24 Mar Think of a leader of a human service organization whom you have seen in action.? What did that leader do that was effective or ineffective?? What might have made that leader more effec

Book: Management of Human Service Programs

Judith A. Lewis

11 C H A P T E R

LEADING AND CHANGING HUMAN SERVICE ORGANIZATIONS

We have now reviewed all of the core managerial functions, from planning and program and organization design, to human resources management and supervi- sion, to financial management and monitoring and evaluation. Leadership will be presented in this chapter as the force holding these elements together, aligning them, and enabling the organization to function as an integrated system. Because human services must be constantly adapting, we will also look at common methods of organizational change that a manager or other staff member may use to improve organizational operations or responsiveness. As a human service manager ascends the hierarchy in a human service organi- zation, the expectations for leadership increase. Increased positional power and vis- ibility attract greater attention to and reliance on the manager’s leadership style. Although a great deal has been written about leadership, even in the government and not-for-profit sectors (e.g., Collins, 2005; Perry, 2010; Renz, 2010), the cover- age here will be necessarily brief. LEADERSHIP: DEFINITION AND CONTEXT There are countless definitions of leadership. Northouse (2010) defines leadership as “a process whereby an individual influences a group of individuals to achieve common goals” (p. 3). The term followers will be used to describe those whom the leader is attempting to influence. The term subordinates is often used in organi- zational settings, but the term followers suggests that leaders can be in any role or position, and a bureaucratic hierarchy is not necessarily implied. Additionally, the concept of shared leadership contradicts the notion of “solo” or unilateral leader- ship. According to Gill (2006), shared leadership is characterized by the quality of interactions rather than hierarchical level; team problem solving; “conversation rather than instructions, shared values, and beliefs”; and “honesty and a desire for the common good” (p. 30). Leadership is a key factor in coordinating and aligning on the common good” (p. 30). Leadership is a key factor in coordinating and aligning organizational processes. As with any aspect of organizational functioning, it should focus on organizational performance, and most importantly, effectiveness in achieving desired outcomes. Leadership can contribute to outcomes at different levels (e.g., dyad, group, team, program, agency, community, and society). In an agency setting, outcomes can range from the accomplishment of agency objectives and results of program evaluations to client outcomes. For example, at the individual or team level, out- come variables such as job satisfaction or commitment can be measured; at the organizational level, leadership can affect overall culture or climate. Another important aspect of the leadership context in the human services is the growing emphasis on evidence-based practice. This plays out in two ways in a dis- cussion of leadership. First, in its traditional usage, evidence-based methods should be used by leaders in the design and implementation of the programs of their agen- cies, now being called evidence-based programming (Briggs & McBeath, 2009). Second, evidence-based practice principles can be used in assessing the theories, models, and practice guidelines for leadership. The newly emerging field of evidence-based management is an example of this application (Pfeffer & Sutton, 2006). When discussing leadership models and principles in the next section, the relevant empirical literature will be cited wherever possible. LEADERSHIP THEORIES AND MODELS TRAITS We will now review key theories and models of leadership. After that discussion, detailed coverage of a key leadership function—organizational change—will be presented. We will begin with the earliest research on leadership in the twentieth century, which focused on traits, originally seen as innate characteristics of lea- ders. This area of study broadened to include skills and competencies as well as the evolution of leadership styles and the notion that there is no one “best way” of leading (contingency theory). The section will end with a review of several cur- rent theories and a discussion of several issues in leadership, including diversity and ethics. Recently, there has been renewed interest in the study of leadership trait theory, especially characteristics of effective leaders, despite the fact that this perspective is limited. Little is known about how combinations of traits may impact effectiveness, or how traits affect organizational outcomes (Northouse, 2010, p. 26), but re- searchers do agree that traits are important only to the extent that they are relevant to a particular leadership situation. In light of these limitations, traits associated with effective leaders include intel- ligence, self-confidence, determination (e.g., desire to get the