the way we
act as a result of how we feel.
2. Performance perfectionism: I must never fail or make a mistake. Reality: Never? Excellence
does not require perfection. There can be no growth without risk. Mistakes are part of that growth.
Thomas Edison is quoted as saying, ―I have not failed. I have just found 10,000 ways that won‘t
work.‖ Leaders must recognize that failure can be a sign of moving forward. If there were no
failure there would be no progress.
3. Perceived perfectionism: People will not love and accept me as a flawed and vulnerable
human being. Reality: This leaves no room for unconditional love. All of us are flawed and
vulnerable. We can learn to be successful regardless of this.
4. Fear of disapproval or criticism: I need everybody‘s approval to be worthwhile. Reality: A

slightly modified quote from Abe Lincoln says: ―You can please all the people some of the
time, and some of the people all the time, but you cannot please all the people all the time.”
This self-defeating belief puts a person in a deep hole from which there is no escape. It is
countered when a person endeavors to be true to her own convictions.
5. Fear of rejection: If I‘m not loved, then life is not worth living. Reality: The issue of being
loved is often more a matter of self-confidence and self-worth. One‘s worth in life is related more
to how much one loves than it is to how much one is loved. Feeling loved begins with one‘s ability
to love one‘s self.
6. Fear of being alone: If I‘m alone, then I‘m bound to feel miserable and unfulfilled. Reality: A
person may be alone but not be lonely. One chooses whether to feel miserable and unfulfilled or
not. Like love, it is related to how you feel about yourself. Being comfortable with yourself will
make you more interesting to others.
7. Fear of failure: My worthwhileness depends on my achievements (or my intelligence or status

or attractiveness). Reality: Our worth is not related to our achievements or any other measure of
status. This self-defeating mechanism disavows our worth as human beings and collides head-on
with the concept of unconditional love.
8. Conflict phobia: People who love each other shouldn‘t fight. Reality: Disagreements and
arguments can and do occur between people who care very much for each other. Conflict is a
natural event in human relationships and should be expected. Good friends are often proud of their
ability to disagree vehemently and still remain friends.
9. Emotophobia: I should not feel angry, anxious, inadequate, jealous or vulnerable. Reality:
Only robots can manage this. Feelings are natural to human beings. To deny them is to deny our
humanity. What we should remember is that we are expected to control how we react to emotional
stimuli.
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10. Entitlement: People should always be the way I expect them to be. Reality: Although we
may deny this, many of us believe it. Because every person is unique, each of us has the potential
to respond differently to the same emotional input. We may expect certain reactions based on our
previous experience with a particular person; however, we should not be surprised when that
person reacts in a way we did not expect.
Improving your emotional intelligence is bound to be a continuing effort. It is a complex arena. Your
ability to perceive, assess and influence your own emotions and those of others will never be complete
and perfect. However, you can learn to identify triggers and feelings, and how to deal with feelings in a
socially acceptable manner. As you develop emotionally, you will find yourself taking responsibility for
your own emotions and recognizing the role played by the emotions of others. Your emotional
intelligence will thus become an important part of your leadership style and contribute significantly to
your leadership success.
Emotional Intelligence and Your Team

Your challenge is two fold. The first is to become more sensitive to your own emotions and how they can
impact your role as leader. This is a major effort and will occupy much of your time. The second is to
develop and improve the emotional intelligence of your team. Yes, teams and other groups do have a
collective emotional intelligence. The development of team emotional intelligence can be complex and
demanding. Before you embark on such an endeavor you should be comfortable with the concept of
emotional intelligence. While Team EI is important, do not rush into it. You should first have solid
experience developing your own emotional intelligence and that of individuals for whom you are
responsible. Even after these requirements are met, you may want to assess the readiness of your team
members before addressing this complex area.
Conclusion
Leadership without emotional intelligence is shallow at best. It is a many-faceted discipline. Leaders must
have it. They must understand themselves and their emotions. Each individual employee is influenced by
his or her ability to recognize emotions and how to deal with them. Each team has an emotional profile. It
is critical to its ability to perform and to develop into a high performing group. It is your job as a leader to
orchestrate these facets of emotional intelligence. Motivation, delegation, communications and even team
building are all influenced by emotional attention. There is nothing more essential to your success as a
leader.
314
1.Thorndike RL & Stein S (1937) An evaluation of the attempts to measure social intelligence.
Psychological Bulletin 34 275-284.
2. Chemiss, Cary, PhD, Emotional Intelligence, What it is and why it matters, Paper presented at the
Annual Meeting of the Society for Industrial and Organizational Psychology, New Orleans, April 15,
2000
3. Goleman, Daniel, Emotional Intelligence, Bantam Books, New York, 1995
4. Schilling, Dianne, How‘s Your Emotional Intelligence? Can You Help How You Feel? Article
accessed 9/11/07 from http://www.womensmedia.com/new/emotional-intelligence.shtml
5. Mayer, J.D. and Salovey, Peter, What Is Emotional Intelligence? Chapter 1 from the book, Emotional
Development and Emotional Intelligence: Educational Implications, by Peter Salovey and David
Sluyter. 1997
6 Emotional Intelligence Information (Website), accessed 9/12/07 from

http://www.unh.edu/emotional_intelligence/ei%20Measuring%20EI/eiMeasure%20what%20are%20there
.htm
7. Government Executives Network, Webcast, Emotional Intelligence, accessed 9/4/07, Need name of
Presenter.
8. The Consortium for Research on Emotional Intelligence in Organizations (Website), accessed 9/12/04
from http://www.eiconsortium.org/measures/eqi.htm
9. Information about the ABCDE Model accessed 9/13/07 from http://www.futurevisions.org/eq_abc-

