Chapter 1 Leadership in Human Services and
Workplace Vocabulary of Leaders and Managers
Learning Objectives
The student will
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describe the human services work sector and the leadership skill sets needed;
explain the benefits to human services organizations if employees develop improved
leadership skill sets;
identify and explain leadership and management vocabulary as described giving a
workplace example; and
engage with the flow of the learning process used through out the textbook: reflection,
diagnosis, and prescription.
The scope of this text will focus on the full range of key organizational processes and personal
skills of leaders and managers within a human services organization.
Leadership in Human Services
Effective leadership starts on the inside. This text will provide growth and development for both
personal and organizational leadership as well as management. The impact of learning from this
text will equip you to establish strong foundations and key skill sets within your organization to
become a manager and leader in the field. Your action will be to read, reflect, diagnose, and
apply the various skills to personal and organizational situations (prescription). Don’t think of it
as a medication for an illness but instead as a treatment of multivitamins for your leadership
growth and development. You will be learning not just theory but application of the theories.
This challenge requires more than memorization on your part. In each chapter, the concept is
introduced, followed by an opportunity to reflect on how the concept is currently active in your
life. After reflecting, you will have the opportunity to take a short assessment to see how
effective you are in utilizing that leadership concept. This step is called diagnosis. Your need for
the third step, prescription, is determined here. Once you know what you want to do differently
to become more effective as a leader, you can apply the prescription appropriately. Following the
study of each chapter’s concepts, utilize the textbook’s extra resources and seek feedback from
peers, faculty members, and human services professionals on the progress of your ability to
apply your new learning in leadership. And of course, practice, practice, practice! Learning new
skills and behaviors requires practice.
What is the Human Services Sector?
Agencies, community centers, some government services, educational organizations, health
clinics, and many nonprofits fall under the umbrella of the human services sector. Sometimes
these organizations are partnered with or are part of national, state, and local governments. Each
organization’s outreach varies depending on the community need, organizational mission,
functional technology, human resources, and funding. The field of human services can be
defined as one that helps individuals cope with problems of a social welfare, educational,
psychological, behavioral, health, or legal nature (Mehr & Kanwischer, 2011, p.13).
The Human Services Leader: A Snapshot
Due to the diverse services and programs human services organizations deliver, leaders within
human service organizations have obtained a variety of degrees and experiences that qualify
them to be direct service providers, media and marketing coordinators, educators, public health
officials, social workers, grant writers, or volunteer coordinators. Leaders of human services
organizations work with teams inside and outside of their organization, establishing partnerships
as well as ensuring their customers’, clients’, or patients’ needs are met. They have to balance
not only the diverse set of needs and talents of their staff but also the diverse set of needs and
characteristics of their clients. A typical workday in a human services leadership position will
include a substantial number of meetings and communications with staff, clients, board
members, and community partners. Leaders find themselves engaged in planning, supervising,
handling crises, fundraising, returning phone calls and emails, building the organization’s brand,
leading teams, managing large numbers of documents and appointments, reviewing and
monitoring budgets, and approving expenditures. Human services organizations are typically
challenged with limited fiscal and human resources whether in government, for-profit, or
nonprofit sectors. Most employees’ roles include administrator, service provider, program
planner, as well as clerk and receptionist, because support staff is a luxury for most of these
organizations. Few leaders of human services organizations spend their time engaged in only
leadership activities such as documenting and measuring the positive impact of their services,
fundraising, providing feedback to staff and other stakeholders, leading board meetings,
networking with potential community partners, and assessing community needs and resources.
Many leaders of human services organizations also provide direct client services.
The Study of Leaders in Human Services Organizations
Since the 1990s, interest has grown in understanding civic leadership in communities and the
human services field. As you will see in Chapter 2, much of the early historical focus regarding
the study of leadership concentrated on military leaders, political leaders, and for-profit business
leaders. As you progress in your study of leadership in the human services sector, the overall best
practices, skill sets, strategies, and processes of leadership will have many commonalities among
the many workplace sectors. However, because the missions-orientation, values, environmental
contexts, and operating systems of human services organizations differ from other workplace
sectors, this textbook will emphasize and present leadership skill sets, strategies, and processes in
a human services organizational context. In other words, leaders in human services use the same
tools but may use them in a different way, have a different emphasis, or spend more time with
some tools than others. Included in a section of this chapter will also be key vocabulary used in
the study of leadership and organizational management that might be unfamiliar or unclear to
those who studied only for human services careers.
Reflection: Leading a Human Services Organization
Begin by comparing the characteristics of a human services and a for-profit organization. Did
you realize a human services organization serves a client base and a community while a forprofit organization serves stockholders, owners, and customers? A for-profit organization
produces a product that must be sold and return a cash profit. A human services organization
produces a product most often in the form of a program, service, or assistance that is not always
expected to return a cash profit with returns to stockholders. These products are delivered to
clients to alleviate a difficult situation, enabling them to return to a state of well-being. They may
compete with programs and services of another agency, but such a marketplace is usually limited
by location or rules of eligibility. A for-profit organization competes in a global marketplace of
many similar products and services. Leaders in human services organizations always seek to
make an impact at the micro level, which can be described as running an effective organization
that provides quality, direct services to individual clients. A for-profit organization works to
impact at both the micro and macro levels, seeking to gain the loyalty of the customer as well as
a larger market share. Now that you can recognize the different characteristics of for-profit and
human services organizations, are the characteristics of leadership requirements different in the
two sectors? The Table 1.1 defines the needed skill sets for each of the different leadership levels
within an organization.
Although this list of skill sets is common to leaders in both sectors, leaders in human services
organizations require additional skills. Over time, leaders in human services organizations will
observe patterns of client risk factors and bureaucratic rules, resulting in a possible need to
problem solve at a macro level (to investigate through a larger unit of analysis such as a multiple
community study or a national study). By collaborating with other community leaders, human
services organizations become part of a collaboration that champions, makes recommendations,
and establishes policies on a variety of issues regarding social, educational, health care, and
socioeconomic issues. Human services leaders play a vital role in advocating for and building the
public policy agendas that shape programs and policies government undertakes (Denhardt,
Denhardt, & Aristigueta, 2002). Leadership in this field is more than influencing followers
toward a common goal. Human services leaders must consider roles and responsibilities of all,
the comprehensive network of community issues and problems, as well as seek to understand the
value systems of different populations. Heifetz (1994, p. 22) refers to this as “adaptive work.”
Human services leaders are tasked with a difficult job of helping communities learn to adapt to
new ways of thinking, living, and accepting people of all backgrounds as valued and deserving
of services designed to improve their quality of life. Human services leaders, such as government
policy makers, working at the macro level to impact large-scale issues will partner with many
organizations, agencies, and community leaders to achieve their goals. The traditional skills of
organizational management skills useful in micro-level work are not adequate at the macro level.
These leaders need skill sets to become conveners, facilitators, advocates, and conflict
negotiators. They must think strategically and motivate others to do the same. They must keep a
positive, proactive attitude; possess high personal integrity; and maintain focus on the mission
and results (Denhardt et al., 2002). Human services leaders working at the micro level help
community members address individual and family needs; later they shift to the macro level to
provide advocacy that may diminish the gap between a community’s values, legislative policies,
programs, and services and between the disparities community members face. As a future leader
in this sector, imagine the breadth of the roles you will play, the skills you will employ, as well
as the impact you will have.
iagnosis: Leadership Skill Sets Needed in the Human Services
Profession
How is your academic program and future profession preparing you to succeed as a leader in the
human services sector? In 2005, Scotland’s government convened a group of leaders in the social
work profession to review current practice of leadership preparation, project the leadership and
management needs within the profession, and make recommendations on how to improve and
strengthen their services(Leadership and Management Sub Group, 2006). The group determined
that a future of increasing demands, greater complexity, and rising expectations of social work
services required an upgrade from their current ability levels. Their research concluded needs for
a changing service delivery model with engaging clients as active participants, consistently
improved outcomes, new collaborative service delivery, and a shift from a welfare-based
approach to a delivery of well-being for individuals and communities. Their report highlighted
recommendations for improvement in strategic leadership, succession planning, outcomes
measures for programs and services, greater accountability, management and leadership training
at all levels of the organization, standards of professional practice, and integrated service
delivery. In short, the skill set needs were identified, and a call to action was declared. In 2012,
the Center for Creative Leadership in the United States facilitated an online discussion of
nonprofit professionals to discuss leadership challenges driving today’s nonprofit landscape
(Clark, 2012). The first challenge noted was the struggling economy, which created an
environment of fierce competition for funding from foundations, donors, and grants. All funders
have raised the bar to require demonstrations of impact and statistical measures of change for the
dollars received. The second challenge discussed focused on the leadership capacity of
nonprofits. It is critical that nonprofit organizations intentionally develop a pipeline of leaders
within the organization both to carry out the mission and strategic plan of the organization and to
be trained and ready to fill a vacancy or void. Succession planning builds an organizational
pipeline, ensuring one person does not have all of the expertise and experience regarding a
particular niche. The third challenge of human services organizations is to evolve with the
changing needs of the employees, clients, and board members by adding new leadership
development programs and updating leadership tools. Leaders must develop skills that facilitate
new ways to operate that favor team approaches and interagency collaboration, new methods to
engage board members, creative use of resources, retaining and utilizing volunteers, as well as
hiring and retaining highly trained staff. As you can see from these two different studies, it is
imperative for successful human services leaders to adapt to changing demands, changing needs
of their communities, diverse employees, and environments that evolve due to ongoing social
and economic change. Earlier academic programs did not prepare human services professionals
for the skill sets required to face today’s leadership challenges. These studies specifically make
recommendations to train and develop leaders in the human services sector, to establish bench
strength and succession planning, to train leaders for both the micro and macro roles of the
organization, to establish a network of shared leadership at all levels of the organization, and to
establish a discipline of resource accountability by demonstrating consistent, measured results.