job done, including initiative, persistence, dominance, and drive), integrity, and sociability (Northouse, 2010, p. 19); a high energy level and tolerance for stress; an internal locus of con- trol orientation; emotional stability and maturity; personal integrity; emotional and social intelligence (including curiosity, inquisitiveness, open-mindedness, learning orientation intelligence); surgency (e.g., extroversion, high energy level, and power orientation); conscientiousness; and agreeableness (Yukl, 2010). In addition to these traits, leadership effectiveness has recently been associated with being “authentic.” Grounded in positive psychology, the authentic leader “[is] … confi- dent, hopeful, optimistic, resilient, moral/ethical, future-oriented, … gives priority to developing associates to be leaders … is true to him/herself … [and] exhibits behavior [that] positively transforms or develops associates into leaders them- selves” (Luthans & Avolio, 2003, p. 243). SKILLS AND COMPETENCIES Competencies are reflected in the style theories of leadership: the notion that cer- tain behaviors, for example task, relationship, or change-oriented behaviors (Yukl, 2010), make leaders more effective, and that these behaviors or styles (e.g., partici- pative or autocratic leadership) can by and large be learned and improved. Compe- tencies are defined as “the combination of knowledge, skills, traits, and attributes that collectively enable someone to perform a given job” (Zenger & Folkman, 2002, p. 83). Although the “competency movement” (Zenger & Folkman, 2002, p. 85) has not yet produced a strong evidence base to relate “lists” of competencies to leadership effectiveness in specific situations or challenge the assumption that all competen- cies are equal, the literature shows that certain competencies are mandatory (to a greater or lesser degree) for effective leadership. For example, Zenger and Folk- man (2002) found that business leaders with strengths in multiple competencies were most effective; and, significantly, that particular combinations of competen- cies seemed to be more powerful predictors of effectiveness. For example, being able to give feedback did not always correlate with effectiveness, whereas giving feedback while building trust did (Zenger & Folkman, 2002, p. 151). They also found that listening skills alone were not particularly valuable, but listening skills plus other interpersonal skills (e.g., being considerate and caring) did make a difference. Current thinking uses a “strengths perspective,” in which administrators work to build on their strengths and find situations that optimize them (Buckingham & Clifton, 2001). Zenger and Folkman (2002) agree that magnifying strengths is the best overall approach, but they add that “fatal flaws” must be fixed. For example, they found that an inability to learn from mistakes and a lack of core interpersonal skills were fatal flaws (pp. 157–162). Yukl (2010) has noted that different skill mixes are needed at different managerial levels, with conceptual skills more important at higher levels and technical skills more important at lower levels. Some of each skill will be needed at every level, and interpersonal skills are equally important at every level of management. In social work, a set of generic management competencies, ranging from advo- cacy to interpersonal skills, has been developed by the National Network for Social Work Managers (http://www.socialworkmanager.org/); they include many of the competencies mentioned in the research and others that are tailored to human ser- vices settings. LEADERSHIP STYLES Competencies are also reflected in the style theories of leadership: the notion that certain behaviors make leaders more effective and that these behaviors or styles (e.g., participative or autocratic leadership) can, by and large, be learned and improved. The earliest work in this area, at Ohio State University and the Univer- sity of Michigan, contrasted task behaviors, such as directing and providing struc- ture for the group and focusing on production, with relationship behaviors, which emphasized building trust, respect, good relations within the team, and an employee orientation. Examples of these behaviors and a newly developing cate- gory of change-oriented behaviors are provided in Table 11.1. Although research in this area is still inconclusive, “the overall pattern of results suggests that effective leaders use a pattern of behavior that is appropriate for the situation and reflects a high concern for task objectives and a high concern for relationships” (Yukl, 2010, p. 81). Leadership research now more typically recognizes complexities, which cannot offer simple answers. These insights are reflected in style models, including the Leadership Grid and Situational Leadership theories, which were discussed in Chapter 7. TABLE 11.1 EXAMPLES OF TASK-, RELATIONS-, AND CHANGE-ORIENTED BEHAVIORS Task-Oriented Behaviors Organize work activities to improve efficiency. Plan short-term operations. Assign work to groups or individuals. Clarify what results are expected for a task. Set specific goals and standards