lrn_opt.htm compliments of FutureVisionsSM Website.
10. Seligman, Martin, Learned Optimism: How to Change Your Mind and Your Life, Pocket Books
(Simon and Schuster, Inc.) New York, 1998
11. Seligman, Martin, Authentic Happiness: Using the New Psychology to Realize Your Potential for
Lasting Fulfillment, The Free Press (Simon and Schuster, Inc.) New York, 2002
12. Beck, Aaron, Ten Common Self-Defeating Beliefs, accessed 9/13/07 from
http://www.futurevisions.org/eq_10cmn_s-d_belfs.htm compliments of FutureVisions SM Website.
315
NOTES
316
2.17 Stress Management
You have heard it a thousand times; stress is a normal part of life. There is good stress and bad stress. It is
like the weather. Everyone talks about it, and no one does anything about it. But it doesn‘t have to be that
way. The purpose of this chapter is to help you understand stress, how it impacts you and your
organization and what you can do about it. So, what is stress?
Hans Selye, a pioneer in the study of stress calls it, ―the rate of wear and tear within the body.‖ Although
there is good stress and bad stress, when we speak of it, we are usually talking about the bad kind. If you
ask ten people to define it you will probably get ten different responses. However it is defined, we usually
know it when we experience it. Stress occurs when there is a perceived imbalance between personal
demands and resources an individual may use to meet those demands. When the demands seem
overwhelming and the resources seem inadequate, we often experience tension; our muscles tighten. We
may perspire and sometimes get headaches. All too often, we dwell on the negative things and forget the
positive. Stress can have physical, psychological and social manifestations.
Stress can be seen as either productive or unproductive. This depends upon our response to stress triggers
that result in our feeling as though we are in control (balance) or out of control (imbalance).
Since we have already mentioned the two types of stress, let‘s quickly discuss them. Positive or
productive stress is called Eustress. Many of us are energized by challenges and opportunities. When a
teenaged girl meets a new boy, she may be inspired to be a little more outgoing or enthusiastic. Eustress
can provide us with energy and motivation. A promotion or an exciting new job may produce eustress. In
these situations, we feel as though we can respond positively to the trigger. We can remain in control.
Bad or unproductive stress is often called Distress. This can be a feeling of being overwhelmed,
overburdened, or up against insurmountable odds. We may perceive the stress triggers to be greater than
our resources and therefore the situation is out of our control. A person who is a victim of distress may
say something like this. ―My plate is so full that I will never be able to catch up.‖ Distress can come from
being in personal financial trouble, or in a new job that seems overwhelming, or it may even be the result
of a long term, chronic illness or the death of someone close to you.
Being distressed is what we often refer to as being ―stressed‖ or over-stressed. It occurs when we feel out
of balance; that our resources are not sufficient to cope with the demands placed upon us.
When distress occurs, your body may be first to react.
Your breathing may get faster.

Your muscles may tense-up. Often those of the stomach are first.
You may perspire and possibly develop a headache.
Your heart rate may increase and blood pressure rise.
317
What causes this kind of stress?
It is clear that stress is brought on by what is happening in our current environment, what has happened in
our past and what may happen in our future. The reason people react differently to these situations is
because they relate to them or cope with them differently. How we cope with the pressures of our work
life or our home life will dictate our level of distress. In short, we do have the power to influence the
degree to which we allow ourselves to be impacted by stressful situations. Some people are supremely
self-aware and recognize that they have the power to regulate their physical and psychological response to
stressful situations. Fortunately, these coping skills are not magic. They can be learned by those who are
willing to apply themselves.
Things that cause stress (stressors or triggers) are either internally or externally generated. Yes, that
means we can be the source of our own stress. These internal stressors may include: personal habits such
as ingesting lots of caffeine or getting too little sleep or not exercising. They may also come from our
personality or the way we have developed psychologically. Our attitudes toward risk and personal failure
may place an unnecessary burden on us. For some of us ―the glass is always half empty.‖ This pessimistic
outlook creates distress where none may really exist.
External stressors can also impact us, but, once again, the stress is brought on by the way we deal with
them. For example, an individual can allow business or organizational requirements to overwhelm his or
her capacity to manage them. Other stressors may include computer glitches, automobile traffic, and red
tape.
Take a moment to think about potentially stressful events or situations in your life. Remember that family
illness, death of a loved one and change in jobs can all be triggers.
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Vulnerability to Stress
The instrument below was designed in 1985 but it has been shown to be very useful in helping individuals
determine their vulnerability to stress related disorders. Rate each item from 1 (always) to 5 (never),
according to how much of the time the statement is true of you.
Always Sometimes Never
I eat at least one hot, balanced meal a day. 1 2 3 4 5

I get seven to eight hours of sleep at least four nights a
1 2 3 4 5
week.
I give and receive affection regularly. 1 2 3 4 5
I have at least one relative within 50 miles, on whom I
1 2 3 4 5
can rely.
I exercise to the point of perspiration at least twice a
1 2 3 4 5
week.
I limit myself to less than a half a pack of cigarettes a
1 2 3 4 5
day.
I take fewer than five alcohol drinks a week. 1 2 3 4 5
I am the appropriate weight for my height. 1 2 3 4 5
I have an income adequate to meet basic expenses. 1 2 3 4 5
I get strength from my religious beliefs. 1 2 3 4 5
I regularly attend club or social activities. 1 2 3 4 5
I have a network of friends and acquaintances. 1 2 3 4 5
I have one or more friends to confide in about personal
1 2 3 4 5
matters.
I am in good health (including eyesight, hearing, teeth,
1 2 3 4 5
etc.)
I am able to speak openly about my feelings when
1 2 3 4 5
worried or angry.
I have regular conversations with the people I live with
about domestic problems--for example, chores and 1 2 3 4 5
money.
I do something for fun at least once a week. 1 2 3 4 5
I am able to organize my time effectively. 1 2 3 4 5
I take some quiet time for myself during the day. 1 2 3 4 5
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Scoring:
To get your score, add up the numbers and subtract 20.

