project leadership, management, and...

Project Leadership, Management, and Communications

© ESI International PMC:DBQ:EN:000 ver. 3.0

Introduction

1

Course Introduction


Introduction

2

Welcome

Emergency phone numberLocal emergency exit proceduresFloor and facility layoutStart and end expectationsBreaksAttendanceAgendaPassing this courseGround rules

1 PMBOK is a registered mark of the Project Management Institute, Inc.


Introduction

3

Course Scope

This course does—Teach the competencies important for leadershipRecognize the importance of ethics in the business environmentTeach how to build relationships with stakeholders through communication, conflict and changeTeach leadership and management in a project environment

This course does not—Prescribe that there is one right way to lead projectsCover all topics of leadership, management and communicationsTeach in the vocabulary of the PMBOK® Guide1

1 Ward, J. LeRoy. Dictionary of Project Management Terms. 3rd ed. Arlington, Va.: ESI International, 2008, p. 416.


Introduction

4

Standards and Best Practices

A standard is a “basis for uniformly measuring or specifying performance.”1

A best practice is a generally accepted process or technique that consistently outperforms and delivers greater value and benefits within a discipline.


Introduction

5

Global Best Practices in Project Management

Global best practices in project management are promoted through the following:

Various project management standards organizations, including—Project Management Institute (PMI)International Project Management Association (IPMA)Association for Project Management (APM)International Organization for Standardization (ISO)

Practicing experts within the fieldYour organization

1 Relationship Awareness is a registered trademark of Personal Strengths Publishing, Inc.


Introduction

6

Course Objectives

By the end of this course, you will be able to—Explain current leadership philosophies as applied to project managementDevelop strategies for leading effective teamsImprove relationships and communications with stakeholders by applying Relationship Awareness® Theory1 and conceptsUse appropriate styles of conflict resolutionExplore ethical issues in business decisionsManage difficult project management issuesDevelop strategies for leading successful changeCreate a Leadership Development Plan


Introduction

7

Course Overview

Course IntroductionModule 1: Leadership and ManagementModule 2: Leading Effective TeamsModule 3: Building RelationshipsModule 4: Managing ConflictModule 5: Ethics and LeadershipModule 6: Leading ChangeModule 7: Putting It All Together


Introduction

8

Participant Introductions

NameLocationYears in current organizationProject experienceExpectations of this courseMost challenging project you have worked on


Module 1

1-1

Leadership and Management


Module 1

1-2

Objectives

By the end of this module, you will be able to—Define leadershipExplore the relationship between leadership and managementAssess your leadership competencies and developmental needsArticulate your personal vision and consider the best ways to realize itDiscuss ways to communicate vision to the team or organizationUse motivational theory to generate and sustain motivationChoose leadership styles for various situations


Module 1

1-3

Exercise 1-1

What Is Leadership?


Module 1

1-4

Leadership Research and Theories

Over the last century, the study of leadership has moved from simple trait theories to more complex situational, transactional, and transformational theories.


Module 1

1-5

Why Projects Need Leaders

To facilitate communication and an exchange of information among customers, suppliers, and team members in project settingsTo gain input and commitment from team members, customers, and suppliers in developing the project visionTo seek innovative solutions to customer problemsTo increase autonomy and participation of team members in project planning, decision making, problem solving, and team management


Module 1

1-6

Why Projects Need Leaders (continued)

To establish new standards and norms for excellence in performance and productivityTo advance and use technology to increase productivity and performanceTo restructure the organizational hierarchy so that work is accomplished collaboratively by means of ad hoc, temporary, and cross-functional teamsTo promote a team culture that is consistent with restructured organizational hierarchiesTo promote an atmosphere of trust


Module 1

1-7

Discussion

Leaders vs. Managers


Module 1

1-8

Leader as a Manager

Administers, organizes, and staffs divisionPlans goals and sets budgetsMonitors results, looks for deviationsAsks "How?" and "When?"Maintains the status quoLooks for immediate results

Management involves producing predictable results.


Module 1

1-9

Manager as a Leader

Establishes direction and motivates people to follow that directionInspires trust and commitment from project teamsFosters proactiveness on the part of team membersChallenges the status quoSees people as dynamic, evolving resourcesInnovates



Module 1

1-10

Leadership and Project Success

Both management and leadership are necessary for project successLeadership may be demonstrated by any project team member at any level or any phase of the project

“Use of influence to direct the activities of others toward the accomplishment of some objective.”1


Module 1

1-11

Project Constraints


Module 1

1-12

Exercise 1-2

Leadership Self-Assessment

Tool: Leadership Self-Assessment


Module 1

1-13

Leadership Competencies


Module 1

1-14

Leadership Development Plan

Leadership Competencies


Module 1

1-15

Setting Project Direction

Create a long-term visionDescribe what the project will look like in the futureExamine patterns and relationships throughout the project

Develop strategies for achieving the visionFocus on attainable goalsIdentify potential problems and risksBalance opportunities and challenges

Revisit the vision periodically and revise it based on feedback, innovative ideas, and needed change


Module 1

1-16

Setting Personal Direction

Create a personal leadership vision:Where do you see yourself as a leader in 5-10 years?What values and competencies will you use to achieve your vision?


Module 1

1-17

Exercise 1-3

Creating a Vision

Tool: Vision Statement—Preparation QuestionsTool: Vision Statement—Review Questions


Module 1

1-18

Aligning People

Communicate the vision—To all staff, suppliers, customers, and other stakeholdersClearly and crediblyIn as many ways (words and deeds) as possibleAs often as possible

Find the right fit between team members and the task required to accomplish the mission


Module 1

1-19

Motivating and Inspiring

Energize people to overcome obstacles to changeCommunicate the vision in ways that emphasize the key values of those you are trying to influence

Satisfy people’s basic human needsInvolve them in deciding how to achieve the visionSupport their efforts with enthusiasmRecognize and reward successes


Module 1

1-20

Behavioral Science and Motivation

Abraham Maslow (1908-1970)Hierarchy of Needs

Frederick Herzberg (1923-2000)Hygiene-Motivation Theory

Douglas McGregor (1906-1964)Theory X and Theory Y


Module 1

1-21

What Is Leadership Style?

Leadership style—Is a leader’s unique manner of guiding and encouraging the efforts of team membersIs a combination of the choices that a leader makes to guide team behavior and the way in which a leader encourages team growthShould be adapted to the needs of the individual and the situation


Module 1

1-22

Leadership Styles


Module 1

1-23

Leadership Style: Tasking

Tasking is appropriate when—New tasks are involvedAn employee is new or inexperiencedGoals are not being metThe task is urgentSomeone is willing, but not necessarily able to perform an assignment

Tasking is telling or providing strong direction to a person on how to perform an assignment.


Module 1

1-24

Leadership Style: Steering

Steering is appropriate when the employee—Is gaining experienceIs not yet an expert on what he or she is doingNeeds some direction and encouragement

Steering guides a person to do the assignment.


Module 1

1-25

Leadership Style: Encouraging

Encouraging is appropriate when the employee—

Is familiar with the taskShares ideas and has input on decisionsHas the ability but is not necessarily willing to perform the assignment or taskHas become discouraged or unmotivated

Encouraging gives support to do the assignment.


Module 1

1-26

Leadership Style: Entrusting

Entrusting is appropriate when—Followers are committedThe employee has the interest, desire, and ability to make and implement decisionsEmployees or team members are able to work independentlyLeaders need only to monitor performance

Entrusting empowers individuals to perform the assignment.