for task performance. Explain rules, policies, and standard operating procedures. Direct and coordinate work activities. Monitor operations and performance. Resolve immediate problems that would disrupt the work. Relations-Oriented Behaviors Provide support and encouragement to someone with a difficult task. Express confidence that a person or group can perform a difficult task. Socialize with people to build relationships. Recognize contributions and accomplishments. Provide coaching and mentoring when appropriate. Consult with people on decisions affecting them. Allow people to determine the best way to do a task. Keep people informed about actions affecting them. Help resolve conflicts in a constructive way. Use symbols, ceremonies, rituals, and stories to build team identity. Recruit competent new members for the team or organization. Change-Oriented Behaviors Monitor the external environment to detect threats and opportunities. Interpret events to explain the urgent need for change. Study competitors and outsiders to get ideas for improvements. Envision exciting new possibilities for the organization. Encourage people to view problems or opportunities in a different way. Develop innovative new strategies linked to core competencies. Encourage and facilitate innovation and entrepreneurship in the organization. Encourage and facilitate collective learning in the team or organization. Experiment with new approaches for achieving objectives. Make symbolic changes that are consistent with a new vision or strategy. Encourage and facilitate efforts to implement major change. Announce and celebrate progress in implementing change. Influence outsiders to support change and negotiate agreements with them. CONTINGENCY THEORIES OF LEADERSHIP Contingency theory suggests that there is no one best way to lead, that different behaviors are appropriate in different situations, and that the effectiveness of lead- ership styles depends to a great extent on the situation (Hersey, Blanchard, & Johnson, 2001). As is the case with several leadership theories, the complexity of contingency theories makes them difficult to precisely implement and test (Nort- house, 2010, p. 133), with research having produced mixed results (Yukl, 2010, p. 232). Regardless, applying principles of contingency theories and models to lead- ership practice requires leaders to engage in an assessment process of various fac- tors (e.g., the subordinates’ skill and motivation levels) and subsequent selection of mixes of task and relationship behaviors and appropriate leadership approaches (e.g., transformational or participative) for the situation at hand. CHARISMATIC LEADERSHIP Charismatic leadership (Conger & Kanungo, 1998) will be briefly discussed here as a prelude to a full discussion of current well-developed models of leadership, some of which include elements of charismatic leadership. A charismatic leader is a strong role model who demonstrates competence and confidence and communi- cates high expectations. Charismatic leaders foster the development of trust and can inspire followers to a new vision through self-sacrifice, risk taking, and a con- cern for followers. It should also be noted that charismatic leadership is risky: power can be misused, and followers can become inappropriately dependent upon a charismatic leader (Yukl, 2010, Ch. 9). Also, as Collins (2001) noted, effective leaders do not need to be strongly char- ismatic in the traditional sense of “larger than life heroes” such as Lee Iacocca at Chrysler (pp. 28–30). In fact, Collins’s research found that leadership attributes included a “paradoxical blend” of humility and a fearless determination to succeed, concluding that, “Charisma can be as much a liability as an asset, as the strength of your leadership personality can deter people from bringing you the brutal facts” (p. 89). The challenge here seems to be to demonstrate the characteristics noted without displaying an oversized personal presence, which puts more empha- sis on the person than the organization. TRANSACTIONAL AND TRANSFORMATIONAL LEADERSHIP Currently, one of the most popular and studied models of leadership contrasts two related approaches: transformational leadership and transactional leadership. Much of the current work on this model has been reported by Bass and associates (Bass & Avolio, 2006). In transactional leadership, the more common approach, an exchange process involves the leader and followers agreeing to do or provide things to accom- modate each others’ needs. In transformational leadership, the leader motivates followers to higher levels of commitment by focusing on shared goals. Transactional leadership has two components. First, contingent rewards are valued rewards received for performing desired behaviors. A transactional leader identifies factors that motivate a worker and provides the support needed for effective performance. Second, management by exception assumes that under normal circumstances, little supervisory intervention will be necessary. When exceptions (variations from routine activities) occur, management by exception is used. A leader can use