Complete this survey as you consider the strength of your skill sets in these diverse leadership
success factors.
Survey of Human Services Leadership Skill Sets
Use the scale of 1 = no knowledge, no practice; 2 = small knowledge, no practice; 3 = some
knowledge, little practice; 4 = knowledgeable, some practice; 5 = knowledgeable, successful
practice.
1. Able to sustain a community partnership: I am knowledgeable of and can apply the key
behaviors and requirements that make a community partnership successful.
2. Teamwork: I can work with a team to make decisions and implement policies and
programs.
3. Influence: I can lead others to see and adopt new ways of thinking and living in a diverse
community.
4. Lead change: I can work at the micro level to influence others to make positive changes
for themselves and their families.
5. Political influence: I can work at the macro level to influence policy makers and leaders
in peer organizations to initiate change.
6. Mission driven: I can coach my work team to stay focused on the mission and results.
7. Demonstrate measurable results: I am able to frame results in a quantifiable way so that
progress can be measured and compared.
Where are your leadership skill sets strong? How many 4s and 5s did you score and in what
areas?
Where do your skill sets need strength? What areas did you score 1s, 2s, and 3s?
Prescription: Guiding Your Leadership Journey
The scope of this text will focus on the full range of key organizational processes and personal
skills of leaders and managers within a human services organization. You will see measurable
improvement in the seven identified leadership skill sets and more. Ken Blanchard (2007) wrote
in Forbes that one of the many mistakes E-MBA programs (i.e., online MBA programs) make is
spending too much time on teaching strategy and other organizational management concepts
before ensuring students have adequately addressed their own credibility as a leader. Kouzes and
Posner (2007) and Covey (1989) further emphasize that leadership development begins with an
assessment of personal management, values, and credibility. By spending time in each chapter
with an honest assessment and real application of new behaviors, you will become that credible
leader.
Teaching leadership and management in one textbook for what will likely be a one-semester
course might seem like entering an eating contest to see how many sandwiches you can eat in 15
sittings. The intention is not to give you indigestion or information overload but to teach you the
critical skill sets of successful leaders and managers in human services organizations. In How
Great Leaders Grow, Ken Blanchard (2012, p.1) calls this learning process “walking toward
wisdom.” In his book, Blanchard states leaders grow when they are willing to receive feedback,
open to learning, willing to seek counsel, able to reach out to others, and willing to stretch
outside their comfort zones. Be open to reflecting on yours and your classmates’ experiences.
Consider adopting new ideas into your repertoire of leadership skills. Picture yourself in a firstlevel leadership role, in a middle-level leadership role, and as the executive director. The goal is
to help you gain confidence as you make the skills within this text your skills. The leadership
skills you develop rely solely on how far you are willing to study; use the questions, exercises,
feedback, and practice. Welcome to the journey.
The Workplace Vocabulary of Leaders and Managers
Every workplace has a culture and a language peppered with a vocabulary designed to
communicate unique concepts and ideas in a profession. Human services, leadership, and
management are no different than other professions in their use of specialized terms. In your
study of human services, you have gained a rich understanding of that special vocabulary. Now it
is time to avail yourself of the important terms in leadership and management.
Reflection: Speaking a New Language
Becoming a confident and respected leader requires the ability to use the language employed by
leaders in the workplace. In fact, let’s start with those two words. Are they interchangeable? Is a
leader the same as a manager? Actually, they are not the same. To simplify the concepts, think
about a pair of work colleagues in terms of roles they each play on the job. Reference Table
1.2 below to note the role differences between leaders and managers.
As you can see, leaders and managers play different yet vital roles ensuring an organization’s
success. The manager provides steady and consistent processes and procedures. The leader is
looking to the future to keep the organization and staff strategically positioned for the inevitable
changes, which will maintain an organization’s future readiness for growth and success.
Organizations need the stability and steady progress managers provide. Some organizations have
a large enough staff to hire two executives who have complementing skills in leadership and
management. Some organizations have a very small staff and must seek an executive director
who has both skill sets. Because many human services organizations are resource-challenged,
resulting in fewer staff, the ability to play both roles is beneficial and necessary for a human
services leader.
How strong is your vocabulary in the world of organizations, business, management, and
leadership?
Diagnosis: Borrowing Words From Other Professions
In addition to words such as manager and leader, there are other words and ideas that are
common in the business world and useful in the world of human services. Can you give a
working definition of these words?
It is possible you may have worked in the for-profit sector, and this language is familiar to you.
You may also believe that words such as these are necessary in only the for-profit world. Be
assured that this vocabulary will be important to you as well as to other human services leaders
and partnering community leaders. Can you use these words correctly as a leader in a human
services context? Do you currently use these words regularly in the workplace?
You will find that management and leadership language translates as easily to small business
entrepreneurs as it does to human services organizations and Fortune 500 companies. Rather than
give you the Webster’s Dictionary definition of each term, I’ve created a story to help you
understand vocabulary concepts through a human services lens.
Prescription: Business Vocabulary Translated Into Human
Services Speak
Business vocabulary is spoken by leaders in all sectors of the workplace, and many business
leaders will be represented on your board of directors, advisory board, community stakeholders,
and community partners (depending on your organization’s for-profit/nonprofit status). Your
ability to use and understand these terms builds your leadership credibility. The vocabulary was
selected from What the CEO Wants You to Know: Using Business Acumen to Understand How
Your Company Really Works by Ram Charan (2001), and from the 2015 Criteria for the
Tennessee Center for Performance Excellence (http://www.tncpe.org/framework) The order is
based on the sequence of the fictional case study that uses these terms in a human services
context.
The case: As agency director, you are considering establishing a new service for your health
education agency to better serve its clients. This new service will provide to-go healthy meals for
families dealing with Type 2 diabetes using after-work (5–7 p.m.) support group services at your
agency. A survey of evening support group participants uncovered that fast food consumption (a
problem area for those with Type 2 diabetes) had increased among participants of after-work
programs. This was an unintended consequence of hosting otherwise convenient after-work
programs for working adult participants. If the agency could send the 5 to 7 p.m. participant out
the door with healthy to-go meals for the participant and the family, fast food consumption
would decrease and participants would have healthier diets, a goal for those with Type 2
diabetes.
Mission – This mission is the engine driving your organization in the human services sector. The
mission should be able to answer why your organization exists and what it hopes to accomplish?
What unique, high quality purpose does it deliver to your community? The mission is the
compass by which your leadership steers the agency. Mission: The XYZ Health Education
Agency seeks to educate and support citizens in making life-changing decisions for a healthier
XYZ community. What programs and services should your organization agree to deliver, and
what should other organizations deliver are two of the most important questions a human
services organization must determine. In the context of this case study, you must answer the
question, Will healthy to-go meals for the 5 to 7 p.m. participants enhance the delivery of your
organization’s mission?
Anticipate Demand – If you decide the program of healthy to-go meals aligns with your
organization’s mission, the next step is to discover if your clients want and need such a service.
If they do, are they willing or able to pay a nominal fee for the meals? A willingness to pay a
small fee is an indicator of the client value placed on the service. Through this process, you will
learn if clients desire and value the meal service and if there is a portion of the cost you can
recoup by charging a fee.
Market Survey – One way to determine if a healthy to-go meal service will be successful is to
interview and survey the clients your organization serves. Here you can ask more detail
questions regarding the nominal fee and the client need to determine the extent of the demand. It
will also be helpful to research your competitors to determine if similar meal services exist and
would therefore compete for funding and clients. A competitor’s program model can help you
establish certain baselines such as operations, staffing, costs, facility impacts, and client
responses.
Competitor – Competition exists in all sectors of the marketplace, even nonprofits. Name the
organization(s) that offer similar services as your organization. Then go one step further and ask
who offers similar meal services in your market area? The organizations you name are your
competitors. It is always beneficial to know who is in your marketplace offering similar services
and the details regarding what they offer.
Core Competency – A core competency is your organization’s area of greatest expertise. Your
organization may be excellent at health education but not excellent in meal preparation.
Although a good idea, this new healthy to-go meal service may be better executed by a
partnering agency whose expertise is quality meal preparation.
Products – In the human services sector, these are deliverables to the clients. The deliverables
are programs and services that benefit the clients of your organization. The proposed healthy togo meal plan would be classified as a service provided by your organization.
Sales Forecast – This is an attempt to predict the number of meals you anticipate delivering each
day you are in operation. You can compare this number to your actual served meal count each
day to see if you are meeting your goals and reflect on opportunities for change.