Module 1

1-27

Case Study 1-1

Choosing a Leadership Style (Optional)


Module 1

1-28

Key Messages

Managers administer, organize, and staff divisions or teams; leaders establish direction and motivate people to follow that direction; these roles are complementary and both are necessary for project successEstablishing direction involves developing a vision for the futureAligning people involves communicating the vision to all stakeholders as often and in as many ways as possibleMotivating and inspiring involves understanding motivation and energizing people to overcome obstacles to change and achieve the vision


Module 1

1-29

Key Messages (continued)

The four leadership styles—tasking, steering, entrusting, and encouraging—represent different levels and combinations of concern for the project and the individualLeaders should choose an appropriate combination of direction and encouragement for a team member


Module 2

2-1

Leading Effective Teams


Module 2

2-2

Objectives

By the end of this module, you will be able to—Define project teamsDescribe the characteristics of an effective teamIdentify the challenges of leading a teamDetermine ways to manage global and virtual teamsDescribe the developmental life cycle of teams in terms of stages, developmental tasks, and interpersonal issuesDiagnose reasons for team dysfunctionEvaluate team progress and coach team members as necessarySelect appropriate coaching strategies to solve team performance problem

1 Ward, J. LeRoy. Dictionary of Project Management Terms. 3rd ed. Arlington, Va.: ESI International, 2008, p. 355


Module 2

2-3

Definition of a Team

A small number of people with complementary skills who are committed to a common purpose and who are working interdependently to achieve specific performance goals using an approach for which they hold themselves accountable.1

High performing teams are clear about the vision, self-directed, interdependent, and have a high level of trust.


Module 2

2-4

Discussion

What are some characteristics of a team?


Module 2

2-5

Characteristics of Effective Teams

Share a common purposeHave a clear set of objectivesAre the right size for the jobHave complementary skillsCommunicate clear roles and responsibilitiesHold each other mutually accountableBalance task and encouraging behaviorsBuild relationships through mutual trust and respect

Involve team membersRespect diversityWork toward consensusCommunicate openlyTake time to planIdentify and resolve group conflictsConduct self-assessmentAre aware of perceptual barriers


Module 2

2-6

Positive Aspects of Teams

Increased efficiency and productivityHigher quality of programs and servicesBetter use of talent and skillsImproved relationshipsGreater sense of belonging and employee satisfactionGreater commitment to goals and objectivesIncreased motivationIncreased responsiveness to customer needsImproved communication


Module 2

2-7

Challenges to Leading Project Teams

Leading a diverse group of people who—Come from different parts of the organization, different buildings, different cities, and different countriesHave varied education levels, work experience, and concernsTelecommute or are on contractHave seldom or no prior experience working on a teamMay prefer to work alone rather than on a team


Module 2

2-8

Challenges to Leading Project Teams (continued)

Understanding, directing, and supporting the—Technical aspects of a project at a high levelTeam through the stages of team development

Accomplishing the project’s mission using—Informal authorityDifferent systems of reward and compensation for the team


Module 2

2-9

Types of Teams

Tool: Team Charter


Module 2

2-10

Myths vs. Facts About Team Size

MythsImportant projects have big teamsLeaders of large teams are importantMore people means more ideasEveryone should be on the team

FactsOptimal size is 6-8 members with a maximum of 12The larger the team:

Management and communication becomes more complexTeam members can become less accountable


Module 2

2-11

Strategies for Optimizing Team Size

Limit the size of all teamsInclude only essential team membersBreak larger teams into smaller, more manageable sub- or core teams

Assign technical experts to specific parts of the projectUse the whole team to review the individual parts


Module 2

2-12

Colocation

Colocation refers to the proximity of offices occupied by team membersCross-functional teams that are collocated are able to—

Move through the stages of team development more quicklyShare informationBounce ideas off one another


Module 2

2-13

Colocation (continued)

Being physically closer to your teammates does facilitate effective teamworkInteracting informally on a daily basis—

Facilitates getting to know new peopleMinimizes the effect of past conflictsFacilitates alliance buildingEncourages face-to-face discussions and brainstorming sessions


Module 2

2-14

Virtual and Global Teams

Groups of people who may be separated by distance with little or no face-to-face timeConsiderations:

CommunicationHow often, what media

TimeDifferent time zone, different work schedule

SpaceColocated; telecommute; or across state, country, or ocean

CultureDifferent cultures, different beliefs

1 Virtual Teams," Wikipedia, The Free Encyclopedia, http://en.wikipedia.org/wiki/Virtual_team


Module 2

2-15

Why Virtual and Global Teams?

Best employees may be located anywhere in the worldWorkers demand personal flexibilityWorkers demand increasing technological sophisticationA flexible organization is more competitive and responsive to the marketplaceWorkers tend to be more productive—less time on commuting and travelThe increasing globalizations of trade and corporate activityThe global workday is 24 vs. 8 hours1


Module 2

2-16

Compensating for Geographic Dispersion

Lobby for a face-to-face project kickoff meetingEnlist the team members’ concerns; review team roles and responsibilities, and project objectiveCreate a team name, logoEstablish meeting guidelines that address group behaviors, code of conduct, decision-making processes and response times

Depending on the project’s length, meet as a whole team at regular intervals

Rotate the meeting locations so that team members can visit each other’s work sitesVary meeting timesWhen holding virtual meetings, send out meeting materials in plenty of time with a return receiptHave schedules with milestones that allow the project manager and team members to discuss task progress


Module 2

2-17

Compensating for Geographic Dispersion (continued)

Make sure that remote team members feel like they are part of the network

Use words, graphics, audio, and video to simulate face-to-face meetingTake time to make telephone contact to address a human presenceLet them know how their part of the project fits into the larger picture

Encourage team members who normally do not work close to each other to collaborate

Encourage informal contactCreate subteam across borders for interpersonal networking


Module 2

2-18

Compensating for Geographic Dispersion (continued)

Share information as soon as it becomes availableUse e-mail, voicemail, instant messaging, conference calls, video conferencing, web conferencing, and Internet forums for knowledge sharing whenever possible

Facilitate the team through the stages of team developmentGive each participant the same consideration, regardless of their locationsJudge ideas against the objective


Module 2

2-19

Exercise 2-1

Managing Teams in a Global and Virtual World


Module 2

2-20

Progressing from a Group to a Successful Team

What is requiredA conscious decision to become a teamA common visionA leader who understands the developmental life cycle of teams and who can provide appropriate direction and supportMembers who want to be part of the team and participate in the team’s evolution

1 Tuckman, Bruce, W. "Developmental Sequences in Small Groups." Psychological Bulletin, Vol. 63.Copyright © 1965 by the American Psychological Association. Adapted with permission.


Module 2

2-21

Stages of Team Development

Stages of Team Development1


Module 2

2-22

Forming

Characterized by—ExcitementAnticipationAnxietyQuestioning

Leaders help by—Adding structureEncouraging learningBalancing participation

Team members may—Try to define roles and responsibilities


Module 2

2-23

Storming

Characterized by—Resistance to changeDefensivenessJealousyTension

Leaders help by—Facilitating dialogueFacilitating decision makingProviding supportRefocusing team members on project goals

Team members may—Clash about controlBreak into opposing subgroupsWithdraw from group interactionBecome unfocused


Module 2

2-24

Norming

Characterized by—Development of trust and supportShared responsibilityCooperationCollaborationCommunication

Leaders help by—Delegating more responsibilityEncouraging the expression of ideasChallenging the teamProviding recognitionProviding trainingAsking for help

Team members may—Settle into rolesMake progress on the taskResist change


Module 2

2-25

Performing

Characterized by—High-level performanceIncreased comfort among team membersConfidenceOptimismCreativity

Leaders help by—Suggesting new goalsTesting assumptionsDeveloping self-assessment processes

Team members will—Focus on accomplishing goalsWork efficiently


Module 2

2-26

Adjourning

Characterized by—Positive feelings about teamworkSense of accomplishmentSense of loss