active or passive management by exception. In active management by exception, the leader “arranges to actively monitor deviances from standards, mistakes, and errors that occur and to take corrective action as necessary” (Bass, 1998, p. 7). In passive management by exception, the supervi- sor does not actively monitor but waits for deviances or mistakes to occur and then acts. To effectively lead professional staff, transactional leadership will probably not be enough to achieve outstanding performance. Transactional leadership should be augmented by the use of transformational leadership, which includes idealized influence, inspirational motivation, intellectual stimulation, and individ- ualized consideration. IDEALIZED INFLUENCE Leaders who are admired as role models who display high moral and ethical standards, are trusted to do the right thing, and are emulated by followers are demonstrating idealized influence. INSPIRATIONAL MOTIVATION A key component of inspirational motivation is vision. The overuse of this concept in the popular press and misapplications in organiza- tions has led to cynicism on the part of some employees. Nevertheless, when prop- erly executed, visionary leadership can be a powerful tool for focusing and energizing staff. Another important aspect of this element is setting high expecta- tions for the work unit or program. The leader then uses enthusiasm and encour- agement to pull the team toward the vision and achievement of expected results. INTELLECTUAL STIMULATION Intellectual stimulation involves encouraging innovation and creativity, questioning assumptions, and trying new ways of doing things. This princi- ple is particularly important in the early stages of assessing the need for change. INDIVIDUALIZED CONSIDERATION Individualized consideration involves coaching and mentoring workers as individuals and having ongoing personalized interactions with staff. Individual consideration involves finding ways for followers to identify growth goals and providing opportunities for them to achieve them. This can take the form of an explicit discussion with a follower, simply asking what is important to them and how these things can be achieved in a work setting. According to Avolio and Bass (2002, p. 5), the best leaders use more transfor- mational leadership than transactional leadership, but both used together are opti- mally effective. They also note that transformational leadership can be confused with “pseudotransformational leadership,” which focuses on personal power, manipulation, threat, and punishment (p. 8). Yukl (2010) has offered several guidelines for the use of transformational leadership. Articulate a clear and appealing vision, and explain how it can be attained. Act confident and optimistic, and express confidence in followers. Sup- port the vision through resource allocations and emphasizing key values, and lead by example. Summarizing research over the past 20 years, Bass and Avolio (2006, p. 48) con- clude that transformational leadership is positively related to performance in the busi- ness, military, educational, government, and not-for-profit sectors. One meta-analysis of Full-Range Leadership, which includes the use of both transactional and transfor- mational leadership (Judge & Piccolo, 2004), found that both transformational leader- ship and contingent rewards had significant relationships with outcomes, including follower satisfaction and group or organizational performance. In a review of the liter- ature, Tucker and Russell (2004) conclude that transformational leaders can have a major influence on organizational culture and change. Yukl (2010) concludes that, in spite of conceptual weaknesses in the theory, “the available evidence supports many of the key propositions of the major theories of charismatic and transformational leadership.” Transformational leadership is compatible with human services values and principles regarding valuing and empowering individuals. EXEMPLARY LEADERSHIP Kouzes and Posner’s (2002) work on leadership, unlike some of the popular litera- ture, presents a model with an empirical base. Although they have not formally named their model, we will use here the title of their most comprehensive book on the subject: exemplary leadership. Their model is structured around 5 “practices” and 10 “commitments” of leadership. Model the way involves clarifying one’s per- sonal values and setting an example by aligning actions with values. Inspire a shared vision includes envisioning the future and enlisting others in a common vision. Exemplary leaders challenge the process by finding opportunities to innovate, change, and grow and by experimenting and taking risks. These leaders enable others to act by fostering collaboration through trust and cooperative goals and sharing power and discretion. Finally, such leaders encourage the heart by showing appreciation for individual excellence and celebrating values and victories through a spirit of community. In their research, they found several characteristics that peo- ple look for and admire in a leader: 1. Honest: truthful, ethical, principled, worthy of trust