Merchandising – Any service (food especially) must look appealing and fresh. Even if the
clients want the service, if it does not look or smell appealing, they will not participate. How will
you package and make the healthy to-go meals attractive to current and future clients?
Advertise – Once your agency adopts the healthy to-go meal service as one of its programs, how
will you communicate this service to your clients? How will you secure their loyalty to the
program? How will you reach out to potential clients and ensure their future loyalty?
Product Mix – When you offer the healthy to-go meals, you will likely have choices for what
makes up the meal. Some of these decisions can be fleshed out during the market research phase.
However, there will inevitably be some clients who are unsatisfied due to the lack of variety,
gluten-free, or vegetarian options. Therefore, it is important to determine if your organization
will meet these needs or evolve to discontinue some of the unpopular choices after the service is
in place.
Cash – This term has a different meaning in many organizations within the human service
sector. Yes, all organizations operate with cash. The sources of that cash are as varied as the
types of organizations. Cash can come from sales of products, fees for services, insurance
reimbursements, donors, and grants. If your organization is a government or nonprofit agency,
you will need to know that the expenses for the service do not exceed what you budgeted for the
cost and that the service provided value to the client. Measuring this value is in effect a
demonstration of your profit. If your organization is a for-profit agency, you will need to know
the cost of delivering the program; not only should the program not exceed the total expenses
incurred, but also there must be a profit (cash for the agency to keep) to show for the work.
Profit Margin – This term means the same as net margin. It is a calculation to help an
organization know how closely priced the item is to its cost. For example, jewelry is sold at a
higher margin than groceries. Margin is not the same as the markup on an item. The profit
margin formula looks like this:
Net Profit Margin = [Revenue – Cost]/Revenue × 100
Let’s say you spent $400 on 4,000 pounds of ingredients for the healthy to-go meals. If all to-go
meals are sold at a 2% profit margin, assuming the staff salaries are covered and there is no food
waste, the agency has a profit of $80. Therefore, your organization will make a 20% return on
assets (80/400 = .20 or 20%), which can either be reinvested to grow the program, grow other
programs, or support other new programs.
Client/Customer/Patient Focus – Agencies strive to know whether their services and programs
create value and return clients to a sense of well-being. One way they do this is to put themselves
in their clients’ shoes to determine if the services alleviate the problem and are delivered in a
way that pleases the client. Clients have choices today in selecting their service providers. In the
health care arena, patient focus is a key determinant in the accreditation ratings of clinics and
hospitals. Foundations and government-funded grants are also interested in value to client and
client satisfaction. Clients have the ability to choose most service providers. A healthy to-go
meal will have to be convenient, high quality, high choice, and a good economic deal to interest
the client.
Brand – Funding streams tend to follow organizations that create client demand and show
results. That reputation is known as the agency brand. As a leader, the organization’s focus is not
only to deliver on the agency mission but also to deliver in such a way that clients are well
served. This translates into an enhanced brand. Any new service or program added to the agency
must deliver in a way that continues to enhance the brand. Delivering a quality, healthy to-go
meal causes clients to want to return to your service/organization as well as rave about their
experience to other current or potential clients. Today that conversation method includes texts,
emails, twitter, blogs, and so on. Your agency’s reputation can be elevated or reduced by a few
keystrokes. Many human service organizations rely on their brand reputation to secure donors,
grant funds, and ensure ongoing government funding. Although your agency’s goal is not to
become a long-term competitor to McDonalds, you want your funders and board members to
understand the agency has a new quality, healthy to-go meal service that adds to the reputation of
your organization’s brand.
Stakeholders Versus Shareholders – The for-profit term is shareholders and refers to those
who have made a monetary investment in the business, and will expect a return of cash on that
investment. A stakeholder in a nonprofit expects a return on the investment in the form of an
enhanced community. The term stakeholder applies to all types of organizations and is someone
who is impacted by the organization: a key stakeholder is impacted directly. Using this
definition, the list of stakeholders for an organization is large. Adding a new service to your
organization certainly impacts its internal stakeholders such as employees and board members as
well as external stakeholders such as clients, competitors, and community partners. When you
pitch the idea for the healthy to-go meals to internal stakeholders, you must be able to articulate
the organizational impact on staff, resources, future clients, board members, major donors, and
so on.
Accounts Receivable/Accounts Payable – Accounts receivable are funds clients owe the
organization. These can be agency fees or even the discounted cost of the new healthy to-go
meal service. Accounts payable are funds the agency owes to suppliers. These can be utility bills
or the cost of the food items for the to-go meals. Organizations must have appropriate cash on
hand to pay for those items in the accounts payable column. Therefore, leaders must know what
it will cost to incorporate the new meal service and if the money is not in the current budget, how
you will intend to raise the funds.
Asset – These are things (not people) you have invested in for your organization. Ownership of
the facility, equipment, technology, and vehicles are considered assets. Supplies such as paper or
packaging for the healthy to-go meals are not assets since those are items that are consumed. It
might be that the new food service will require purchase of assets such as new kitchen
equipment: ovens, microwaves, stoves, and refrigerators.
Return on Assets – Leaders must understand the value of an investment of funds for an asset.
They will refer to it as an ROA (return on assets) or ROI (return on investment). The terms are
interchangeable. How might you describe the ROI of cash and staff-time to add the new meal
service? Is the return an increase in participation? A return could mean healthier eating patterns
for participants and their families, resulting in a reduction of their out-of-pocket medical
expenses? Most organization boards of directors will ask such questions before approving
expenditures for new equipment to support new programs like the healthy to-go meal service.
Effective – This term describes whether a service achieves its intended purpose. What are the
intended purposes of the healthy to-go meal? (1) Meal convenience maintains client
participation. (2) Healthy meal choices support the organization’s clients overall well-being as
well as the after-work programs that educate families impacted by Type 2 diabetes. (3) The
healthy to-go meal service provides families an economic option to eat healthy. Using these
purposes, you can measure effectiveness of the new service.
Goals – A goal is a performance level an organization intends to attain. In launching the new
healthy to-go meal service, your goal might be to reduce after-work program participation
decline by 50% in 6 months. Participants reported it was too difficult to manage a healthy
evening family meal and attend 5 to 7 p.m. programs. If the new meal service caused 25 of those
participants to return to after-work programs over 6 months and the organization had previously
seen a decline of 50 participants, we would say the goal had been met.
Measure – This is numerical information that quantifies input, output, and overall outcomes of a
program or service. In an organization that provides services designed to provide clients with a
sense of well-being, measuring the impact of services is challenging. Programs and services in
human services organizations are usually directed to produce behavior changes, which can be
attributed to multiple influences. A sustained behavior change presents even more challenges to
measure since the organization will need to monitor the change for months or even years. If your
after-work program is one that provides education and support on weight loss, the program is an
input to the participant’s goal to lose weight. Another input is participating in the healthy to-go
meals. An output in the process is the number of times the participant attended the 5 to 7 p.m.
program. The overall outcome is the number of pounds the participant lost or gained. Each of
these items can be measured. Each plays an important part in measuring the behavior change.
Process – A set of linked activities with the purpose of producing a program or service for
clients is a process. Many times the sequence of activities is important to a process. The case
study program describes linked activities that make up the programs and services for families
with Type 2 diabetes. Teaching families to prioritize healthy eating is part of the process of
successfully living with Type 2 diabetes. The healthy to-go meal is an optional part of the
services that support learning about healthy eating processes. Other parts of a healthy eating
education change process could be teaching how the body uses different nutrients in foods, how
exercise changes metabolism and burns calories, how to read product labels, how to change
recipes to use healthier ingredients, and how to plan your week to include shopping, cooking,
and exercise instead of relying on typical fast food.
Strategy – Engaging in a strategy session requires analyzing all internal and external impacts of
an organization to determine a plan of action that allows the organization to achieve intended
objectives and positive growth. Such a strategy session may have produced the idea for the
healthy to-go meal service, or a decision within the strategy session may have been made to
eliminate other programs so that limited resources could be focused on this initiative’s specific
long-term goals. Strategy can expand or focus an organization’s work.
Sustainability – The organization’s ability to address needs, to evolve, and to strategically plan
to successfully prepare for the future needs of the community in their market area is work to
sustain the long-term success of the organization. To have long-term viability, organizations
must look at both internal and external factors. Factors may include workforce capability,
technology, resources, facilities, and so on. It is the social responsibility of the organization to
act in a manner that benefits all stakeholders. As an organization, taking on many small new
services can reduce its capability to respond to major community needs as they arise. To preserve
your organization’s agility and future resources, leaders may choose not to offer the innovative,
healthy to-go meal service, so that resources are not spread too thin. Leaders of human services
organizations must focus on both the sustainability of the organization as well as the
sustainability of its programs and services upon which your clients and community depend.
Values – Guiding principles that embody how the organization and its people are expected to
operate are its values. Examples of organizational values usually include demonstrating integrity
and fairness, valuing diversity, and striving for excellence in the organizations programs and
services. Your organization may value nutrition and want to help clients make healthy eating
choices. Therefore, the healthy to-go meal service is aligned with your organization’s values.