Below 10 - Excellent resistance to stress!
Over 30 - Some vulnerability to stress...
Over 50 - Serious vulnerability to stress...
You can make yourself less vulnerable by reviewing the items on which you scored 3 or higher and trying
to modify them. These are all situations and behaviors over which you have a great deal of control!
Source: University of California, Berkley Wellness Letter, August, 1985. Scale Developers: Lyle Miller
and Alma D. Smith of Boston University Medical Center
Note how these questions rely very much on your ability to be aware of yourself -- your physical
wellbeing, as well as your level of interaction with others. Self-awareness and your capacity to adapt to a
variety of situations are important to your ability to manage anxiety and stress in your life.
320
Until recently, it was believed that men and women responded to stressful situations in essentially the
same way.
A landmark study by Shelley Taylor and colleagues at UCLA suggests that women
respond to stress with a cascade of brain chemicals that cause them to make and maintain
friendships with other women (Taylor, 2002; Taylor et al., 2000). Prior to the publication
of these findings, scientists generally believed that stress in people triggered a hormonal
response that prepared the body to either stand and fight or flee as fast as possible. The
UCLA research suggests that women under stress have a larger behavioral repertoire that is
far broader than ―fight or flight.‖ Interestingly, when the hormone oxytocin is released as
part of the stress responds in a woman, it buffers the fight-or-flight response and
encourages her to tend children and gather with other women instead. Engaging in this
―tend-r-befriend‖ behavior actually stimulates the release of more oxytocin, which further
counters stress and produces a calming effect. Men do not experience this same calming
response because men produce testosterone in high levels when they‘re ender stress, and
testosterone seems to reduce the effects of oxytocin, while estrogen seems to enhance
them. (Ruderman, Marian N., and Ohlott, Patricia J., Coaching Women Leaders, from
The CCL Handbook of Coaching: A Guide for the Leader Coach, Jossey-Bass, San
Francisco, 2006)
Symptoms of Stress
Most symptoms of stress can be symptoms of other things as well. Recognize stressful situations or
stressful times and be aware of how you behave. Does your behavior change during times when there is
increased potential for stress? Slowly and deliberately go through the lists below. Do any of the symptoms
listed apply to you? If so, circle them.
Physical:
sweaty palms, fatigue, headache, dizziness, insomnia, muscle aches/stiffness, heart palpitations, chest
pains, back pain, abdominal cramps, nausea, trembling, cold extremities, flushing or sweating, frequent
colds, nervous tics, dryness of throat and mouth, shallow breathing, sleeping problems, indigestion, loss
of appetite or overeating, skin rashes, constipation, diarrhea
Mental:
decrease in concentration and memory, trouble thinking clearly, indecisiveness, mind racing or going
blank, confusion, loss of sense of humor, embarrassing easily, worrying about the future, preoccupation
with thoughts, negative attitude, forgetfulness, expecting too much from others, being pessimistic
Emotional:
anxiety, bothered by unimportant things, crying easily, overwhelming pressure, boredom, nervousness,
unhappiness, depression, anger, frustration, worry, fear, loneliness, feeling helpless, irritability,
impatience, short temper, moody, easily discouraged, feeling powerless
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Behavioral:
pacing, fidgeting, nail-biting, foot-tapping, eating too much or too little, increased smoking, increased
drinking, short temper, sleeping too much or too little, crying, yelling, swearing, hitting, grinding teeth,
being accident prone, acting impulsively, driving too fast, critical of others, inability to finish tasks
Take stock of any items you have circled. Be aware of them over the next few days or particularly when
the situation may be stressful. If you have circled one or more, consider applying one or more of the stress
reduction techniques outlined below. Whether you circled any or not the suggestions for reducing stress
can improve your quality of life significantly.
Managing Stress
Since stress is a matter of balance, stress management incorporates methods to regain balance. These
methods begin with the concept of understanding ourselves. As we know ourselves better, we are better
equipped to recognize when imbalance occurs. This prepares us to apply specific stress management
techniques.
1. Self Awareness
While becoming more self-aware may sound simple, it can be a major step for some people. It begins with
the recognition that we are often responsible for or may contribute to our own stress. We have habits and
behavioral patterns that may contribute to the imbalance that causes stress. As we learn more about
ourselves and how we react to various situations we can begin to assess and manage our responses. Often,
an improved understanding of ―who we are‖ can be gained through various personality surveys. These
may help us to a greater awareness of our personality types and how we might be expected to respond to
certain triggers. We can also benefit from others who know us well or who may be in positions to observe
us and how we respond in stressful situations. This requires openness and trust.
Learning our internal triggers will help each of us anticipate stressful situations and how we might
respond to them.
2. Recognize Imbalance
As we learn more about what stress is and what brings it about we become better prepared to address it.
We can assess situations in terms or demands and resources. It is important to be able to recognize when
demands exceed resources. Is imbalance occurring or about to occur? This should send up the red flag that
says ―potentially distressful situation.‖ Your sensitivity to the situation will provide insight and help you
recognize when imbalance is about to occur. It requires all of your senses. In essence, it is a developed
sense of awareness of the world around you. How is the situation developing? How are others
responding? Be aware of their tone of voice and their body language. What are your own body and
emotions telling you?
Recognizing this imbalance will help keep you in control. This awareness will signal the need to apply
particular stress management techniques.
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3. Stress Management Techniques
There are two ways you can prepare to manage stress. One may be labeled preventive and may require
life-style changes. The other is a matter of being ready to respond to specific stressful or imbalanced
situations. By applying the former or preventative techniques you will find it less necessary to be reactive.
4.Life-Style Techniques
Each of us has a vision or a mental picture of ourselves. It is often reinforced by an ongoing internal
monolog or narrative we have with ourselves. People who deal well with stress usually have a rather
positive self-image, and they reinforce it with a positive internal monolog. A negative monolog would
remind one that he is unprepared for a challenge or too inexperienced for a particular job. A positive
monolog, on the other hand, would be encouraging; ―You can do this. You‘ve done other things that were
more difficult.‖ Humility is a commendable trait, but when carried to extremes it can be debilitating. Self-
confidence begins from within. Optimistic leaders are generally more successful and less impacted by
stress than pessimistic ones. Be positive about yourself, especially as you carry on your internal monolog.
Make it a habit to encourage yourself. This does not mean to suggest an unrealistic appraisal of your
talents or of the situation, but it does mean to see the glass as half full and to recognize your abilities.
A natural extension of this positive inner monolog is surrounding yourself with positive people. Most of
us have colleagues who are more optimistic than pessimistic. Try to associate with them. When
confronted with negativity, make a supreme effort to find the high road. What can you learn from this