2. Forward-looking: articulating a vision and sense of direction for the organiza-tion; using strategic planning and forecasting

3. Competent: having a track record and the ability to get things done; under-standing the fundamentals; having relevant experience

4. Inspiring: enthusiastic, energetic, positive about the future and Posner (2002) conclude that these four make up source credibility— people believe in and trust them; they do what they say they will do, represented by the acronym DWYSYWD. “Do what you say you will do” requires that a leader practices what he or she preaches, “walks the talk,” and follows through. VISIONARY LEADERSHIP Vision has been mentioned in several contexts, including transformational leader- ship and exemplary leadership, and because it is mentioned so often in the leader- ship literature, it will be given special attention here. According to Nanus and Dobbs (1999), a vision is “a realistic, credible, attractive, and inspiring future for the organization” (p. 78). The vision should be challenging, but staff members also need to see that, with time and enough of the right kind of work, it is attain- able. A mission statement describes why an organization exists (its purpose) and what it does (its unique niche of programs or activities), whereas a vision statement represents where the organization wants to be, or its ideal future. Articulating a clear and compelling vision is an important aspect of leadership and, as will be discussed later, of change leadership as well. This is important to provide meaning, focus, and clarity of purpose for staff on an ongoing basis, and it may be even more important when organizational change is needed. The organi- zation as a whole typically has a vision statement, and individual programs may have their own vision statements as well. Individual employees come to an organi- zation with their own visions for what they want to accomplish in their careers. It is important for a leader to learn about his or her followers’ aspirations, build these into the organization vision as possible, and help followers see how their individual visions can be realized through a common vision (Kouzes & Pos- ner, 2002). Ultimately, all of these visions should be in alignment (Senge, 2006). An initial statement of vision typically comes from the organization’s leader, but alignment can be facilitated by having employees involved in creating a final vision statement and then promulgating it throughout the organization. This can occur through a visioning process or, if necessary, through a larger process of culture change or organizational change, as described later. SERVANT-LEADERSHIP Servant-leadership, developed by retired AT&T executive Robert Greenleaf (2002), has received increasing attention in the popular literature in recent years. It is a non- traditional model for leadership in several respects. It was developed by a successful career executive; it is explicitly based in philosophical, ethical, and moral principles; and it presents the unorthodox idea that the leader should first serve followers. Servant-leadership focuses on the leader-follower relationship and can be con- sidered to be in the style category of leadership models because it focuses on leader behaviors. Spears (2005, pp. 33–36) has identified 10 characteristics of the servant- leader, many of which are clearly associated with social work and other human services professions: listening, empathy, healing “broken spirits” and “emotional hurts,” general and self-awareness, using persuasion rather than positional author- ity, broad conceptual thinking and visioning, learning from the past and foreseeing future outcomes, stewardship (“holding their institutions in trust for the greater good of society”), commitment to the growth of people, and building community. Until recent years, much of the writing on servant-leadership emphasized the description of desired behaviors and principles, but research on this model is expanding. A professional journal devoted to it, The International Journal of Servant-Leadership, was launched in 2005. Further systematic empirical work on this model should more fully illustrate its potential. Before concluding the leadership section of this chapter, several issues related to leadership deserve attention. These include political aspects of leadership in organizations, ethics, and diversity issues. Then, the leader’s role in shaping organizational culture will set the stage for a discussion of organizational change. SUMMARY Summary

Leadership plays a key role in tying together all organizational processes into a coordinated whole. Leadership behaviors are important fac- tors in organizational effectiveness. In today’s dynamic human service environment, change is a constant, and leaders play key roles as change agents in their organizations. In addition to leaders, other staff, even at the line level, can and should function as change agents. Occasionally consultants can provide valuable outside expertise Considering the characteristics of the hypothetical program that you have designed, what kind of a leader would be best to manage the program? What factors within the program, including the characteristics of its BUDGET CUT The Women’s Agency of Schaefer City offered a full range of services to women, including counseling, educational interventions, and career development programs. Services were offered by a combination of professionals, paraprofessionals, and volunteers, with self-help and peer counseling important components of most programs. The one agency program that depended solely on professional service deliverers was the health center, located in a separate building but overseen by the to aid change processes in which staff engage. On any changes beyond routine adjustments, a planned change process should help enhance the prospects for organizational improvement. In our final chapter, we will review where we have been, with particular attention to the effec- tiveness of key organizational processes. Assum- ing that change will be constant, we will look at how a human service manager may remain com- petent through continuing development.