Vision – This is a statement that describes in a sentence or two a picture of what the organization
is striving to be in the future. The organization focusing on services for families with Type 2
diabetes may seek to create an all-encompassing set of programs and services to facilitate a
health and wellness focus on Type 2 diabetes with support to empower clients toward healthy
weight loss. The organization’s vision might be “All families deserve the knowledge to make
healthy choices.” With such a vision, this organization may see the healthy to-go meals as a new
service in alignment with their vision statement.
Summary
Diving into new material can feel like learning to swim all over again. Don’t worry; this content
will help you learn how to swim in these new waters. The material in this text will prepare you to
step into your first leadership position as well as to move into progressively increasing
responsibility-laden leadership positions in the human services sector. You were able to
appreciate a snapshot of the skill sets required of human services leaders, admire the depth and
variety of leaders’ varied organizational duties, as well as gain an understanding of the likelihood
of needing to wear both the leader and manager hat in the organization. Human services leaders
play both a micro role in the organization and a macro-leadership role in the larger community.
You studied the current needs of human services organizations and the profession shared through
research studies regarding leaders and leadership development within this sector. And through
the use of a human services case study, you have been able to translate key business, managem
Chapter 2 Theories of Leadership and Management—
Building a Philosophy of Leadership
Learning Objectives
The student is expected to
•
•
•
trace the history of the development of leadership and management theories,
identify and paraphrase the important outcomes of each theory of leadership and management,
and
draw conclusions from each theory to inform his or her own philosophy of leadership.
Theories of leadership and management have their roots in the theories of psychology and
sociology. When analyzing leadership as a study of the actions of a group of people who intend
to work together to achieve a set of goals, it becomes apparent that the same influences on
individual human behavior come to bear on group behavior.
Reflection: The Complex Dynamics of Leading
Consider the human interactions you experience as a participant and observer at home, work, and
school. What influences people to communicate, think, interpret, and behave in certain ways?
And why do we respond in particular ways to others’ words and actions? If more than two
people are involved in an interaction, do the dynamics change? Now let’s insert some complexity
to the interaction by adding a few deadlines, differing cultural perspectives, or uneven power
dynamics. The mixture becomes even more intense when a healthy dose of environmental
influence and differing levels of motivation are added. With all these ingredients, we have
created a “leadership stew” for researchers in the fields of psychology, sociology, education,
military science, political science, and management sciences to “taste.” Research in leadership
seeks to observe, interview, measure, and analyze seeking patterns, responses, and outcomes that
result in consistent explanations, predictable behaviors, and common interpretations to test in a
variety of situations. What follows is a historical summary of leadership theory development,
derived from decades of scientific research, which serves to inform the recommended practices
of developing leaders today.
As each leadership theory unfolds, watch how the focus on the leader as a perfect hero with a
defined set of attributes, transitions to an imperfect hero who must make choices to evaluate and
use several leadership skill set options. Also, become familiar with the discovery of how
different situations and teammates affect the choices of skills leaders use. Eventually the “hero
leader” realizes that he or she must rely on others to solve complex problems. The focus of the
theory broadens from individuals as leaders, leaders and situations, leaders and team
relationships, empowerment, collaboration, and a diverse perspective of solutions to problems.
“Leadership is one of social science’s most examined phenomena,” according to Antonakis,
Cianciolo, and Sternberg (2004, p. 4). The amount of research on leadership and management
increased after World War II as countries acquired new borders, names, and powers; selected
new political leaders; and internally rebuilt industries. Given the crisis all had survived as well as
the global complexity of the leadership situation, the desire for quality leaders was a high priority
and is reflected by the increase in research in universities, industry, and the military. This
research continues throughout the decades fueled by the leadership needs of communities,
diverse populations and organizations, as well as the interdisciplinary nature of the contributing
theories. Scientists expect the magnitude of leadership information and findings to increase
exponentially as increasingly more research studies are conducted during the coming years.
Many authors of leadership books have classified leadership research into different categories or
schools of thought. Antonakis et al. (2004) identifies six schools of thought that will be used to
describe each theory indicating key researchers and authors for each theory, the impact of the
theory on the field of leadership, and the important takeaways you will apply to your own
philosophy of leadership. Studying the history of leadership theory and research should be done
with a purpose. One of the reasons you choose to study leadership is to increase your chances of
finding a job in human services and to improve career performance. Having a philosophy of
leadership will do both. Your growing philosophy of leadership will become your guide as you
navigate the succeeding lessons in this chapter’s sections, understand the impact and
implications of each theory, and apply your acquired knowledge in real-world leadership
situations.
Diagnosis: The Process of Building a Philosophy of Leadership
What is your philosophy of leadership? This is not an uncommon question in a job interview or
essay for graduate school admission. Building a philosophy of leadership begins by
understanding your personal values and asking yourself key questions regarding how those
values influence your choices about how you interact with others in work groups. Review the 10
questions listed below (adapted from Chalker, 2015), and keep them in mind as you read this
chapter. You will use them at the conclusion of this chapter to draft your philosophy of
leadership.
1. List the top three values you embody that speak to your role as a future leader.
2. Do you believe that others on your team are capable of working toward a common goal or are
only motivated by what is in it for them?
3. What is the contribution you want to make by serving as a leader?
4. How do you want to treat others and how do you want others to treat you?
5. Describe the leadership style you think others see in you.
6. In a group, do you think first about group tasks or relationships with the group members?
7. How do others describe their working relationship with you?
8. How do others describe the way you accomplish tasks?
9. How do you work to build your influence with others?
10. Do you believe your leadership skills are already set and are waiting to be uncovered, or do you
believe you must actively grow and cultivate these skills?
Making theories come alive for readers is challenging. Compiling ideas from various theories
into a philosophy can feel overwhelming. This chapter will guide you through the process of
connecting with each theory and evaluating its place in your philosophy of leadership. During
your tenure as a student of leadership, you will engage in reflective thinking and picture the
theory’s impact on you, the team, and shared goals. You will resonate with certain ideas and
values, and through this process, you will develop your leadership philosophy. For those readers
engaged currently in a workplace full or part time, you might conduct what Ferrance
(2000) describes as action research, a process in which participants reflectively examine their
own practices systematically. It is carried out in the context of the observations you make in your
working environment posing questions about the leadership theories you see demonstrated
around you. If you are a team leader, the research questions you pose relate to your actions. If
you are a team member, the research questions you pose relate to your perceptions of the
supervisor or team leader. In your workplace, internship, classroom, or community
organizations,
•
•
•
•
•
•
observe and reflect on the leadership you see practiced around you,
gather data about the leader’s effectiveness,
interpret the data and reflect on its relationship to the leadership’s practices,
connect the related theory as presented in this chapter,
determine the actions to change and related skills to learn, and
measure the resulting change, if possible.
To examine the effectiveness of the leadership results (data), a context is needed. As a human
services professional, you are actively engaged in the study of theory and action research every
day, helping clients achieve an improved state of well-being. In human services, the context
comes from the study of psychology, sociology, human development theory, and so on. In
leadership, the context comes from the scientific research and resulting theories examined in the
rest of this chapter. You must know the whole story in order to interpret your data and
recommend a better course of action as a leader. Understanding the story and the theory will
allow a diagnosis of the leadership problem and a supported recommendation for change in
thinking and action. At the close of each leadership school discussion, you will be asked four
questions:
1.
2.
3.
4.
How would you describe the theories in action in your workplace, school, or home?
What evidence do you see regarding the theory’s effectiveness?
How does this evidence support your conclusions about the theory’s effectiveness?
How will you include the theories of this school into your leadership philosophy?
Schools of Leadership
Trait School
Before the 19th century, leadership was a social and biological concept that revolved around the
great man theories, which are rooted in the belief that the heredity and intermarriage of the elite
would produce exceptional, individual leaders (Komives, Lucas, & McMahon, 1998). Bass
(1990) explains that all societies created myths that gave exaggerated explanations for the
strength of their leaders and the powerless submission of their subordinates. The greater the
economic injustice in the world, the more distorted the realities of the leaders’ powers, morality,
and effectiveness. Historically, leaders were selected from the upper classes, disconnected from
the realities of everyday life, and educated in the world of crisis management, fear, and privilege.
Leadership was exhibited through power in military, government, religious organizations, and
families. In the pre-19th-century era, leaders were male and in most cases, leadership positions
were handed down from one male family member to another. Legal and social standing in these
times did not allow women to participate fully in government, religious, social, and work-related
organizations; therefore, it was rare for a woman to hold a leadership position.
Goffee and Jones (2011) explain that the modern study of leadership began in the early 1900s,
about the time of World Wars I and II, with the primary purpose to improve the process of
identification and selection of military leaders. Because of the long-held belief that leadership
was a set of inherited traits, trait patterns were explored to determine whether such
characteristics were inherited (Bass, 1990). As the study of traits became more popular, defining
the list of traits considered imperative to leadership became increasingly more complex.
Characteristics such as self-confidence, intelligence, agreeableness, persistence, command of
voice, extraversion, and many more comprised the profile of a perfect leader. Research regarding
traits continues; yet, one trait, intelligence, consistently correlates positively with leadership
effectiveness (Bass, 1990).