Leaders help by—Identifying opportunitiesCreating rewardsConducting final lessons learnedCelebrating

Team members will—Disperse and move on to other projects


Module 2

2-27

Case Study 2-1

Stages of Team Development (Optional)


Module 2

2-28

Diagnosing Team Behavior

What to observeContent: What the team openly discusses or addressesBehavior patterns:

Task: Focus on the successful completion of the task at handEncouraging: Focus on relationships and keeping the team togetherSelf-oriented: Focus on one’s own needs and disrupt successful completion of the task

Tool: Team SociogramTool: Team Influence ChartTool: Team Behaviors Chart


Module 2

2-29

Key Messages

A team is a group of people with complementary skills, a common purpose, shared goals, and mutual accountability who share responsibility for accomplishing project goalsVirtual and global teams are prevalent today and continue to grow each yearAdditional adjustments such as time, culture, geographic locations and communications need to be considered by the project manager when managing virtual and global teams


Module 2

2-30


The five distinct stages to team development are forming, storming, norming, performing, and adjourning— progression is not necessarily linear and teams may return to any stage multiple timesTeam dysfunction is often a result of the team’s failure to progress through the stages of team development and requires leadership intervention to help the team to move forwardThe team leader must work to balance task and encouraging behaviors within the team, while minimizing self-oriented behaviors


Module 3

3-1

Building Relationships

1 Strength Deployment Inventory, SDI, Relationship Awareness, Motivational Value System, and MVS are registered trademarks of Personal StrengthsPublishing, Inc.


Module 3

3-2

Objectives

By the end of this module, you will be able to—Distinguish behavior from motivationCompare and contrast the seven Motivational Value Systems™ (MVSs™) of the Strength Deployment Inventory® (SDI®)Use the concepts of Relationship Awareness® Theory to maintain effective stakeholder relationships1

Recognize your primary motivation pattern based on observable patterns of behaviorDiscover effective ways to communicate with and influence project stakeholdersSelect appropriate reward strategies for teams and individuals


Module 3

3-3

Behavior vs. Motivation

Behavioral theoryLooks for patterns in an individual’s behaviorUses patterns to predict future behavior

Motivational theoryLooks at motivations behind an individual’s behaviorSeeks to understand why an individual behaves a certain way in a given situation


Module 3

3-4

Relationship Awareness® Theory

It is a motivational theory of human relationshipsIts primary tool is SDI®

It increases awareness of the motives and values behind human behavior in order to build better relationshipsIt strengthens skills in—

Communication and influenceLeadershipProject managementTeam buildingConflict management

1 Adapted from the Strength Deployment Inventory Facilitator's Guide, 2014 by special permission from the publisher, Personal Strengths Publishing, Inc.,Carlsbad, California, USA, (800) 624-7347, www.PersonalStrengths.com. Further adaptation is prohibited without prior written consent of the publisher.


Module 3

3-5

The Four Premises

Premise 11

Behavior is driven by motivation to achieve self-worth.Premise 2Motivation changes in conflict.Premise 3Strengths, when overdone or misapplied, can be perceived as weaknesses.Premise 4Personal filters influence perceptions of self and others.


Module 3

3-6

Exercise 3-1

Strength Deployment Inventory®


Module 3

3-7

Interpersonal Development in Relationship Awareness® Theory

As we become more aware of our motivation and receive feedback from our behavior, we—

Evaluate our behavior’s effectivenessReadily adopt, abandon, and modify behavior to achieve more gratification

As we become more aware of the gratification that others are seeking from us, we—

Understand more clearly why they act the way they doKnow how we should behave with them to ensure that our interaction is mutually satisfying

1 Adapted with permission from the Strength Deployment Inventory Facilitator’s Guide, © Personal Strengths Publishing, Inc.


Module 3

3-8

The Seven MVS™s

1



Module 3

3-9

Altruistic-Nurturing (BLUE)

Concern for the protection, growth, and welfare of othersCharacterized by—

Being open and responsive to the needs of othersSeeking ways to bring help to othersTrying to make life easier for othersTrying to avoid being a burden to othersEnsuring that others reach their potentialEnsuring that others are valuedDefending the rights of others1



Module 3

3-10

Assertive-Directing (RED)

Concern for task accomplishment and for the organization of people, time, money, and any resources to achieve desired resultsCharacterized by—

Competing for authority, responsibility, and positions of leadershipExercising persuasionBeing alert to opportunityClaiming the right to earned rewardsStriving for immediate actionAccepting challengesAccepting risk-taking as necessary and desirable1

Demonstrating competitiveness



Module 3

3-11

Analytic-Autonomizing (GREEN)

Concern for assurance that things have been properly thought out; concern for meaningful order being established and maintainedCharacterized by—

Being objective, correct, and principledBeing in control of one’s emotionsBeing practicalBeing fair, resolute, and seriousBeing one’s own judge and juryBeing one's own personThinking things through before acting1



Module 3

3-12

Flexible-Cohering (HUB)

Concern for flexibility and adaptability; concern for the inclusion of people and perspectives in group processesCharacterized by—

Being curious about what others think and feelBeing open-minded and willing to adaptExperimenting with different ways of actingBeing proud to be a memberLiking to know a lot of peopleLiking to be known by a lot of peopleLiking to be known as flexible1



Module 3

3-13

Assertive-Nurturing (RED-BLUE)

Concern for the protection, growth, and welfare of others through task accomplishment and leadershipCharacterized by—

Actively seeking opportunities to help othersPersuading others to ensure the maximum growth and development of othersBeing open to proposals for creating welfare and security for othersCreating enthusiasm and support in tackling obstacles to success1



Module 3

3-14

Judicious-Competing (RED-GREEN)

Concern for intelligent assertiveness, justice, leadership, order, and fairness in competitionCharacterized by—

Providing rational leadership that can assess risks and opportunitiesBeing decisive and proactive when all the facts are inChallenging opposition through thoughtful process and strategy1

1 Adapted with permission from the Strength Deployment Inventory Facilitator’s Guide, © Personal Strengths Publishing, Inc


Module 3

3-15

Cautious-Supporting (BLUE-GREEN)

Concern for affirming and developing self-sufficiency in self and others; concern for thoughtful helpfulness with regard for justiceCharacterized by—

Building effective processes and resources to protect or enhance the welfare of othersOffering assistance for greater self-sufficiency and independenceSupporting activities that lead to growthFighting for principles that are fair1


Module 3

3-16

Relating Styles: Valued, Borrowed, and Masked

Valued: A behavior pattern that we use when we are free to act in a way that makes us feel good about ourselves: "This is the natural me"Borrowed: A behavior pattern that does not enhance our feelings of self-worth but is not inconsistent with our basic motivations; it may or may not achieve results: "I don't love it, I don't hate it"Masked (Nonvalued): A behavior pattern that does not enhance our feelings of self-worth but that we adopt for survival or self-protection: "I have to in order to survive"



Module 3

3-17

Relationship Awareness® Theory and Organizational Culture

Every organization has its own cultureRelationship Awareness® Theory can provide insight into—

Individual organizations to the extent that they may be characterized by a single MVS™The dynamics of larger organizations1

1 Adapted with permission from the Strength Deployment Inventory Facilitator’s Guide, © Personal Strengths Publishing, Inc


Module 3

3-18

Relationship Awareness® Theory and Management

Management by enablement (BLUE)Manager helps the employees to grow and developInvolves encouragement and support

Management by direction (RED)Stereotypical approach to managementInvolves clear goals and measures of success

Management by exception (GREEN)Everyone operates under clear guidelinesInvolves the manager dealing with deviations and special cases

Management by participation (HUB)Stereotypical team management approachInvolves group problem solving and decision making1