negative situation that can produce a positive lesson learned? This can extend to friends and social
situations. Seek out the positive. Be realistic, but do not be pessimistic. Negativity breeds more negativity.
Once you have done these things, seek out a coach or a mentor whom you respect and with whom you can
be open and honest. A prime requisite for such a person is that she be naturally positive. Some people are
natural encouragers. They enjoy helping others achieve success. This is the kind of mentor you will want
to find. The flip side of this is to find situations in which you can help others. There is no doubt that most
successful leaders tend to be helpers and encouragers. When you seek to empower others and help them
become successful, you will see both demands and resources in a different light.
Remember that good time management is a wonderful stress reducer. Not only is it essential to plan your
day and manage your time, but it is important to ensure that you do not give up control of your time to
others. Do not allow colleagues or staff members to put the monkey on your back. Your job is to manage.
It is up to you to decide what is important and immediate. Do not waste time on things that are
unimportant or that you can get others to do for you. In a very general sense, delegation is an important
management technique; however, it also has stress reduction benefits. By delegating you are maximizing
your effectiveness and recognizing that you have control of your time and your energy.
Finally, there is a very important physical dimension to preparing yourself for a positive response to
stress. Rest and sleep give your body and mind a chance to recuperate from the physical and mental
demands of the day or week. Sleep is restorative. Incorporate regular sleep habits into your schedule.
Relaxation provides an opportunity for the mind and body to by re-energized. This may be as simple as a
quiet time of reading or reflection or simply listening to soothing music. Some people practice meditation.
This can be highly effective but does take practice. It is meant to take your mind off stressful topics and
think of restful, calming things. Stress reducing techniques can include social outings and interactions.
Dancing, going on picnics, attending sports events and spending time in recreation all can take your mind
off of work and give you a chance to re-energize.
323
5.Techniques for Dealing with Stress
As mentioned, recognizing that a situation is stressful and that there is a real or perceived imbalance
between demands and resources is the first step in dealing with stress. When you recognize that a situation
is stressful, you should be prepared to address it in a way that will minimize stress for you and for those
around you.
Rare is the time when you can not take a few moments to breathe deeply and take stock of what is going
on around you. Survey the scene. Inhale deeply and slowly exhale. Continue to do this as you interact
with those around you. As a leader you set the example. It is essential for you to appear calm and relaxed.
Be positive. Take note of your tone of voice, facial expression and body language. Ask questions that will
help you understand the situation better.
When confronted with a potentially stressful situation, remember your sense of humor. Keep it in bounds
of propriety, but let others know that this situation is not the end of the world and that it will be overcome.
Search for the hidden opportunity. Sometimes it is difficult to find, but it is usually there. Recognize and
accept your own limits as well as those of your people. Is additional support needed? Can the situation be
brought under control by slowing down the process or by dividing it into segments? As a leader, take
charge and try to organize the people involved for problem-solving.
When the entire team is involved, make sure everyone understands that ―we are all in this together, and
together we will overcome it.‖ Focus on the team working together toward a solution. Delegate when it is
appropriate.
When possible, take breaks. Many times stressful situations are made worse by relentless, dedicated
concentration. After a certain amount of time, most people need an opportunity to re-charge their
batteries. Organized and enforced breaks can re-generate teams. It is important for you, the leader, to be a
part of that activity. Let your group see that you need a break, too. It can also be used as a brief time of
team building. Stress is reduced when people recognize they are part of a team.
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Conclusion
When demands exceed resources, stress often occurs. Successful leaders have investigated their own
reaction to stress and have planned how to respond to it. Therefore, it is essential to be self-aware and
recognize that it is possible for each of us to generate our own stress. Awareness of this internal stress can
help us reduce it and even recognize it as it develops.
Recognizing internal and external sources of stress is an essential element in dealing with it. We must
know what it is and recognize it in order to combat it.
It is possible to create a life-style that will minimize internal stress and help us deal with external stress.
This can include: Eating a well-rounded diet, having healthy sleep and rest patterns, minimizing the
ingestion of chemicals that are unhealthy such as caffeine and alcohol, and maintaining a positive and
optimistic attitude at work and at home.
When stressful situations happen -- and they will, be prepared to handle them calmly and deliberately.
The most important aspect of this is to set a good example by not over-reacting and by breathing deeply.
Successful leaders deal well with stress.
325
NOTES
326
2.18 Creative Thinking
Creativity and innovation are the life‘s blood of growing, dynamic and successful organizations. Doing
things the same old way and solving problems with the same old mind-set is often a guaranteed way of
falling behind the power curve. Customers are always looking for newer and better solutions. Every
organization needs to promote and maximize creativity, but how is this done? Creativity implies the
development of something new and original. It involves open-ended and non-linear thinking, as well as
originality and flexibility. It demands an outlook that says ―why not‖ rather than ―I doubt it.‖ Some of us
think of creativity as something we are born with and if we don‘t have it, we will never have it. That is not
the case. The ability to think creatively can be developed in individuals and in organizations.
This section is designed to help you:
 Understand creativity.
 Recognize road blocks to creative thinking and the myths associated with them.
 Recognize the factors that block creativity.
 Become aware and familiar with the tools and techniques needed to encourage creativity.
 How to plan to promote creativity in your organization.
Creative Thinking
Most of us are taught to solve problems based on simple analysis of the facts and to determine the correct
or best solution. We gather the facts bearing on the problem, analyze them, develop possible solutions,
and select one. Then, we plan to implement the solution and evaluate its success. Unfortunately, much of
this is based on the linear thinking model we have been exposed to since grade school. It may be
described as critical thinking. That is, evaluating the known facts and searching for the one correct
solution. Creative thinking, on the other hand, focuses on generating many possible solutions rather than
looking for only one. It encourages problem solvers to withhold judgment while developing ideas and
considering new possibilities. For an organization to be successful, it must use both critical and creative
thinking.
Mr. Robert A. Harris, in his book, Creative Problem Solving: A Step-by-Step Approach1, presents this
comparison of the two types of thinking recognizing that while both are needed, critical thinking is often
ignored or even inhibited.
327
Critical Thinking Creative Thinking
analytic generative
convergent divergent
vertical lateral
probability possibility
judgment suspended judgment
focused diffuse
objective subjective
answer an answer
left brain right brain
verbal visual
linear associative
reasoning richness, novelty
yes but yes and