Eventually, trait theories broadened to include not just the traits of the leader, but also the traits
of the situation or crisis. Researchers studied patterns of matching the needs of the situation with
the traits of the leader. Leaders were identified and selected for skills that matched the situation
to solve the problems at hand (Bass, 1990). Eventually research determined that there was not
one definitive set of perfect leadership traits. Keep in mind the era in which this research was
conducted and its original purpose. The participants in leadership research until the late 1900s
came from large employers, usually the military and manufacturing, and therefore were
predominantly Caucasian males. Until the last quarter of the 20th century, the participants of
leadership research were not representative of the population by gender, race, or ethnicity.
Overall, the impact of organizations choosing leaders based only on traits is usually negative.
First, there is a level of bias toward certain traits that results from the person or group making the
decisions. People tend to select team members who look and sound like themselves. Members of
minority groups usually are not considered for leadership positions, as their physical and cultural
traits are different from the preconceived familiarity of the majority group. Given that preferred
leadership traits are thought to be inherited, the idea of developing leaders and valuing
alternative leadership perspectives becomes a moot point. Choosing leaders based only on traits
assumes that quality leaders are born, and therefore, leadership is not a learned skill. People are
described as “born leaders” every day based on their appearances and perceptions of abilities to
influence. Subscribing to that perspective has in turn created many ill-prepared leaders that have
made unfortunate decisions across the world throughout history. The trait school of thought is a
leader-centered perspective, one that is focused on finding that perfect person to heroically fix
the problem. It was and still is not uncommon to see organizations conduct a search for the ideal
leader. Unfortunately, citizen voters, based on their historical voting patterns, subscribe to the
trait theory as well when casting a ballot at the voting booth. (Lipman-Blumen, 2005)
Traits, and the assumptions that accompany those traits, establish your initial expectations about
others as you make a quick and sometimes superficial assessment of someone else’s abilities. In
other words, traits become the palette by which you create a first impression of another person,
and likewise, how others make initial impressions regarding you. First impressions are the
baseline from which you build leadership influence with others. Those first impressions cause
people to make choices about the level of influence someone initially has. People become
gatekeepers, allowing some to have influence and others not. Closing the gate based only on the
assumptions and perceptions of a leader’s traits too often limits opportunities for important
voices to have access to both formal and informal positions of leadership.
Today, we acknowledge flaws with the trait theory in which someone’s leadership ability isn’t
strictly attributed to genealogy, personality, or physical characteristics. We know now that
leadership is a learned set of skills that involve our ability to work with people and manage the
operational side of the organization. Leadership philosophies based only on trait theories are not
congruent in an organizational structure that includes shared leadership responsibilities that are
more typical of today’s diverse organizations with team-oriented expectations. Today’s
workplace requires shared responsibilities and support for the learning and growth of the whole
team as opposed to the cookie cutter notion of a definitive list of leadership traits.
Tapping your understanding of trait theory, respond to these questions:
1.
2.
3.
4.
How would you describe the trait theories in action in your workplace, school, or home?
What evidence do you see regarding the theory’s effectiveness?
How does this evidence support your conclusions about the theory’s effectiveness?
How will you include the theories of this school into your leadership philosophy?
Behavioral School
In the 1930s, behavioral researchers began to identify what leaders do as a learned set of
behaviors and skills instead of genetically inherited innate characteristics. In 1939, psychologist
Kurt Lewin’s research team identified three types of leaders based on the leader’s interactions
with a group: authoritarian, participative, and delegative (Lewin, LIippert, & White, 1939).
Later, the three styles were referred to as autocratic, democratic, and laissez-faire. Lewin’s study,
which used school children as the subjects, found that participative/democratic leadership was
both productive and allowed for high quality, creative contributions from the followers. The
children in Lewin’s study also demonstrated that authoritarian/autocratic type leaders were
productive in results while delegative/laissez-faire leaders were neither highly productive nor
creative. In 1955, Katz published one of the first articles regarding effective administrative skills
in the Harvard Business Review. Katz described three essential areas of skills as technical,
human, and conceptual, defining skill “as ability which can be developed, not necessarily inborn,
and which is manifested in performance, not merely potential” (pp. 33–34). Stogdill and Coons
(1957) described two major clusters of leadership behaviors: (1) “consideration” behaviors that
centered on concern for followers, and (2) “initiation of structure” behaviors that centered on
goal attainment. This breakthrough was important since most current theories focus on these two
constructs to describe and categorize leader behaviors. Today these clusters are referred to as
relationship versus task behaviors. Blake and Mouton (1964) first depicted a model of
managerial behavior in a diagram that also conceptualized Stogdill and Coon’s two manager
behavior constructs: leaders’ concern for people and the need to complete the task (results or
production). This well-known leadership grid maps five different leadership styles on a graph
with two axes: The vertical axis represents concern for people, and the horizontal axis represents
concern for tasks. Each square is numbered one through nine to represent the strength of the
concern. Five leadership styles emerge from the grid: (9,1) authority-compliance, (1,9) countryclub, (1,1) impoverished management, (5,5) middle of the road, and the most desirable style (9,9)
team management.
The leaders whose behaviors are illustrated by (1,9) on the upper left side of the grid are more
concerned with the people on the team and least concerned with the tasks and results. Leaders
who are most focused on the tasks and results and least concerned with the people on the team
are deadline driven and usually seek compliance for the one way to accomplish the task (9,1).
The leader whose behaviors are described in the (1,1) impoverished frame are generally not
engaged with the team and are perceived as disconnected with the goals of the organization. The
(5,5) leader is somewhat unsure of the commitment from the team and seeks to compromise for
fear of conflict among the team members. There is progress toward the tasks assigned, but a lack
of confidence in leadership ability keeps this team from their full potential. A (9,9) leader
exhibits confidence in himself or herself and the team. They share ownership of the tasks and
results, frequently celebrating and empowering others to higher levels of performance.
Figure 2.1 The Leadership Grid
Behavior theories opened doors to the idea that certain behaviors and skills leaders used can be
identified, observed, and learned. This meant people weren’t just born with an ability to lead, but
instead that these skills could be learned through modeling, teaching, and feedback. Acceptance
of this theory exponentially increased the pool of potential leaders for organizations. In addition
to the wider pool of potential leaders, new understanding regarding the framework of the two
clusters of leader behaviors—(1) consideration (people focused) and (2) structure (task
focused)—are foundational to understanding yours and others’ actions in the workplace.
Tendencies to be relationship or task focused are each observable in interactions with coworkers,
classmates, and even interpersonal relationships. Due to these tendencies, some people relate
better to task-focused leaders while others relate well with relationship-focused leaders. Even
without reading a leadership theory textbook or having a formal leadership style assessment in
hand, you can determine the relationship and task-focused preferences of those you interact with
on a regular basis. Think about your own tendencies. Some may resonate well with others who
are task-oriented and be motivated to complete the task at hand. Others might think that was rude
and would rather spend time engaged in icebreakers to get to know the entire team before getting
to work, the tendency of a relationship-oriented person.
Behaviorists using Blake and Mouton’s (1964) managerial grid believed that a perfect leader was
both high task and high relationship focused. In reality, most people have style tendencies in one
direction or the other on the continuum. But the continued search for the perfect leader actually
raises this question: Is there a perfect leader? Some researchers (trait theorists and behavioral
theorists) are still focused on describing the ideal leader. Then a different group of researchers
made a breakthrough with connections to the Lewin et al. 1939 study with the school children,
integrating his findings with the newly developed contingency leadership school.
Tapping your understanding of behavior theory, respond to these questions:
1.
2.
3.
4.
How would you describe the behavior theory in action in your workplace, school, or home?
What evidence do you see regarding the theory’s effectiveness?
How does this evidence support your conclusions about the theory’s effectiveness?
How will you include the theories of this school into your leadership philosophy?
Contingency School
Research from the behavioral school was focused on leadership styles: task centered versus
relationship centered, as well as other characteristics involving a leader’s tendencies and
preferences when interacting with teams. Questions by contingency school researchers asked if
different behavior styles worked effectively in all situations. Fiedler (1967) studied contingency
theories seeking to demonstrate that different situations called for different leader behaviors. He
later determined that leadership style alone was not sufficient to determine leadership
effectiveness (Fiedler & Chemers, 1974). In general, contingency theories work to match
situational characteristics to the appropriate leadership style. The contingency school extends our
view beyond the individual leader and broadens our attention to include additional variables: the
characteristics of those being led and the details of the situation. Hersey and Blanchard
introduced situational theory, also in the contingency theory family, in the 1960s. Their research
found that the leader’s choice of leadership style is best determined by the followers’ task-related
maturity (Hersey & Blanchard, 1993). Task-related maturity is the level of experience one has in
the ability to complete a task similar to the one previously performed. If you have successfully
completed task A and your supervisor assigns a similar task B, you would feel confident
(mature) in your ability to be successful at task B. In situational theory, leaders were expected to
be cognizant of the followers’ abilities and have the flexibility to choose from several types of
leadership behaviors as the ability, confidence, and maturity of the followers in the situation
required. Hersey and Blanchard (1993) determined that a leader’s ability to self-assess, as well as
observe and assess the followers and then choose the appropriate approach, was an integral part
of a leader’s success. The leaders choice to respond in a more directive manner (task orientation)
or supportive manner (relationship) is based upon the group members’ competence (knowledge
and experience doing the specific task) as well as commitment (motivation to want to accomplish
the task; see Figure 2.2). Blanchard, Zigarmi, and Nelson’s (1993, p. 26) model divides followers
abilities into four developmental levels:
•
•
•
•
Development Level 1 – Group members new to the organization are typically enthusiastic but
not knowledgeable. They are excited to start something new but untrained in the expectations
of the organization.