,

Book: Management of Human Service Programs

Judith A. Lewis

11 C H A P T E R

LEADING AND CHANGING HUMAN SERVICE ORGANIZATIONS

We have now reviewed all of the core managerial functions, from planning and program and organization design, to human resources management and supervi- sion, to financial management and monitoring and evaluation. Leadership will be presented in this chapter as the force holding these elements together, aligning them, and enabling the organization to function as an integrated system. Because human services must be constantly adapting, we will also look at common methods of organizational change that a manager or other staff member may use to improve organizational operations or responsiveness. As a human service manager ascends the hierarchy in a human service organi- zation, the expectations for leadership increase. Increased positional power and vis- ibility attract greater attention to and reliance on the manager’s leadership style. Although a great deal has been written about leadership, even in the government and not-for-profit sectors (e.g., Collins, 2005; Perry, 2010; Renz, 2010), the cover- age here will be necessarily brief. LEADERSHIP: DEFINITION AND CONTEXT There are countless definitions of leadership. Northouse (2010) defines leadership as “a process whereby an individual influences a group of individuals to achieve common goals” (p. 3). The term followers will be used to describe those whom the leader is attempting to influence. The term subordinates is often used in organi- zational settings, but the term followers suggests that leaders can be in any role or position, and a bureaucratic hierarchy is not necessarily implied. Additionally, the concept of shared leadership contradicts the notion of “solo” or unilateral leader- ship. According to Gill (2006), shared leadership is characterized by the quality of interactions rather than hierarchical level; team problem solving; “conversation rather than instructions, shared values, and beliefs”; and “honesty and a desire for the common good” (p. 30). Leadership is a key factor in coordinating and aligning on the common good” (p. 30). Leadership is a key factor in coordinating and aligning organizational processes. As with any aspect of organizational functioning, it should focus on organizational performance, and most importantly, effectiveness in achieving desired outcomes. Leadership can contribute to outcomes at different levels (e.g., dyad, group, team, program, agency, community, and society). In an agency setting, outcomes can range from the accomplishment of agency objectives and results of program evaluations to client outcomes. For example, at the individual or team level, out- come variables such as job satisfaction or commitment can be measured; at the organizational level, leadership can affect overall culture or climate. Another important aspect of the leadership context in the human services is the growing emphasis on evidence-based practice. This plays out in two ways in a dis- cussion of leadership. First, in its traditional usage, evidence-based methods should be used by leaders in the design and implementation of the programs of their agen- cies, now being called evidence-based programming (Briggs & McBeath, 2009). Second, evidence-based practice principles can be used in assessing the theories, models, and practice guidelines for leadership. The newly emerging field of evidence-based management is an example of this application (Pfeffer & Sutton, 2006). When discussing leadership models and principles in the next section, the relevant empirical literature will be cited wherever possible. LEADERSHIP THEORIES AND MODELS TRAITS We will now review key theories and models of leadership. After that discussion, detailed coverage of a key leadership function—organizational change—will be presented. We will begin with the earliest research on leadership in the twentieth century, which focused on traits, originally seen as innate characteristics of lea- ders. This area of study broadened to include skills and competencies as well as the evolution of leadership styles and the notion that there is no one “best way” of leading (contingency theory). The section will end with a review of several cur- rent theories and a discussion of several issues in leadership, including diversity and ethics. Recently, there has been renewed interest in the study of leadership trait theory, especially characteristics of effective leaders, despite the fact that this perspective is limited. Little is known about how combinations of traits may impact effectiveness, or how traits affect organizational outcomes (Northouse, 2010, p. 26), but re- searchers do agree that traits are important only to the extent that they are relevant to a particular leadership situation. In light of these limitations, traits associated with effective leaders include intel- ligence, self-c