Fig. 35
Critical thinking provides a transcendent dimension. It goes beyond analysis of the facts and encourages
new outlooks and new possibilities. The final quality of solutions and ultimately customer satisfaction
will be greatly enhanced when creativity is encouraged.
Harris goes on to state that creativity is an ability, an attitude and a process and that all three can be
understood and learned. For many of us, our abilities have been inhibited because we have been trained in
a process that reduces the focus on innovation and concentrates on pulling a solution from limited
resources and historical data. Much of our ability to be creative is a function of our attitudes. To many
leaders change is a bad word, and so we shy away form it. Innovation may require risk that we may
hesitate to take. Often, we are hesitant to suggest something different or ―out of the ordinary‖ for fear of
being singled out as strange or unorthodox. By recognizing these attitudes we can set in motion a process
within our organization that will promote and even reward innovation and creativity.
Roadblocks to Creative Thinking
You have heard it a thousand times. ―We never did it that way before.‖ This mindset is not unusual and
often even those who recognize how unproductive it sounds may act as though they agree with it. Again,
our attitude toward change is at the heart of the matter. Doing something a new and different way may fail
and it may cause someone to look silly or possibly unsuccessful. Getting beyond this requires leaders who
are eager to promote original thought. This relates to the culture of the organization. Are innovation and
328
creativity encouraged? Senior leaders can set the stage for a positive outlook toward change and risk by
encouraging creative thinking and praising honest failed attempts rather than punishing those who took
the risks.
The underlying attitudes of leaders will set the stage for creativity. Many organizations prefer to use the
term ―opportunity‖ or ―challenge‖ rather than ―problem‖. This is a good surface effort; however, it is up
to you the leader to encourage problems and problem solving as true opportunities to improve the product
or process. It has been said that a customer with a problem is a first class opportunity to impress that
customer with excellent customer service and possibly to improve the product. Rather than run from a
problem, successful leaders develop attitudes that see problems as challenges to improve.
Another roadblock to creativity is ―a fear of failure‖ and the attitudes that may surround it. This relates in
part to risk and risk aversion, but it is also a mindset. A wise old woman used to say, ―Can‘t never could.‖
In other words, never tell yourself you can‘t do something. Putting a full and unhampered effort to
achieve a goal or solve a problem can be the hallmark of innovation. It may be a matter of commitment
and persistence. The greatest successes in history, from the electric light bulb to women‘s suffrage, were
achieved by people who would not quit.
Failure to approach problems as a team can also prevent innovation. ―None of us is as smart as all of us.‖
The smallest contribution by one team member can ignite the spark that starts the fire of creativity. Often,
individuals see the members of their team as competitors rather than collaborators. Problem solving is
usually enhanced by a team approach. The team that recognizes the importance of each member will be
the most creative, and will develop the most unique and successful solutions.
Myths about Creative Thinking
Many of the roadblocks mentioned above are products of organizational attitudes toward problem solving.
Often organizations become set in their ways and very much matter-of-fact over the years. This ho-hum
attitude suggests that there are no new problems, but only old ones with new packaging. This generates
the belief that the old solutions are the only solutions. In short, this problem always requires this solution,
so why look for another. This is untrue. There may be another way to skin that cat. There may be several
new and better ways to solve that problem.
In the 21st Century, we have come to rely on computers and technology for many of our processes and
often for many of our solutions. This can generate the attitude that innovation requires complex solutions
and technically competent individuals. The truth is that many solutions are so simple and elementary that
they have gone undiscovered for that very reason. Technology may be helpful but innovation is a function
of finding a better idea.
Creative People
There is no personal mold or standard for creativity. Anyone can develop the abilities and attitudes
needed to become creative. One can be trained to ―think outside of the box.‖ What kind of attitudes
should you seek to develop?
Perhaps one of the most important is that of optimism over pessimism. A ―can do‖ attitude does not mean
being unrealistic, but it does mean being positive and expecting a favorable solution to most situations. ―It
is probably too late‖ can be replaced with ―If we hurry maybe we can get there in time.‖
329
For the creative person, each day is approached as a challenge and an opportunity to excel. Problems are
truly the stuff that success is made from. They are interesting and offer a chance to demonstrate your
intellectual and organizational talents. Rather than being shunned, problems are embraced.
Finally, the creative person is open to any possibility. How many potential solutions have been denied a
hearing because someone rushed to judgment? Even if the idea is not successful, the person who came up
with it will remember that you allowed it to be thoroughly investigated. If you want to generate
innovation within the team you lead, make an effort to encourage novel ideas and never rebuke a person
for a far-out suggestion. You want to encourage people to think creatively.
In Creative Problem Solving, Harris lists the characteristics or attributes of the creative person. Although
these are not traits one can develop easily, they are specific attributes every leader should be aware of and
even strive to cultivate. Each item on the list is worthy of your contemplation. A creative person is
 Curious
 Seeks problems
 Enjoys challenge
 Optimistic
 Able to suspend judgment
 Comfortable with imagination
 Sees problems as opportunities
 Sees problems as interesting
 Problems are emotionally acceptable
 Challenges assumptions
 Doesn‘t give up easily; perseveres, works hard
Tools and Techniques to Promote Creativity
Many books have been written and products developed to assist people and organizations in their quest to
become more creative. The work of Edward de Bono and his book, The Mechanism of Mind2 have
become well known and very useful to understanding creativity. He has also written numerous other
books on creativity and related subjects. In his book, How to Have Creative Ideas he has produced 62
exercises to help people and groups become more creative. De Bono has identified six approaches to
problem solving which he has labeled ―six thinking hats.‖ Each colored hat represents a type of thinking
used in problem solving. He believes that the average person uses only a few of these, but that all six are
available and a person can be trained to use them all. They are
Red Hat -- Emotional thinking Yellow Hat -- Positive thinking