Development Level 2 – Generally group members have some experience at this level but now
understand how far they have to go to become a master at the task. It can seem overwhelming
and motivation can wane.
Development Level 3 – By this time, group members have learned and practiced the skills
required for the job and are considered highly competent. Motivation levels can vary greatly
from team member to team member, requiring leaders to listen to individuals, to support and
grow the confidence of others, and to troubleshoot individual problems.
Development Level 4 – The highest level of development demonstrates the impact of motivated
and competent team members. Through careful and deliberate coaching, as well as a razor
sharp focus on results, leaders can build and sustain high performing teams.
The third situational variable studied in the contingency school during the1960s was the
workplace environment and its prominent role in creating situational influences on team
members. Three important elements of the workplace situation include leader–member relations
(group atmosphere), task structure (clarity, simplicity, and urgency), and the level of the position
with the corresponding power of the leader (authority to reward and punish).
Figure 2.2 The Situational Leadership Model II
An individual’s motivation is a strong influence on performance and increases as an individual
meets physical, emotional, and intellectual needs. Herzberg’s (1966) research on motivation
theory found that meeting workers’ lower level (hygiene) needs prevented dissatisfaction in the
workplace. If workers higher level needs (motivators) were met, it would drive workers to a
higher level of performance. Hygiene factors met physical needs such as sufficient weekly pay
(food and shelter), tools to accomplish the job, and a consistent work schedule. Motivators
(intellectual and emotional needs) included the ability to make suggestions in the workplace, feel
appreciation, and know your work is important to the success of the organization (Bass, 1990).
McGregor’s Theory X and Theory Y (1966) contrasted a supervising leader’s perspectives about
the nature of employees as driven by needs of power and rewards as opposed to their need for
responsibility and internal satisfaction. Theory X represents a negative view of human nature,
assuming workers are naturally lazy and resulting in a belief that workers need close
management supervision. Theory Y represents a positive view of human nature, assuming
workers naturally want to work and resulting in a belief that workers want to believe they are
trusted and to participate in decision making; therefore, they do not need close supervision.
House (1971, 1996) studied the influence of a leader’s task and relationship orientation on
follower motivation and satisfaction, which is referred to as path-goal theory. This research
question asked which focus (task or relationship) motivates employees and how leaders can
modify their own behaviors and choices to influence followers desire to achieve. The study of
path-goal theory added task characteristics as well as the needs of motivated followers to the
previous situational research results of leader style and follower characteristics. House learned
the more challenging the path toward goal attainment, the more appreciation followers have for a
manager with a structured leadership style. Followers seek more autonomy in less difficult tasks
choosing to engage in some leadership roles in the group. The importance of relationship in the
workplace is important to most followers at a basic level (respect and appreciation) and increases
with the preferences and needs of the worker (House, 1971). The importance of task orientation
is high when the followers are navigating unknown waters.
Contingency theories do not subscribe to the belief that there is a perfect leader, perfect team, or
perfect situation. Instead, the impact of the leader’s style choices, the details surrounding the
task, and the characteristics of the team create multiple sets of complex and fluid variables in
organizational leadership.
As demonstrated by Figure 2.3, team members are influenced by the leader and the situation,
while the leader is influenced by the team and the situation, and the situation is influenced by the
team and the leader. The important takeaway is that successful leaders must be observant,
thoughtful, and conscious of their own patterns and tendencies as well as others behaviors, while
analyzing the situational variables. The take-charge leader, responding without thoughtful
attention to the task, employees’ competence and commitment, and environmental influences,
might feel good emotionally but likely is not making the best choices that consider all the
important variables. Creating a short checklist of questions that considers the variables of a
leader’s style, situational characteristics, as well as the team’s knowledge and commitment can
help you learn and practice the process of a thoughtful analysis of variables in situational
leadership decisions. Practicing this mental analysis in calmer moments will provide you with a
go-to tool when the situation is tense and time sensitive. This a sample go-to tool, a checklist of
questions, that will help you evaluate the major components of situational leadership:
1. Describe the team. Rate them on a scale of 1 to 10 on factors of experience in similar problems,
emotional maturity, motivation, demonstration of good teamwork, loyalty, and trustworthiness.
2. Describe and rate the leader on a scale of 1 to 10 on factors of experience with similar problems,
emotional maturity, motivation, demonstration of good skill sets in leading teams, loyalty, and
trustworthiness. Is the leader more task or relationship focused? Is the leader in a formal or
informal position of power?
3. Describe the situation. Is it under control or out of control? Does it have the potential to explode
in conflict? Is it time sensitive? Is the leader clear about the task? Are there clear processes in
place? Will new skills be needed?
As you can see from the set of questions, the choice of leadership approach flows from the
leader’s assessment of the variables. Generally a more task-focused approach is best for teams
who either know what they are doing and work well together or for groups who are new and not
yet acclimated to operating as a team. A leader’s choice of a stronger relationship focus shows
more success when work groups faced with uncertain decisions or environments test their
expertise first, gain new skills, and build confidence. This theory is not trying to promote
leadership by formula, but researchers noted patterns that lend themselves to one approach more
than another. Historically, the industrial age, command and control environments that existed
until well into the 1970s, believed followers worked best in a consistent high power, high
structure, and high achievement work environment. Contingency theories not only demonstrate
the success of multiple leadership approaches but also demand the need and skill of leaders to
operate with flexibility to be successful. Leaders now know to analyze followers and situations
and then choose from multiple leadership methods. If a leader is only successful at applying one
method to every situation, success in the endeavor and in the leadership relationship is unlikely,
and as the saying goes, “if the only tool in the leader’s toolbox is a hammer, then every situation
looks like a nail.”
Tapping your understanding of contingency theory, respond to these questions:
1.
2.
3.
4.
How would you describe the contingency theory in action in your workplace, school, or home?
What evidence do you see regarding the theory’s effectiveness?
How does this evidence support your conclusions about the theory’s effectiveness?
How will you include the theories of this school into your leadership philosophy?
Relational School
The interactions of leaders and followers are the focus of study in this school of thought.
Leadership is not a solo practice; you are in a leadership role because you are working with
followers. Relationships are built around the reciprocal desire of Person A to meet the needs of
Person B, and for Person B to meet the needs of Person A. Leader–member exchange theory
(Graen & Scandura, 1987) emphasizes the one-on-one relationship between a leader and a
follower. Each leader–follower relationship may be slightly different because each person is
unique. Some relationships are easier to establish and maintain because of common experiences
and values. A high quality relationship between the leader and follower is labeled an in-group
relationship and results in positive outcomes for both parties. Leader–follower relationships
characterized by a lack of understanding between the leader and follower or between some
followers and less engaged followers are referred to as out-group relationships. The relationships
among the followers can sometimes influence the leader to be less welcoming to those excluded.
These types of relationships usually result in unsatisfactory outcomes for the follower, leader,
and the organization.
This in-group/out-group phenomenon happens on playgrounds, in classrooms, in offices, and
even in families. Those who share more common experiences tend to become increasingly
friendly with each other and are chosen more often by leaders of the same group for new
opportunities. In-groups are also referred to as “cliques” and exist in the workplace as well.
Leader–member exchange theory illuminates the responsibility of the leader to build
relationships that move as many followers from the out-group into the in-group status and to
foster relationship building between in- and out-group members, thus facilitating acceptance of
new in-group members. Too often leaders have had an ambivalent attitude or worse, have sought
opportunities to transfer or dismiss out-group followers. Later we will see how this theory is
connected to the multicultural school and to our own familiarity with such terms as “glass
ceilings” and “cement walls.”
Organizations have become more heavily dependent on the success of work teams. Team
leadership theory is part of the relational school and involves a complex array of leadership
functions, which can be classified as maintenance (relationship) functions and task functions.
Maintenance functions include establishing a culture of trust, meeting team member/follower
needs, creating a culture that respects team members and encourages their development, and
providing resources for team members to achieve their goals. There are several excellent books
about teams and trust (The Five Dysfunctions of a Team by Patrick Lencioni, 2002; The Speed of
Trust by Stephen M. R. Covey, 2006) that articulate the importance of a work environment built
on high trust. Trust is the foundation of all relationships and therefore foundational to teamwork.
Team members must be able to “be vulnerable with each other about their needs, talents,
weaknesses, fears, and commitment,” states Lencioni (2002, p. 7). Once trust is established, the
team’s effectiveness is increased due to the additional four steps of Lencioni’s teamwork model:
(1) sharing differences of opinion, (2) willingly listening to all voices around the table, (3)
building confidence so each team member will come through on promises, and (4) establishing
alignment so all are working for the benefit of the team. Without trust, the team cannot open the
door to the four steps of Lencioni’s teamwork model in order to succeed.
Larson and LaFasto (1989) found eight consistent characteristics of highly successful teams:
1.
2.
3.
4.
5.
6.
7.
8.