Module 3

3-19

Exercise 3-2

Viewing the Project Manager’s World Through Motivational Patterns


Module 3

3-20

Relationship Awareness® Theory and Rewards

Rewards need to fit the receiver rather than the giverWhen rewarding individuals based on your own MVS™ rather than their MVS™, the reward may not have the intended (motivational) effectRewards may be monetary or nonmonetary, such as—

Salary increases, bonuses, gift certificates, benefitsLetters of recognition, prizes, certificates of appreciationIncreased responsibility or involvementPositive feedback, “thank you”


Module 3

3-21

Relationship Awareness® Theory and Rewards (continued)

MVS™ Typical Preferred Rewards Typically NOT RewardingBlue Personalized gifts; face-to-face

recognition; a party for the team; a simple thank-you for helping

Rejection; being made to work alone; being asked to discipline others

Red Public recognition; increased challenges; an opportunity to provide leadership and direction

Tasks requiring high levels of detail, anonymity, and a loss of authority or status

Green A quiet place to work; access to information; gadgets, complex tasks; recognition for being principled

A lack of privacy; short timelines; emotionally charged environments

Hub Flexible work schedules; a choice of tasks; group recognition

Repetitive tasks; a lack of consensus; working in isolation


Module 3

3-22

Strengths vs. Weaknesses

Behaviors that we engage in are considered—Strengths when they contribute to a mutually productive and satisfying interactionWeaknesses when they detract from a mutually productive and satisfying interaction

A personal weakness is no more or less than a personal strength that is being overdoneRegardless of whether we are operating from strengths or weaknesses, the gratification that we seek can be deduced from our behavior


Module 3

3-23

Exercise 3-3

Overdoing Behavior Patterns


Module 3

3-24

Case Study 3-1

The Seven MVSs™ (Optional)


Module 3

3-25

Understanding Different Perspectives

Take responsibility for your strengths to create a mutually productive and satisfying interactionBe aware of what your strengths can become when overdone; guard against them, so they do not damage your relationshipsCelebrate other people’s strengths; encourage them and use them to communicate your messageDo not allow those differences to alter your relationship

Tool: Self-Assessment—Understanding Others


Module 3

3-26

Building Relationships with the SDI®

Relationship Awareness® can facilitate more effective communication, influence, and successRelationships can facilitate team and project successStakeholder relationships are criticalRelationship building requires understanding BOTH ourselves and othersThe primary tool for relationship building is communication


Module 3

3-27

Building Relationships Through Communication and Influence

Exchange information, opinions, ideas, and feelingsProvide feedbackReach decisionsSolve problemsResolve conflictsNegotiateMake requestsInfluence the actions of othersReach understanding


Module 3

3-28

Forms of Communication

Verbal: What you sayParaverbal: How you say itNonverbal

Body language: The way you use your body to communicatePersonal space: What your use of space communicates


Module 3

3-29

ESI’s Communication Model


Module 3

3-30

Communication Challenges

SymbolicParalingualNonverbalFiltersWritten wordSpoken wordTeam size

Receptiveness and readiness of communicationsStages of group developmentPast relationships between communicatorsDiversityVirtual team environmentTrustCommunication styles


Module 3

3-31

Exercise 3-4

Good vs. Bad Communications



Module 3

3-32

Communication Strategies

To effectively achieve desired results, it is helpful to recognize the basic “motivation language” of the people with whom you are interacting and to adjust your own language, tone, body language, and so onThe following visuals list some behaviors that may be helpful when dealing with various types of people. Although many items may be appreciated by all the types, they are especially valued by the type under which they are listed.1

1 Adapted with permission from Charting Your Course for Effective Communications, © Personal Strengths Publishing, Inc


Module 3

3-33

Communication and Influence with the Altruistic-Nurturing (Blue) MVS™

Use people’s namesStart your conversation with a hello before jumping into the topic; use a wrap-up statement before ending the conversationFeelings and emotions are important

Use words of feeling to express yourselfShow your feelings through facial expressions and body languageThis is often personal to them—be sensitive

Point out how they can help1



Module 3

3-34

Communication and Influence with the Assertive-Directing (Red) MVS™

Speak with confidence and excitementGet to the point quickly providing only the information needed; do not drag on a pointSpeak in definite terms, not “maybe”Stress what action is to be performed and what the expected results areTell them like it is—don’t beat around the bushDebating is always an optionBe direct, stress task accomplishment1



Module 3

3-35

Communication and Influence with the Analytic-Autonomizing (Green) MVS™

More information is better than lessProvide time to review the informationBe prepared for questionsUnderstand that an objective approach is not personalDemonstrate your knowledge with structure and sequential formatsFacts and figures are always welcomeBe logical—avoid confusion1



Module 3

3-36

Communication and Influence with the Flexible-Cohering (Hub) MVS™

Provide all levels of information and let them decide how to respondLet them know you appreciate their helpExplain how this will affect othersWhen possible, provide a list of choicesBe patient; stress teamworkTolerate ambiguity1



Module 3

3-37

Communication and Influence with the Assertive-Nurturing (Red-Blue) MVS™

Provide information on both task and feelingsPoint out how their contribution helps people and helps to get something accomplishedCombine action with sensitivityCommunicate how the effort rewards the people1



Module 3

3-38

Communication and Influence with the Judicious-Competing (Red-Green) MVS™

Be precise in your conversation showing little feelingProvide a logical process with an endingHave a clear plan of actionProvide an opportunity to accomplish tasks in an atmosphere where there is fairness and respectEmphasize a balance of fairness and accomplishment1



Module 3

3-39

Communication and Influence with the Cautious-Supporting (Blue-Green) MVS™

Start with detailsFacts and figures first

Next, provide subjective content to enhance the informationExplain how the information will enable others to work independentlyDo not provide too much information or push for too much, too fastGet through the Green to get to the Blue1


Module 3

3-40

ESI’s Communication Process Model


Module 3

3-41

Exercise 3-5

Communicating with Your Team


Module 3

3-42

Action Items for Effective Communication

Prepare your message in advanceEncode your message in terms that the receiver can translate easily, and be consistent in your use of verbal, nonverbal, and paralingual componentsTime your message carefullyConsider your receiver's feelings, values, and personality; be honest and compassionateChoose an appropriate mode of transmissionListen carefully for feedback from the receiverTest to make sure your message is understood, accepted, and being acted upon


Module 3

3-43

Project Communication Plans

Know your stakeholders.Know what information your stakeholders need and want to make their decisions.Know how and when to deliver the information so it is "just what they need".Build a communication plan:

"The who, what, when, why, how, and how often" document for project communicationIdentifies who can authorize the release of confidential informationOutlines the escalation process for emergencies and unresolvable issues and problemsDescribes communication restraints

Tool: Communication Plan—Detailed


Module 3

3-44

Key Messages

Behavioral theory looks for patterns in an individual’s behavior, while motivational theory looks at the motivations behind an individual’s behaviorRelationship Awareness® Theory recognizes seven MVSs™Understanding the MVSs™ can enable you to understand yourself and others for more effective teamwork and communicationA personal weakness is no more or no less than the overdoing of a personal strengthWe build more effective relationships through effective communication and influence


Module 3

3-45


Different MVSs™ have different communication styles and languagesCommunication models can help us to understand and become more effective leaders and communicatorsCommunication challenges exist when stakeholders are located worldwideMultiple levels of communication exist between a sender and a receiverUnderstanding Relationship Awareness® Theory can improve our communication and influence with others


Module 4

4-1

Managing Conflict


Module 4

4-2

Objectives

By the end of this module, you will be able to—List major sources of conflict on project teamsDescribe how strength deployment changes during conflict and oppositionRecognize Conflict Sequences™ in oneself and others, and manage conflict effectivelyDetermine the differences between preventable and real conflictAnalyze conflict scenarios and determine whether they represent a preventable or real conflictSelect the best strategies for managing real conflict