Black Hat -- Critical thinking White Hat -- Pure facts thinking
Green Hat -- Creative thinking Blue Hat -- Big Picture thinking
De Bono encourages us to use all these types of thinking during problem solving. Each represents a
method of thinking. If we make ourselves conscious of these ways of thinking and force our selves to use
them, we become better and more creative problem solvers. There is considerable theory and an in depth
investigation of problem solving behind de Bono‘s approach. His several books can be valuable tools for
any leader. Their application requires training and practice.
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Five ―W‘s‖ and an ―H‖
Who, what, when, why, where and how provide a tool to stimulate creativity in any individual or group.
These words have been used in a variety of methods to facilitate management functions. They are equally
helpful as a tool to generate innovation and creative thinking. By encouraging a person or group to
thoroughly investigate and assess the whys and wherefore‘s of any issue, new and improved solutions can
be developed. This tool is so simple that it is often overlooked. It requires a conscious effort to delve into
the issue and approach it from a variety of ways. Who is interested in this problem and who is affected?
What are the symptoms and what are the reasons we need to solve this problem? What happens if we do
nothing? And so on. As with many of these tools, this approach requires a deliberate decision to
incorporate it into the problem solving process.
Brainstorming
This technique for generating ideas and evaluating them has been around for many years. It is commonly
used and often used incorrectly. Its power for developing innovative and creative ideas rests in how it is
facilitated. The most important aspect of the process is that it is thoroughly non-judgmental. All
suggestions are recorded without prejudice.
Brainstorming is a group activity that uses the skills of a facilitator to move the process along. The group
is asked to generate ideas on a specific question or problem. For best results the group usually has from
eight to twelve participants. A flip-chart or other device is needed to record ideas. The facilitator may
enlist the help of a recorder in order to move the process along rapidly. When the emphasis in on
creativity, it is usually best to ensure that members of the group possess a variety of skills and interests.
This is such a valuable technique that it will be explained in detail.
The Rules. These rules should be explained or reviewed every time a Brainstorming session is conducted.
Emphasis is placed on quantity of ideas produced. Criticism is not permitted. Regardless of how unusual
of ―far-out‖ the thought, it is recorded without comment. In fact, participants should be encouraged to
―piggy back‖ or expand on a particular idea that may seem unrealistic. One stated idea may give rise to
several others. This is the power of Brainstorming. Members of the group are encouraged to ―think
outside the box‖ and present some off-the-wall ideas. Everyone should participate. Have fun.
The Brainstorming Process. This process should be engaged with enthusiasm and a desire to generate as
many ideas as possible without evaluation. That will come later.
 Clearly define the question or problem. Ensure that all group members understand the task.
 State a time limit and designate a time-keeper. Time may vary depending on the issue at hand. It
may help to set a goal, such as 100 ideas in 15 minutes.
 Participants shout out ideas rapidly and distinctly as they are recorded. The facilitator has the roll
of encourager and to ensure the rules are followed. No criticism of ideas. Sometimes the wildest
thought can lead to an amazing concept.
 When time is up, select the three or five or more that the group likes best. Try not to vote. Select
using a consensus strategy.
 From this point, Brainstorming can take several directions; however, this is generally where the
evaluation begins. In order to judge effectively and meaningfully, the group will need to identify
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specific criteria upon which to evaluate the worth of specific ideas or solutions. List several
criteria, such as ―the idea selected should satisfy all customer needs.‖ These are based on the
group‘s awareness of the problem.
 Selection of the best idea can be accomplished in several ways, but gaining group consensus
usually produces a selection that all members feel comfortable with and would be willing to
support. Depending on the circumstances, other methods of selection may be used such as voting.
Brainstorming is a simple yet effective technique for generating ideas and selecting the best. It may be
used in a variety of situations. Composition of the group is important. There should be a mix of people
who are quite familiar with the issue and others who are only marginally familiar with it, but who might
offer a slightly divergent perspective. This will enhance cross-fertilization and creativity.
Other Techniques
Above all, creative thinking is a state of mind. Most creative thinking centers on the problem solving
process. Many people shy away from problem solving because it can be labor intensive and complex. In
order for it to be innovative the process needs to be managed with a focus or emphasis on opening up the
flood gates of novel and original thought. It must be seen from the perspective of the pioneer, looking for
new and improved methods. Without a doubt it needs to be fun. It is the leader‘s responsibility to generate
this environment. If not, the group will probably slide back into the routine or basing solutions on history.
The tools and techniques outlined above are only a few of the many ways to enrich the problem solving
process and stimulate original thought. Problem solving requires both critical thinking and creative
thinking. Unfortunately, most of us have been taught to emphasize the former to the exclusion of the
latter. Whatever tools or techniques you employ, the focus needs to be on creating an environment that
makes experimentation and innovation acceptable and even encouraged. In order for this to happen, the
leader should slow down the process and emphasize idea generation, incubation and what iffing.
Approach the problem from a perspective that is different from the norm.
Use a ―white piece of paper‖ and throw out old assumptions.