Quality leadership
Clear, elevating goal
Results-driven structure
Competent team members
Unified commitment
Collaborative climate
Standards of excellence
External support and recognition
Assessing the level of these eight characteristics within a team is useful for troubleshooting
problems or training team leaders. Summarizing Larson and DeFasto (1989), the two key
components of leading teams are (1) the foundational work of establishing team trust and (2)
attending to the eight characteristics of successful teams. Leading a team is a complex job, but it
does not require a hierarchy (formal organizational power structure). With a flatter structure
(fewer positions of power), more team members are sharing in the leadership functions of the
team. Sharing leadership with the team positively impacts trust, commitment, interpersonal
relationships, and motivation to succeed. Strategies for building trust will be shared in Chapter
4 in this text.
These theories connect to the relationship school because of the leader’s desire to create a
positive work environment and meet the needs of followers/team members. A leader’s ability to
be inclusive is invaluable to the trust and work ethic of all team members. Workplace cliques are
not conducive to successful teamwork or the health and empowering culture of the organization.
If moral reasons are not convincing enough, there are legal protections in place against unfair
employment practices and the segregation of employees. Therefore, leaders must be committed
and skilled in listening, negotiation, and embracing a diverse work team. Historically, certain
members of organizations have been relegated to out-group status because of their gender, race,
ethnicity, ability, sexual orientation, and gender identity to name a few. The US Equal
Employment Opportunity Commission (EEOC) was created to protect minority groups from
unfair firing, hiring, and other illegal workplace practices. (Note that EEOC currently does not
protect all the classes named here although many organizations and some states have taken that
extra step.) It is the responsibility of the leader to develop trust and respectfully lead every
member of the team.
Tapping your understanding of relational theory, respond to these questions:
1.
2.
3.
4.
How would you describe the relational theory in action in your workplace, school, or home?
What evidence do you see regarding the theory’s effectiveness?
How does this evidence support your conclusions about the theory’s effectiveness?
How will you include the theories of this school into your leadership philosophy?
Multicultural School
In the 1980s and 1990s, skeptics began to question the validity of leadership research as well as
the impact of leadership on organizational performance (Meindl & Ehrlich, 1987; Bass, 1990;
Antonakis, Cianciolo, & Sternberg, 2004). The study of leadership “benefitted from such
questioning by A) using more rigorous methodologies, B) differentiating top-level leadership
from supervisory leadership, and C) focusing on followers and how they perceive reality”
(Antonakis et al., 2004, p. 262). Even the data collected for the previous 50 years was questioned
due to the minuscule numbers of nonwhite male participants. Prior to this, most participants in
leadership research were white males, since the majority of mid- and high-level leaders in forprofit, nonprofit, and government work sectors hired very few women, Latinos, African
Americans, or other races and ethnicities. Political leadership suffered the same homogenous
membership. The Center for American Women and Politics (2011) at Rutgers University and the
Congressional Research Service maintain statistics documenting examples of gender and race
disparities of elected officials in the US Congress; the 95th US Senate (1977–1978) had only one
more woman member than the 87th US Senate (1961–1962) for a total of two. In the 113th US
Congress, there are 20 women serving in the Senate. Six African American males have served in
the US Senate while only one is currently serving, elected in 2013: two during reconstruction
(1870–1881) and seven between 1967 and 2013 (Manning & Shogan, 2012). These are just a few
examples of disparities that caused leaders to question the validity of leadership research because
it excluded significant portions of the population and rendered findings to be not generalizable
across all populations.
These assertions caused greater scrutiny of leadership research normative data sets for
participation to be inclusive of gender, race, and ethnicity. From Brown v. Board of Education of
Topeka in 1954, to the passage of Title IX of the Education Amendments in 1972, as well as the
Americans with Disabilities Act passed in 1990 (and amended in 2009), our paradigms are
beginning to shift regarding how we see others, leading to more inclusive perceptions about who
is qualified to be a leader. Students of leadership research results must question the normative
data, and ask to see participant demographics. Practitioners of inclusive leadership will seek to
facilitate acceptance for the whole team to ensure an “us” versus “them” culture does not exist.
As an employee, evaluate leadership teams in your organization or department. Are all
stakeholders represented? Are all employee demographics represented? Are meeting outcomes
communicated quickly to all who need to know? As a leader, are the members of your team clear
about your expectations on acceptance, value, and respect? Question the representativeness of
community collaborations in which your organization participates. Advocate for inclusiveness in
nominated and elected bodies such as the city council, community advisory boards, nonprofit
boards, and school boards. Are there policies and procedures within your control that prevent
out-group members from full participation? Multicultural leaders seek to advocate, coach,
mentor, and serve as role models for acceptance, understanding, and a willingness to work
together effectively. Seek to become a multiculturally competent leader.
Tapping your understanding of multicultural leadership theory, respond to these questions:
1. How would you describe the multicultural leadership theory in action in your workplace, school,
or home?
2. What evidence do you see regarding the theory’s effectiveness?
3. How does this evidence support your conclusions about the theory’s effectiveness?
4. How will you include the theories of this school into your leadership philosophy?
The New Leadership School
The late 1970s began an era of reciprocal leadership theories (Komives et al., 1998).
Transformational leadership (Burns, 1978), servant leadership (Greenleaf, 1977) and
followership (Kelley, 1992; Kellerman, 2008), and authentic leadership (George, 2007) are the
major theories in this category. Transformational leaders change the behaviors of followers as
well as themselves because of the compelling vision and action that inspires and engages both
leaders and followers. It is reciprocal because of the change that transforms all involved. To
understand transformational leadership, it must be distinguished from transactional leadership.
Transactional leaders engage in a formal or informal contract with their followers promising
something in exchange for a desired outcome or level of effort. Examples of such transactions
manifest as pay bonuses for meeting a work quota, high grades for a quality level of work in a
class, or a treat for earning a good grade on a major exam. Transformational leaders work with
followers, inspiring the team to fulfill a high level common goal, while raising the morality of all
in the process. These leaders have inspired people to believe the impossible is possible. They
have encouraged players in athletic competition, students in lecture halls, congregations in
houses of worship, families in homes, and clients of human services professions. They have
inspired citizens to volunteer, collect signatures for petitions, adopt a healthier lifestyles, or given
people confidence to make important career choices.
The impact of transformational leaders resonates with followers’ emotions. Their message feels
good, captures imaginations, and inspires commitment. Transformational leaders are passionate
about an issue, cause, or celebration; members of their team call them influential and
inspirational. They are focused on the needs around them—the beneficiaries of the cause as well
as the team with whom they work. Authenticity enables these leaders to have earned the trust of
their followers and therefore, be influential and inspirational. Authentic leaders have strong
internal values and ideals and they make choices in alignment with their core values. Charisma is
not a requirement, but they do engage well with others. They are well versed in the situation, the
organization, and the leadership process. It is a level of leadership to which many aspire. It is
within your capability to achieve the skills of a transformational leader. Transformational leaders
must attend to these questions:
•
•
•
•
•
•
•
What social issues are you determined to change?
How dedicated are you to this mission; what sacrifices will you make?
Does this cause align with your core values?
Are you authentic in your words and actions?
Are you well read on all sides of the issue?
Do you engage well with others?
Can you communicate your ideas clearly with your determination visible?
If your responses connect to your deepest passion about the issue or idea, you will be able to
transform your team to carry this effort forward with you.
Servant leaders serve those around them first and emerge as leaders from the trust and
competence demonstrated to the group. Servant leadership is reciprocal from the trust
relationship that is built between the one serving and the followers. Trust is what empowers the
followers to seek the servant as their leader. The leader builds trust with the followers because
followers can see and feel the leader’s commitment and passion for the cause. A communication
manager at AT&T, Robert Greenleaf, first described this theory in the leadership world. He
wrote extensively on servant leadership and its use in the workplace, in boardrooms, and in
education. Greenleaf (1970) described servant leaders as those who are “servants first. Then
conscious choice brings one to aspire to lead” (p. 15). He goes on to describe a kind of “litmus
test” for servant leadership. Greenleaf (1970, p.15) writes,
It begins with the natural feeling that one wants to serve, to serve first. Then conscious choice
brings one to aspire to lead.… The best test…is do those served grow as persons? Do they, while
being served, become healthier, wiser, freer, more autonomous, more likely themselves to
become servants? And what is the effect on the least privileged in society? Will they benefit or at
least not be further deprived?
In order to illustrate the development of servant leadership in a group, let’s examine a group of
college students at East Tennessee State University, in Johnson City, Tennessee, and how they
interacted in a servant leadership living-learning environment. This group of students chose to
have no formal constitution or bylaws with established officer positions. Their purpose was to
enhance their leadership abilities by meeting weekly, reading and discussing selected books on
leadership, and serving the community. In addition to their leadership education, they also lived
in groups of four students per apartment in one campus apartment building adjacent to the
university. They learned to live and work together, to establish their own expectations, and to
serve each other as well as the campus and community. Each year through an informal process of
serving each other day-to-day, the group came to identify and respect one or two members who
had earned everyone’s trust. Those students were the servant leader of the community for that
academic year, guiding the members in their leadership and academic journeys. There was no
vote or discussion, simply a transformation though service and trust. Since most students did not
remain in the living-learning program for more than 2 years, the servant leader role quietly
transitioned each year, always through the same process.