Module 4

4-3

Objectives (continued)

Explore the differences between competitive and collaborative methods of handling conflictCompare and contrast the sources of power/authority used in typical organizations


Module 4

4-4

The Reality of Conflict in Matrix Teams

Matrix teams commonly have experts from different fields who all have different, perhaps conflicting, viewpointsThere may be unclear lines of authority because resources generally do not report to the project managerHigh levels of diversity in new product development teams can reduce team performanceUsing time and energy to explore differences constructively may ensure that team members are not discouraged or demoralized


Module 4

4-5

Sources of Conflict on Project Teams

Individual: Conflicts arise from differences in goals, facts, values, personalities, opinions, miscommunications, and methodsOrganizational: Sources of conflict in project organizationsinclude—

Functional and project structuresStatus and authorityCompetition for resourcesReward and compensation programsCommunication networksStakeholders/customersPolitics in organization


Module 4

4-6

Sources of Conflict on Project Teams (continued)

Team: Major sources of conflict on project teams include—Roles and responsibilitiesSchedulesPrioritiesAdministrative proceduresTechnical recommendationsResourcesPersonalities


Module 4

4-7

Changing Viewpoints About Conflict

Traditional viewIs caused by troublemakersIs badShould be avoidedMust be suppressed

Contemporary viewIs inevitableIs beneficial to organizationIs natural result of changeCan and should be managed


Module 4

4-8

Conflict Effectiveness


Module 4

4-9

Predictable Outcomes of Unsuccessful Conflict Management

Diversion of energy from real tasksPolarization of individualsIrresponsible behaviorUncooperative actionMore pursuit of self-interests

Misunderstanding and decreased communicationFeelings of defeat and embarrassmentStagnationSuspicion and distrustDecreased productivity


Module 4

4-10

Predictable Outcomes of Successful Conflict Management

Healthy interactions/involvement stimulatedImproved communication and understanding between individualsPerson and professional growthStrengthened relationshipsPeople forced to clarify ideas and share relevant information

Enhanced creative problem solving and innovationBetter decisions and solutionsGreater interest in group membershipIncreased motivation and productivity


Module 4

4-11

Discussion

When is conflict really not conflict?

Are there additional considerations when conflict occurs on virtual teams?

1 The Interaction Triangle is a registered trademark of Personal Strengths Publishing, Inc.


Module 4

4-12

Preventable vs. Real Conflict

Preventable (unwarranted) conflict—Arises when there is a clash of the relating styles of the involved partiesIs a threat to self-worth for the individualCan also occur as a result of overdone strengths

Real (warranted) conflict—Arises when individuals' goals do not agreeIs not a function of either party's Valued Relating Style (VRS)Is a disagreement about a particular subject1

1 The Interaction Triangle is a registered trademark of Personal Strengths Publishing, Inc.


Module 4

4-13

Conflict and the SDI®

1


Module 4

4-14

Exercise 4-1

Living the Triangle (Optional)


Module 4

4-15

Stages of Conflict

Most models identify three distinct stages of conflictApproaches to managing conflict are different at each stageConflict tends to be easier to address in the early stagesAs conflict escalates—1. Concern for self increases2. Desire to win increases3. Potential to harm others increases


Module 4

4-16

Stages of Conflict in SDI®

Stage 1: Concern for self increasesConcerned with maintaining self-worthFocus is on self, the problem, the other party

Stage 2: Desire to win increasesConcerned with preserving self-worthFocus is on self and the problem

Stage 3: Potential to harm others increasesConcerned with protecting self-worthFocus is on self to the exclusion of all else

1 Adapted with permission from SDI® Standard Edition, © Personal Strengths Publishing, Inc.


Module 4

4-17

Understanding Conflict Sequences™

1


Module 4

4-18

Case Study 4-1

Teams and the SDI® (Optional)



Module 4

4-19

Warranted or Real Conflict

Opposition resulting from incompatible expectationsPeople with opposing needs, goals, or ideasCan include people with the same or different MVSs™Listen to understand the other party’s goal—do not just agreeCan be resolved through negotiation1


Module 4

4-20

Conflict Resolutions Steps


Module 4

4-21

Conflict Resolution


Module 4

4-22

Dimensions of Behavior During Conflict

Concern for self: The extent to which an individual attempts to satisfy his or her own concernsConcern for the other party: The extent to which an individual attempts to satisfy another person’s concerns


Module 4

4-23

Competitive Models of Handling Conflict

Forcing (I win/you lose): The project manager uses his or her power to direct the solution, resulting in a win-lose agreement where one side gets its way and the other does not.Smoothing (I lose/you lose): Both sides smooth over or avoid the situation to allow some time to pass before revisiting the conflict. They do not pursue their own concerns or the other party's concerns.Withdrawing (I lose/you win): One side is concerned with trying to meet the needs of the other party rather than its own needs, so it withdraws its issues so the other party can win.Compromising (I lose a little/you lose a little): Each side is equally concerned with its needs and the other party's needs. Compromising never fully takes care of anyone's needs.


Module 4

4-24

Competitive Negotiation

PurposeSettle disagreementsReduce the conflict rangeFocus on positionsAchieve objectivesLess time-consuming

PreparationIdentify positions: max, min, and targetIdentify sources of power/authority and Best Alternative to a Negotiated Agreement (BATNA)

MethodsBe assertiveUse power bases to influence and create movementGive and ask for concessions


Module 4

4-25

Using Power to Persuade and Influence

The ability to influence the decisions, opinions, methods, strategies, and commitment of others is crucial for effective team leadership and negotiationProject leaders and team members derive power to influence others by their acquisition of power bases


Module 4

4-26

Power Bases

Provide project managers with authority

Legitimate (formal)Purse-stringBureaucraticReward

CoerciveExpert (technical)CharismaticReferent


Module 4

4-27

Case Study 4-2

Diagnosing Power Bases (Optional)


Module 4

4-28

Collaborative Mode of Handling Conflict

Problem solving: Two parties work together toward a solution for the problem

Interest basedOnly collaborative process in the modelCreates "new boundaries"Win-winSynergistic


Module 4

4-29

Collaborative Negotiation

PurposeFocus on interestsFocus on both content and relationship (win-win)Build long-term relationshipsTime consumingProblem solving

PreparationIdentify interests, values and goals of both partiesCreate a positive environment

MethodsPractice active listeningEstablish objective criteriaGenerate options for mutual gain

Collaborative negotiation distinguishes leaders.


Module 4

4-30

Collaborating in the Real World

Understand perceptionsAcknowledge riskEducate participantsIs easier said than doneIs ideal for project environments and recurring relationships


Module 4

4-31

Preparing to Negotiate

Analyzing the other partyResearch the other party’s areas of concernsIdentify the other party’s sources of powerPredict the other party’s interests and positionsEstimate the other party’s prioritization of interests

Analyzing yourselfExpress your areas of concern as specific interestsIdentify your sources of power for each interestOutline three positions for each interestPrioritize your interests

Do I compete or collaborate?


Module 4

4-32

Case Study 4-3

Conflict Management Styles (Optional)


Module 4

4-33

Exercise 4-2

Is This Conflict Preventable?