Learn to define the problem clearly and concisely. Understanding the problem is critical to finding a
good solution.
Can the product or service under consideration be seen purely form the customer‘s perspective?
Get the group to look at ways to transcend the stated problem and seek ways to improve the process or
situation that caused it.
Divide the group in half and allow them to work separately, then come together with different
approaches.
Ask the group to spend time thinking about and discussing the problem from each of the five senses.
Dose ―hearing‖ or ―smelling‖ the situation result in an appreciation of the issue that is different
from ―seeing‖ it?
Have the problem solvers spend time thinking of the most ridiculous solutions they can, then see if
any of them spare a new and workable approach.
Play the devil‘s advocate by relentlessly asking ―why‖ and ―what if.‖ Encourage group members to
ask each other these same questions. This can stimulate unconventional thought.
For most of our lives we have been encouraged to think critically. We usually hurry to a solution and
often rely on past experience as our primary problem solving tool. Two plus two is always four. The truth,
332
however, is that 2 + 2 can be 6 – 2, or the square root of 16. Since we have been guided away from
creative thinking by education and experience, developing this talent may require considerable effort. As
leaders we are encouraged to promote creativity and reward it.
Creativity Exercises
Paper Clip. How many uses are there for a paper clip? This is a simple question is one that might be
helpful in getting a group to think in an unconventional way. Have a group brainstorm 100 ways to use a
paper clip. There are at least that many. Some include a zipper tab, toenail cleaner, and slingshot
projectile.
Doodle Analysis. Have someone draw a random ―doodle‖ on a flipchart or white board, then have
members of the group tell what they see. The emphasis is on finding unique things that stimulate the
mind.
Function Analysis. Take a common office or household item and ―invent‖ new ways to use it. List as
many as you can. A screwdriver may become an ice pick. A hammer can be a nut cracker. A wastepaper
basket may be used as a basket ball hoop, and so on.
No Rules. Consider how you might solve a problem if there were no rules of physics or of society. This
can get creative juices flowing.
Team Experiment. Gather your team together. Present a problem that is not directly related to their work.
Use creative thinking problem solving techniques to define the problem, develop possible and innovative
solutions, and select one for implementation. Encourage free-wheeling and ―out of the box‖ thinking.
New Name. Your new company develops advertising for the National Football League. It is comprised of
a small group of people from other advertising companying. This small group has been asked to come up
with a name for the new company that will suggest youth, enthusiasm and a love of sports. Your group
has 30 minutes to select a name and a rationale for its use.
Making Creativity Happen
Planning demands creativity, but creativity can not be mandated. It requires forward thinking leaders who
are interested in improving the organization by incorporating creativity in planning and problem solving.
It will not happen unless you, the leader, make it happen. How can this be accomplished?
Leaders create an environment in which creativity and innovation are encouraged and rewarded.
Employees are encouraged to take intelligent risks and to accept occasional failures as part of the learning
curve. Trust is at the heart of this effort. If employees feel that they are not trusted, they will hesitate to try
things that are different. You instill trust through appropriate and well managed delegation. You should
also recognize that the situational leadership model requires different levels of participation and
delegation from people with different levels of competency and commitment.
Be a model for creativity. This does not mean taking the entire burden of creativity on yourself. It does
mean that you actively provide the opportunity for others to take risks and develop new and different
solutions to problems. As you guide your team through various processes, such as problem solving, place
increased emphasis on generating new and innovative ideas. Train yourself and others to withhold
333
judgment until the appropriate time. Remember to praise efforts at creativity whether they produce usable
solutions or not.
Restrictions can promote creativity. Unlimited resources usually promote business as usual, but tighter
budgets and short turn-around times often bring about the most innovative and successful solutions. The
demands of World War II created a new national economy in the United States. The demands placed on
NASA created the ―can do‖ atmosphere that put a man on the moon. The limited resources on board the
Apollo 13 spacecraft forced engineers at NASA to innovate as they never had before. Look for ways you
can place restrictions on a team that is engaged in problem solving with an eye toward encouraging
creativity.
Conclusion:
To develop a spirit of creativity within an organization requires a conscious effort on the part of its leaders
at all levels. Ability, attitude and the creative process must be developed. First and foremost, this means
creating an environment in which innovation and creativity are encouraged, and in which appropriate risk
is appreciated and rewarded.
The underlying attitudes of leaders will set the stage for creativity. Therefore, leaders need to understand
it and recognize the roadblocks to creativity. Too often leaders promote the status quo because it appears
to be safe. If risks are not taken the chances of failure are reduced. Unfortunately, so are the opportunities
for greater success. Old solutions are not the only solutions. Innovation is often the result of a team effort
to find new ideas and new solutions. There are exercises that can prepare a team for a more creative
approach to problem solving. Brainstorming, when properly facilitated can promote the infusion of new
and different ideas and a spirit of innovation within a group.
Leaders must recognize the value of creativity. It will not happen over night and it will not happen
without direction and guidance from leaders.
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1.Harris, Robert A. Creative Problem Solving: A Step-by-Step Approach, Pyrczak Publishing, Los
Angeles, 2002
2.De Bono, Edward, The Mechanism of Mind, Jonathan Cape, London, 1969
335
NOTES
336
Section 3: Conclusions for Supervisors
Part II of this Guidebook has presented the necessary fundamentals for becoming an effective leader at the
supervisor level. Each supervisor has a different experience and background; therefore, each chapter has a
potentially different impact on every reader. One thing, however, is generally true of most new
supervisors. There is a necessary and important period of transition from being a transactional worker to
leading a team. As a technician your success was measured by the quantity and quality of your work --
that is your personal production. As a supervisor, you have found that this is no longer the case. If you
continue under the belief that ―things only get done right when I do them myself‖ you will find yourself in
a losing battle. Your job now is to align, inspire and guide your team to increased productivity in a work
environment that promotes individual growth within the context organizational vision and values.
Each chapter in this Part can stand alone; however, the information in each is vital to your growth and
development as a successful leader. There are tools and techniques that can be powerful as you lead your
team.
You have learned that there is no single leadership style or approach that is appropriate in every situation.
In fact, you have learned to apply Situational Leadership as it is described in numerous books by Ken
Blanchard. The all important first step in this process is to understand your people and to be able to
evaluate the task maturity of each. It is simply counter-productive to treat an old hand like a new recruit.
This suggests an overwhelmingly important fact for any leader; emotional intelligence is the most
important skill you will develop and continue to enhance. As Marcus Buckingham stated, ―Great leaders
rally people to a better future.‖ That is not accomplished because the supervisor is the best technician in
the team. It is accomplished because the supervisor appreciates the value of each person on the team and
encourages each person to achieve both organizational and personal goals.
In this new millennium, we have learned that being a leader is no longer the heavy-handed, forcefully
directive sheep herder it once was. Being a leader is becoming a shepherd. That means developing people
and creating an atmosphere of trust and excitement about the future. MBWA means taking time to
understand your people, their skills, opinions and emotions. Of all your improved communication skills,
listening is the key to effective MBWA. By proper delegation you build leaders and you accomplish
more. This often means taking risks, but it is worth it.
Coaching and mentoring become an essential part of how you lead. Supervisors lead transactional
workers. While doing this, they are grooming and developing others to become leaders. By becoming
known as a caring and effective mentor and encourager you gain the reputation as a creator of future
leaders.
As you hone these skills and others, you are beginning to prepare yourself for the next step on the
leadership ladder. As you become a successful supervisor, you will be asked to manage managers. This
will require new and advanced skills and techniques. The need to enhance your emotional intelligence
skills is paramount. Soon, you will be considering the information available in Part III of this Guidebook
which addresses itself to the leadership of middle managers.
In Part II we have presented specific competencies that relate directly to your success as a supervisor.
They are different from the skills that made you a successful technician. These skills will continue to be
important as you develop leadership skills at higher levels. However, keep in mind that with every
promotion and new responsibility there will be a transition brought on by changed interpersonal and
organizational dynamics. Do not assume that being a successful supervisor will guaranty that you will be
337
a successful middle manager or executive. Take the transitions seriously, and never stop developing new
leadership skills.
338
Appendix
Figures Page
1 Leaders & Managers 5
2 Leadership Continuum 17
3 Maslow’s Hierarchy of Needs 18
4 Herzberg’s Two-Factor Theory 22
5 The Target Model: Circles of Control 23
6 Leadership Levels and Organizational Focus 34
8 Johari Window 42
9 360 Degree Assessment: Circle of Rating Souces 44
10 Johari Window 47
11Marsha Johari Window 48
12 FIRO-B Model 52
13 The Five Conflict-Handling Model 57
14 Kast & Rosenzweih Model 63
15 Situational Leadership 70
16 Leadership Continuum 77
17 First Things First 90
18 A Process for Successful Delegation 97
19 Deciding When and How to Coach 106
20 SMART 109
21 Diversity Worksheet 143
22 Types off Teams 148
23 Communication 168
24 Stephen Covey’s Quadrants 191
25 Action Plan (Problem Solving) 218
26 Action Plan (Group Processes) 232
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27 Check Sheet 233
28 Success Criteria 233
29 Best Way Home 236
30 T-Chart 239
31 Leadership & Management (Supporting Change) 247
32 Impact of Good Change Management 252
33 Supervisor’s Change Process 256
34 Modes of Conflict 265
35 Critical Thinking / Creative Thinking 238
340