It is common to think of servant leadership in service-oriented professions such as leaders of
faith organizations, teachers, counselors, or other human services careers. It is also common to
think this leadership philosophy is only practical in less formal and lower level positions. The
strength of Greenleaf’s philosophy is that no matter the type of organization or the level of
position in the organization, one must serve others. Have you participated in a group with
members who stepped into a similar service role? In this leadership culture, the servant leader
chooses to serve as a way of leading the team. The leadership culture is built first with trust. It
takes time to become a servant leader. Trust isn’t built in a day … week … or month. It is a
series of big and little things done from your heart that signals to others your courage,
compassion, and commitment.
The recent emphasis on followership is a paradigm shift that lifts the term follower from the
Industrial Age perspective of one who needs to be led, Theory X (McGregor, 1966), to one of an
equal who chooses to be led, educated, and respected as a future leader, Theory Y. Followers,
according to Kelley (1992), can be anywhere on a continuum from active and loyal to passive or
even alienated. Kellerman (2008) placed followers on a continuum of engagement:
•
•
•
•
•
Isolated – totally detached
Bystander – observes but does not participate
Participant – invests himself or herself to try to have an impact
Activist – works hard on behalf of leaders or against them
Diehard –devoted, all-consuming
Deeper yet in this study of the relationships between leaders and followers is the understanding
of why followers seek out leaders. Jean Lipman-Blumen’s (2005) research explores the
phenomenon of toxic leaders. Toxic leaders practice negative leadership through charm and
manipulation, which leads to the mistreatment and devastation of their followers. Humans have a
subconscious need to feel secure and chosen, to belong, and to be identified as competent. Toxic
leaders can manipulate followers based on their needs and create a psychological dance between
the leaders and followers, trapping either in a bad leadership relationship. For example, executive
leaders in and around the Nixon presidency manipulated the citizens to trust them because of the
citizens’ trust and need to feel secure with the institution of the federal government. Watergate
(1974) ushered in a heightened societal awareness of ethics and integrity in all leadership
positions and a growing distrust for institutions of authority. The trust was shattered between
American citizens and their political leaders (Kellerman, 2004).
The impact of the loss of trust in government and social institutions is pervasive. Dealing with
the fears associated with this loss is the only path to an intercultural leadership community of
nontoxic leadership (Lipman-Blumen, 2005). The illusion of the “white knight leader,” a leader
who swoops in to save followers, offering to deliver on impossible promises, is a toxic
expectation. Followers must work beyond their fears to find the leader inside themselves.
Empowering each other to become leaders brings communities/groups together, enabling them to
work toward a shared authentic dream. Organizations are strengthened by the human potential of
its members. When that potential is engaged, all share in the responsibilities and rewards. Goals
become selected by most, not a handful. Trust levels are high, and members bring their authentic
selves to the organization. When followers share responsibilities with the leader, the need to be
rescued is eliminated and a “white knight leader” becomes unnecessary. Leaders and followers
together devote the time necessary to engage all members of the group/organization.
Engagement is the key for this effort to be sustained. Members become engaged both logically
and emotionally. Stephen Covey (2004) calls this whole person leadership. Leaders and
followers must be willing to engage both head and heart to have an organization engaged at its
full potential.
Tapping your understanding of the new leadership school, respond to these questions:
1. How would you describe the new leadership perspectives in action in your workplace, school, or
home?
2. What evidence do you see regarding the theory’s effectiveness?
3. How does this evidence support your conclusions about the theory’s effectiveness?
4. How will you include the theories of this school into your leadership philosophy?
Emerging Issues in Leadership
New perspectives on leadership theories revolve around the view of leaders and followers as
human, imperfect, teammates, and diverse. Leaders are leading in increasingly more complex
situations:
•
•
•
In organizations with multiple locations both locally, cross country, and internationally.
In person and virtually through many kinds of electronic communication tools.
In extreme situations of conflict across languages and cultures that do not understand each
other.
Therefore, no one leadership theory is a fit for all leaders in all situations. The construction of
hybrid theories will be the next frontier for leadership researchers. (Antonakis et al., 2004) These
research studies include the unique perspectives of cultures (House, Hanges, Javidan, Dorfman,
& Gupta, 2004), the GLOBE Studies; the impact of technological tools, envisioning the future
(Friedman, 2005); and a return to the foundations of character, communication, trust, and ethics
(George, 2007; Covey, 2004, 2006). Ethics and moral development have become essential
elements of leadership research (Antonakis et al., 2004) as government, institutions, and
organizations from many sectors of the workplace and communities appear to have lost their
moral compass. Concerns of accountability and transparency continue to make headlines from
proficiency testing in education to the quality of consumer goods, as well as the investments of
the financial industry. The actions and results of leadership decisions are reviewed and
monitored by the public and media. Followers also have found new power in social media for
organizing, communicating, and influencing organizations. The speed of communication and
accessibility of the Internet empowers and enables citizens to quickly know how decisions are
made, who is responsible, and what action is required. Presidential elections, government
shutdowns, Middle Eastern revolutions, as well as decisions of nonprofit boards, and for-profit
CEO’s have all triggered national and international waves of citizen action and resistance.
Tapping your understanding of management theory, respond to these questions:
1. How would you describe the management theories in action in your workplace, school, or
home?
2. What evidence do you see regarding the theory’s effectiveness?
3. How does this evidence support your conclusions about the theory’s effectiveness?
4. How will you include the theories of this school into your leadership philosophy?
Management Theories and Their Application
The history of management is a study of facilitating the many processes that bring products,
programs, and services to market. As far back as you may have studied in history, there are
stories and examples of crafts artisans who individually created products to sell or trade. Such
products were crafted to the individual specifications of the artisan. It was not until the time of
the US Civil War that the idea of replaceable parts and common equipment standards was widely
entertained. The magnitude of equipment needs for wagons and battle implements during this
war was huge. To have craftspersons using common specifications meant equipment didn’t
have to be continuously replaced but could be repaired economically by someone other than the
original craftsperson. A few decades later, the industrial revolution caused everyone to evolve
and accept new ideas regarding mass production, products and services, standards, and
manufacturers needing to meet customer expectations. Leaders of manufacturing companies
determined that production of products could be improved by separating two management
processes: production of the product and inspection of the product quality. It was during this era
that Frederick Taylor, the father of scientific management, studied time and motion of workers
on assembly lines and made recommendations for proper tools, training, incentives, and methods
so workers could better accomplish their tasks. In 1914, Henry Ford sponsored the development
of a moving assembly line, which created yet another separation in the product development
process. Planning, production, and inspection became separate processes and required
management to oversee each function. World War II intensified the need for mass production
and quality assurance. Lives as well as an international victory depended on quality ships,
planes, ammunition, radios, boots, uniforms, and other equipment. Taxpayers and political
leaders were unwilling to support the war if the soldier’s equipment wasn’t deadlier than the
enemy. Wartime innovations led to Walter Shewhart’s development of the statistical quality
control chart. In 1951, J. Edwards Deming, Shewhart’s student, was a member of a group of
engineers General McArthur assembled to aid the Japanese in rebuilding their industry after
World War II. Another member of this prestigious group of engineers was Joseph Juran, editor
of the now classic Quality Handbook. Together their work in quality management, along with
Peter Drucker, creator of the six stages of management by objectives (MBO) and considered the
father of modern corporate management, made the 1950s a renaissance era in management
theory. The goal of managers in the manufacturing sector was to bring standardized products to
the marketplace while simultaneously meeting consumer expectations. To maintain consistent
quality required management to monitor the steps of each process and create production lines
with the most efficient systems. The six stages of MBO are as follows:
1.
2.
3.
4.
5.
6.
Define corporate objectives.
Analyze management tasks and devise formal job specifications for frontline managers.
Establish performance standards.
Achieve agreement for specific objectives.
Align goals with organizational objectives.
Establish a management information system to monitor achievements against objectives.
Between the 1960s and 1980s, leaders and managers of manufacturing companies in Japan took
to heart Juran, Deming, and Drucker’s lessons. By the 1970s, “Made in Japan” took on new
meaning for high quality electronics, automobiles, and other consumer products. To compete
with Japan and encourage American efforts in quality management principles, the federal
government established the Malcolm Baldrige Award in 1988 to provide an assessment tool and
presidential recognition for manufacturing organizations that achieved quality in performance
excellence. After a few years, the award was expanded to include all sectors of the workplace:
manufacturing, service, nonprofit, education, health care, and government. There are seven key
areas of the organization that are assessed for this award:
1.
2.
3.
4.
5.
6.
7.
Leadership
Strategic planning
Customer focus
Measurement, analysis, and knowledge management
Workforce focus
Operations focus
Results
A human services example of the principles of good management processes is in the
development of Case Management procedures. Case management is a profession with standards
and is practiced in law, social work, health care, and mental health care. Its purpose is to provide
the best treatment plan and coordination of care for clients using systematic processes. Principles
of quality management and assessment of workplace processes are becoming standard practice in
health care, education, and government agencies.
Tapping your understanding of management theory, respond to these questions:
1. How would you describe the management theories in action in your workplace, school, or
home?
2. What evidence do you see regarding th...
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