Module 4

4-34

Key Messages

Conflict can be both beneficial and destructive depending on management and resolution strategiesConflict can be either preventable or realRelationship Awareness® Theory recognizes 13 Conflict Sequences™ in preventable conflict; an awareness of these Conflict Sequences™ in others will help you to manage conflict more effectivelyThe five conflict management styles—forcing, smoothing, problem solving, withdrawing, and compromising—should be varied depending on the situation


Module 4

4-35


The eight power bases provide project leaders with the ability to influence movement in competitive negotiationProblem solving is the only conflict-management approach that is collaborativeCompetitive negotiation is usually an adversarial win-lose environment, while collaborative negotiation is usually a problem-solving, win-win environmentNegotiation planning is a critical step that involves researching and analyzing both your own, and the other party’s, points of view


Module 5

5-1

Ethics and Leadership


Module 5

5-2

Objectives

By the end of this module, you will be able to—Explore the link between ethics and trustConsider ethical behavior and its role in leadershipCompare and contrast personal vs. organizational ethicsDiscuss the effect of the triple constraint on ethics


Module 5

5-3

Exercise 5-1

Building Trust (Optional)

1 Ward, J. LeRoy. Dictionary of Project Management Terms. 3rd ed. Arlington, Va.: ESI International, 2008, p. 152.2 Ward, J. LeRoy. Dictionary of Project Management Terms. 3rd ed. Arlington, Va.: ESI International, 2008, p. 152.


Module 5

5-4

Defining Ethics

Ethics: "System of moral principles and rules that becomes the standard for professional conduct."1

Ethical management style: "Management approach in which the project manager is honest, sincere, and able to motivate and press for the best and fairest solution."2


Module 5

5-5

Benefits of Ethical Behavior

Easier to attract and retain the best employeesDevelopment of better processesIncreased customer loyaltyIncreased credibility


Module 5

5-6

Consequences of Unethical Behavior

Loss of client trustLoss of employee trustLoss of public imageLoss of fundingCriminal or civil investigationCost of investigation


Module 5

5-7

Some Ethical Guidelines

Aristotle (384-322 BCE), Golden MeanMoral virtue lies between two extremes. One extreme is excess and the other is deficiency.Immanuel Kant (1724-1804), Categorical ImperativeWhat is right for one is right for all (without exception).John Stuart Mill (1806-1873), Principle of UtilitySeek the greatest good for the greatest number. Seek to maximize value and minimize loss.John Rawls (1921-2002), Veil of IgnoranceEthical decisions are made by removing all social roles and differentiation.


Module 5

5-8

Governances

Sarbanes-Oxley ActPassed by Congress in July 2002Passed to address accounting scandals of late 2001 and early 2002Has a direct impact on project managers and project financial reporting

The King 2 Report on Corporate GovernancePublished in March 2002; replaces the previous King ReportDirects corporations in South Africa to move towards a more responsible role in corporate governance


Module 5

5-9

Governances (continued)

The Declaration of the Rights of Man and CitizenThe cornerstone of French lawGovernance is about social justice, a concern for the environment, and a family-centered cultureAdopted by the United Nations in December 1948

Companies Act 2006Became royal assent in November 2006Supersedes Companies Act 1985Amends and restates Scottish and English law in relationship to companies


Module 5

5-10

Personal vs. Business Ethics

Is there a difference?Should there be a difference?Does context matter?


Module 5

5-11

Ethics and Leadership

It is not enough merely to have an ethics code or to provide ethics trainingFacilitate ethical conduct: Individuals within the team or organization must believe that their behavior is important and feel empowered and safe to report issues of concernLead by example: Leaders act with integrity and make ethical decisions to support and strengthen the team or organizationManage by integrity, not just compliance: The spirit of the law is just as important as the letter


Module 5

5-12

Ethics and Project Management

Ethics is closely tied to the project constraintsWhat happens when—

You promise a client an unrealistic schedule?You agree to an unrealistic price?A manager asks you to compromise quality to obtain a shorter schedule or lower price?You promise deliverables without asking your team members if they are willing to put in the extra hours required?


Module 5

5-13

Ethics and Project Management (continued)

What happens when—A problem occurs in the project and your senior management asks you not to tell the client?You are bidding for a contract and a former employee offers to sell you crucial information about the evaluation criteria?You are asked by a senior leader to skew project status?


Module 5

5-14

Ethics and Risk

Ask yourselfWhat are the issues?What are the consequences?What are the options?What would a reasonable person do?Are there regulations or rules that restrict your choices?How will your decision look in the newspaper? To your family?


Module 5

5-15

Exercise 5-2

What Would You Do?


Module 5

5-16

Key Messages

Ethical behavior is a key component to building trustAs a leader, it is your responsibility to display ethical behavior and facilitate such behavior in your followersEthics is as much an organizational issue as a personal issueIn project management, ethics is closely tied to the project constraints; as a project leader, you must consider how your decisions affect project and organizational goals


Module 6

6-1

Leading Change


Module 6

6-2

Objectives

By the end of this module, you will be able to—Define key change management termsDescribe the predictable stages of adjusting to changeIdentify appropriate leadership strategies for each stage of changePrepare for an organizational changeCommunicate basic strategies for managing change

1 Ward, J. LeRoy. Dictionary of Project Management Terms. 3rd ed. Arlington, Va.: ESI International, 2008, p.61.


Module 6

6-3

What Is Change?

ChangeThe transition from one condition to another condition

Project changeThe “increase or decrease in any project characteristics, such as time, cost, or technical requirements; alternate approach to project work”1

Change competencyThe attitude that expects change and reacts to it with the skills and knowledge necessary to make change successful

1 Ward, J. LeRoy. Dictionary of Project Management Terms. 3rd ed. Arlington, Va.: ESI International, 2008, p.63.2 Ward, J. LeRoy. Dictionary of Project Management Terms. 3rd ed. Arlington, Va.: ESI International, 2008, p.62.


Module 6

6-4

What Is Change? (continued)

Change managementThe “process used to introduce, train, and implement a new system or set of procedures (the ‘change’) in an organization so that the users or beneficiaries of the change assimilate it into their everyday work life”1

Change controlThe “process of monitoring and dealing with changes to the schedule, cost, or scope of a project, or its overall objectives…defined process and procedure for change management during the project life cycle”2


Module 6

6-5

Exercise 6-1

Change Affects Whom? (Optional)


Module 6

6-6

Implementing Change


Module 6

6-7

Understanding Change

Everyone deals with change in one form or another every dayThe process of adjusting to change is not completely linear

People may experience two or more stages simultaneouslyPeople may repeat stagesPeople may become stuck in stagesPeople in the same group may be in different stages of adjustment at any time


Module 6

6-8

ESI’s Stages of Adjusting to Change


Module 6

6-9

Leadership Interventions During Rejection

Provide as much information about the change in as many different ways as possibleGive clear, accurate information, explaining what is happening and why

What is the end result of the change?What are the benefits?How is it linked to business goals?What is the transition plan?


Module 6

6-10

Leadership Interventions During Resistance

Continue to provide accurate, consistent information about the changeProvide people with a way to express their concerns about the coming change; empathizeMake sure that communication is two-way

Answer questions about the changeAsk people to review the new processes and suggest their own improvementsWhen possible, involve staff members in the planning process

Build an environment of trust by encouraging openness and honestyTurn complaints into opportunities to brainstorm


Module 6

6-11

Leadership Interventions During Acknowledgment

Recognize that a sense of loss is inherent in the change processPlan ways to allow people to say goodbye to the past, such as a farewell party or other symbolic gestureVisibly embrace the change yourself; recognize that you may need to spend more time with people during the transitionWhen needed, provide increased support for stress management or employee assistance programs


Module 6

6-12

Leadership Interventions During Acceptance

Build confidence and promote successful change by—Celebrating small changesEncouraging brainstormingAsking people outside the organization to discuss their experience with change

Recognize that some people may be hesitant to fully support the change until they see how it worksAllow sufficient time for everyone to adjust to the change


Module 6

6-13

Leadership Interventions During Support

As people move from accepting the change to fully supporting its implementation—

Provide positive reinforcement as often as possibleAcknowledge successes (even small ones)Reward the people and teams that have contributed to positive change