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Table of Contents Page(s)

Section 2: A Guide Book For Leaders and Coaches

Section 3: Conclusions for Supervisors

1.1 Do You Want to Be a Leader?

Leader versus Manager.

Benefits of a Leadership Position

Dissatisfactions and Frustrations of Leaders

To what extent does each statement describe you?

1. I am fully competent at the work that I currently do as an individual.

3. I have an energetic approach to my work on a daily basis.

6. My attitude is positive and people look to me for motivation.

10. I am a team player. It is important to me for all of us to succeed.

11. Everyone sees me as honest and highly ethical.

Jim: Don‘t you think they know the rules?

Marsha: Productivity, of course. Bottom line is getting the work done.

The Hawthorne Experiments

The Seven MBWA Principles:

(1) McGregor‘s Theory X and Theory Y

McGregor’s Theory X and Theory Y.

Manager Manager Manager Manager Manager/ Leader Leader

According to McGregor, organizations with a culture or environment based on a Theory Y approach

MASLOW’S HIERARCHY OF NEEDS

Level 2: Safety. The need for security and stability.

Level 3: Social. The need for belonging, love, and acceptance.

Level 4: Esteem. The need for recognition.

Level 5: Self-actualization. The need to fulfill one’s potential.

Jim: (With a concerned smile.) What do you mean?

Jim: Well, what have you done to motivate them?

Jim: What do you think motivates people?

HERZBERG’S TWO-FACTOR THEORY

Achievement Benefits/Company Policy

Responsibility Job Security

Advancement Interpersonal Relations

Work Itself Working Conditions

(Decision to sustain high (Decision to take the job

The Target Model

Target Model Case Study

Consider this situation in light of what you can control or influence.

Cont. Infl. Conc. Unk

1. Chances of rain next Monday.

2. What kind of projects you delegate to a team member.

3. Your daughter‘s grade in biology.

4. Your attitude toward diversity.

5. Corporate or organizational health care policy.

6. Promotion of a team member to a position outside your department.

7. Your new boss‘s initial impression of your team‘s efficiency.

8. A team member‘s habitual tardiness.

9. Corporate or organizational off-site training schedule.

10. Selection of team members you can mentor.

4. Control. Your attitudes and behaviors should be under your control.

The main responsibilities of leaders at each level are outlined below.

 Supervisors manage a team, or small group of transactional/technical workers. The supervisor is

LEADERSHIP LEVELS AND ORGANIZATIONAL FOCUS

Expectations (Skills, Competencies)

Limited technical focus.

Middle Management Level 

Selecting and developing future leaders.

Selecting and developing future executives.

 Developing people. Encouraging, guiding, mentoring, and coaching.

I make good use of my time. X

Name ________ Date