Module 6

6-14

Exercise 6-2

Stages of Change


Module 6

6-15

Leading Projects Influenced by Organizational Change

Seek out the strategy behind the changeProvide a message that incorporates how the change will affect stakeholders, details on how the change will be executed, and the desired outcomeUse a variety of media to inform stakeholders on the change to minimize assumptions and rumorsBe accepting of change and help your team to move through the stages of adjusting

Be more supportiveProvide direction

Be aware of your own attitude toward the change


Module 6

6-16

Change Strategy Planning

1 Define your audience2 Analyze the expected advantages and disadvantages associated

with the change3 Determine tactical steps necessary for implementation4 Determine emotional steps necessary for implementation5 Plan your communication strategy6 Design your message, emphasizing the positive

Tool: Force Field Analysis


Module 6

6-17

Case Study 6-1

VaporWare Change Strategy Plan (Optional)


Module 6

6-18

Fundamental Principles of Managing Change

Be clear and specific about what, when, and why the change is occurringCommunicate both the positive and negative elements of the change; be positive, but realisticCommunicate how they can contribute to the goalEngage staff members in meaningful dialogue about the change and LISTEN to what they sayDo not ask for input when you are going to ignore itMonitor the transition process and provide workaround solutions for temporary problems

Remember: Change is inevitable and resistance is natural.


Module 6

6-19

Key Messages

Change is an increase or decrease in any project characteristic or an alternate approach to project workChange management is the process used to implement a change so that people assimilate it into their daily livesChange may have either a human or a technical focus, and it may be seen from either an individual or an organizational perspectiveThere are five predictable stages of adjusting to change—rejection, resistance, acknowledgement, acceptance, and support—the project leader must help the team through each stage


Module 6

6-20


As a project leader, your change strategy should define your audience, analyze the advantages and disadvantages of the change, determine the tactical and emotional steps necessary for implementation, develop a communication strategy for announcing the change, and design a message emphasizing positive aspects of the change


Module 7

7-1

Putting It All Together


Module 7

7-2

Objectives

By the end of this module, you will be able to—Summarize what it takes to lead a projectExplain how leadership is a growing processCapture lessons learned to be used in your next project


Module 7

7-3

Expectations of a Project Leader

Recognize that every problem does not have a predetermined solutionManage relationships by adapting your leadership style, motivational techniques, and conflict management style to individuals and situationsBe an advocate for your team and manage conflict successfully, using necessary resourcesPractice and facilitate ethical decision makingManage change by communicating vision and goals and being an active and visible spokesperson for the change


Module 7

7-4

Leadership: A Growth Process

Becoming a successful leader is a lifelong process thatinvolves—

Professional education and studyAligning with a mentor and mentoring othersExperience


Module 7

7-5

Exercise 7-1

What Lessons Have We Learned?


Module 7

7-6

Leadership Development Plan

Review your completed Leadership Development Plan for use in future situationsRemember to ACT on the planRemember to retake the self-assessment in 3–6 months to monitor your progressDevelop your leadership competencies


Module 7

7-7

MyESI®

MyESI® is the ESI online training portalhttps://esi-intl.com/myesiView your course history, print a transcript, and register for new courses

Through MyESI® you can access—Precourse activities (available upon registration) include the best practices survey, knowledge assessment, and focus questions.Postcourse resources and activities include:

Course-specific action and development plans and course tools and templates are available the day class concludes.The best practices survey, knowledge assessment, and targeted online review content are generally available 45 days after the class concludes.

https://esi-intl.com/myesi

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Readings

Changing the Way We Assess LeadershipOPINION

CHANGING THE WAY WEASSESS LEADERSHIP

Mary-jo Hall, Ph.D.

Defense leaders face unprecedented challenges of accelerating change in aworld without a Cold War. The technology explosion is forcing reduced cycletimes as acquisition leaders lead the way to “better, faster, and cheaper.”Specific initiatives and reforms such as single process initiative, electricalcombat/electronic data interchange (EC/EDI), cost as an independent variable,and increased emphasis on commercial specifications helped accomplish this.The challenges, however, will not go away. The acquisition community cannotmeet these demands simply by implementing the reform efforts of the ColleenPreston (former Deputy Under Secretary of Defense [Acquisition Reform]) era.To ensure that cost, schedule, and performance are continually improved,change must be inextricably linked to both the “thinking” and the “doing” ofthe T.S. Eliot quote below. Change is required at the organizational level, theteam level, and the personal level, so the acquisition community can operateeffectively and efficiently within a constrained budget and with fewer people.To effect this transformation, leaders must lead differently. Einstein’s insightreflects this imperative: “No problem can be solved from the sameconsciousness that created it; we must learn to see the world anew.” Continuingto do what we have always done will only get us what we already have. Better,faster, and cheaper weapons systems, flexible management systems, andempowered integrated product teams are required to produce new results.

...between the thinking and the doing lies the shadow.—T. S. Eliot

in the change wave must be visionary,apply a systems approach to their prob-lem solving, encourage out-of-the-boxthinking, appreciate the dynamics ofteams, know the reality of change man-agement, and operate effectively in a cha-otic world. The capacity to lead in this

To operate productively in an envi-ronment of constant change, lead-ers must think and act differently.

Change efforts, such as the acquisitionreform initiatives, must be considered partof a transformation process, not an “event”to be managed. Leaders who are effective

393

Acquisition Review Quarterly—Fall 1997

scenario requires the skills to establishdirection; align people, systems, and re-sources; and motivate and inspire follow-ers (Kotter, 1996a). Leaders must continu-ally learn and enhance their managementtechniques to encourage excellent perfor-mance in a complex environment. To dothis leaders must lead the change process.They must adapt to change while remain-ing focused on the strategic direction.Peter Vaill, in Learning as a Way of Being(1996a), calls this approach to continual,real-time change “leaderly learning.”

The purpose of this article is twofold.The first is to present a theory of leader-ship for the circumstances describedabove. The second is to provide manag-ers with a method for assessing theirpresent capability and building personalmastery associated with the theory. So firstI will present a theory focusing on leader-ship in a world of accelerating change. Itprovides definitions for leadership interms of the dimensions that research in-dicates are necessary for leading in a vola-tile, uncertain, ambiguous world where theonly constant is faster change. Then I willprovide a practical, hands-on tutorial forself-directed, intentional learning to in-crease capacity for the type of leadershipdetailed in the theoretical model. Theframework includes techniques for assess-ing present leadership capacity, a tool fordescribing and demonstrating this capac-ity, and a model for intentional learningto increase capacity. The framework helps

eliminate the “shadow” in Eliot’s quoteby presenting tools for “doing.”

LEADERSHIP AS LEARNING

My research for assessing personalleadership capacity began several yearsago in my role as organizational changecatalyst. During 1994, I researched andbenchmarked best practices. I formalizedfindings and concepts into a paper that wassubsequently presented at the AmericanAssociation of Higher Education Confer-ence in June 1996, and at the Universityof Maryland Symposium, Leaders andChange, in September 1996 (Hall, 1996).The two meetings led me to rethink theleadership content presented in the origi-nal paper. Based on further research, es-pecially the influence of Peter Vaill andJohn Kotter (who has written extensivelyon leading change), I revised the lead-ership content.

As expressed by Kotter (1990, 1996a)there is a critical distinction between lead-ership and management. He states that“Management is a set of processes [plan-ning, budgeting, organizing, staffing,problem-solving, etc.] that keep asystem...running” (1996, p. 25). Leader-ship, on the other hand, is defining thefuture, aligning the people (and all of thesystems and resources) with that particu-lar future and then inspiring people to cre-ate that future. See Appendix A for

Mary-jo Hall is a Professor of Acquisition Management, Managerial Development Department,Defense Systems Management College. She holds a Ph.D. in Education from George MasonUniversity, an MBA from Long Island University and an MEd from the University of Maryland atCollege Park, MD. She is a graduate of DSMC’s PMC 90-1. Dr. Hall also serves on the MalcolmBaldrige National Quality Award Board of Examiners.

394

Changing the Way We Assess Leadership

Kotter’s distinction between managementand leadership.

While both management and leadershipare necessary, the change and complexityassociated with the future demands thatthe leadership role takes precedence overthe management role. This concept ofmanagerial leadership in an environmentfull of surprising, novel, messy eventsdemanding attention is described as “per-manent white water” (Vaill, 1989).

Leading in this environment implieslearning new ways of operating and be-having based on the demands and realityof a changing context. As Farkas andWetlaufer wrote in the Harvard BusinessReview (1996), “CEOs must learn on thejob how to lead a company, and they mustlearn while every stockholder is watch-ing.” Dixon (1996, p. 4) references Rob-ert Kegan’s work, In Over Our Head, andstates: “People find themselves in overtheir heads much of the time. The organi-zations in which people work are also inover their heads. They are actively search-ing for new ways of acting and interact-ing.”

Change is not only a phenomenon as-sociated with organizations desiring to bemore customer-driven, more team ori-ented, and more inclined to make deci-sions based on data. Change is pervasivein all facets of our present and futureworld, from demographics, to technology,to global issues. Living in the present andfuture world successfully requires extraor-dinary changes in knowledge, skills, atti-tudes, and behaviors. Gaining this newcapacity requires a focused, consciousawareness of the learning process and adedication to improve intentional, per-sonal learning through planning and self-direction.

To develop self-planned, intentionallearning, individuals need to understandthe purpose for learning (the why of learn-ing), have strategies, methods, and re-sources for learning (the how of learning),and they need to be able to comprehendthe content (the what of learning). Theyneed to have the skills to assess presentcapacity and establish specific objectivesto enable future learning. The opportunityfor human learning occurs every day.However, for learning to translate into newskills, behaviors, and competencies on thejob, learning must be purposeful, directed,and intentional.

The original version of this work pre-sents the primary skills of leaders ofchange as: focus (vision, strategic goals,purpose), direction (values, communica-tion, stretch goals, a customer focus, us-ing data to drive decisions), guidance (pro-cess improvement, use of tools, teamingcontinual improvements), and support(consistency in support systems, encour-aging innova-tion, etc.). Therevised versionprovides fivedimensions forleadership; themajor differ-ences being pri-marily in theemphasis onpersonal learn-ing and manag-ing change.Here I describe the dimensions of leader-ship as: personal learning; establishingdirection; aligning people, systems, andresources; motivating and inspiring fol-lowers; and managing change. The revisedleadership context takes into account the

“While both man-agement and lead-ership are neces-sary, the changeand complexityassociated with thefuture demands thatthe leadership roletakes precedenceover the manage-ment role.”

395


complexity inherent in present and futureleadership, especially in the face of the“permanent white water” characteristic ofacquisition reform.

PERSONAL LEARNING

The problem with real-time, self-di-rected learning for leaders is that it is as-sumed that leaders know more than oth-ers. Today the rate, volume, and varietyof change is increasing at such a rate thatleaders are in a constant state of learning—they do not have the luxury of prior expe-rience and knowledge. Vaill calls this“leading a learning process” (1996b, p. 2).He goes on to postulate a learning premise(1996b, p. 8).

In dynamic, rapidly changingsituations of “permanent whitewater,” where unprecedentedchallenges and crisis are occur-ring continually, the ability tolearn effectively is the primary(in)competence. Therefore, effec-tive managerial leadership in suchsituations cannot ever be suffi-ciently learned.

Effective managerial leadershipin such situations is learning.

The premise is profound in that it rec-ognizes that the purpose of education isnot to teach the present reality, but rather,to create an environment where everyoneis enabled to learn about their learning andto learn methods, strategies, and tools toimprove their unique learning process. Thequestion Vaill puts forth is: “To what ex-tent are the individuals who are in posi-

tions of leadership...focusing (and beinghelped to focus) on their own learningabilities on the subject of leadership?”(1996b, p. 9). Thus, leadership is aboutlearning. Vaill (1996b) posits that reflec-tion is an integral aspect of this processand that a reflective learner “...learns aboutourselves as learners...” (p. 84). He fur-ther adds that the reflective learning sys-tem relies on self direction, creativity, ex-pressiveness, feeling the meaning, learn-ing on-line, and continuous learning.

The self-directed mode of learning isthe degree to which intentional learningis guided by personal choice, not depen-dence on others. “In reflexive activities weare trying to understand how to increaseour personal sense of ownership in ourlearning” (Vaill, 1996a, p. 87). Creativelearning implies that we are going into un-explored territory, not just doing what oth-ers have done before. Expressive learn-ing is being engaged actively, not merelyabsorbing. Feeling learning is knowing thegut reaction to the learning. It is the emo-tional element that engages the brain toan extent not possible without emotion.On-line learning broadens our learningbecause we are consciously and intention-ally learning new subjects, new topics, andexploring areas. This implies a willingnessand openness to learn about a variety ofoptions rather than sticking to the known.This means experiential learning, not pas-sive listening. Continual learning impliescontinual intentional learning, i.e., by de-sign and consciousness, not ad hoc andby osmosis.

Learning can be part of every work pro-cess. When it is, it continually stretchesthe people involved in the learning andexpands the capability of the organization.Peter Senge states (1990, p. 14):

396


Real learning gets to the heart ofwhat it means to be human.Through learning we re-createourselves. Through learning webecome able to do something wenever were able to do. Throughlearning, we re-perceive theworld and our relationship to it.Through learning we extend ourcapacity to create, to be part ofthe generative process of life.

ESTABLISHING DIRECTION

Establishing direction implies a clearvision for the future and strategies to getto the vision. The purpose for establish-ing direction is to transform the organiza-tion into something different than itspresent state. The purpose is not to havedetailed plans that occupy shelf space andare posted on the World Wide Web. Forthe acquisition community, establishingdirection implies a business approach withthe tenets of the Government Performanceand Results Act and Acquisition Reforminherent in every aspect of the operation.The primary skills needed by leaders toestablish direction are creating a visionand articulating that vision to the extentthat the organizational leadership is ableto develop strategies to realize the vision(Kotter, 1990). This vision is a clear pic-ture of a future state that looks at the or-ganization as a whole, integrated system,not a group of individual parts or verticalstovepipes. Setting and communicating aclear picture of the future focuses on out-comes that are consistent with the require-ments of present and future customers.Progress toward the vision is measuredperiodically with performance results.

Leading in this manner promotes innova-tion by everyone and models integritythrough open communication consistentwith behavior, the cornerstone of a high-performance, agile organization.

ALIGNING PEOPLE, SYSTEMS,AND RESOURCES

Aligning people with vision and strat-egies is easier said than done. It requiresextensive communication in a variety offormats (e.g., verbal, written, electronic,personal). It also requires “buy-in” fromeveryone for the vision and commitmentto its achievement and success. This im-plies two-way communication. Listeningis most impor-tant in creatingan environmentin which all areenabled to em-power them-selves. Askingpertinent andthought-provoking questions about thesystem is as important as providing solu-tions. Communication is not just verbaland written, it includes modeling core val-ues of the organization such as teaming,trust, empowerment, and excellence.Communication builds trust within andamong all people by actions that matchwords, thus instilling integrity in the sys-tem.

While Kotter focuses primarily onaligning people, research also indicatesthat systems and resources must be alignedwith the vision and the strategies as a pre-cursor for involvement and commitment.For example, if reward and recognition

“Establishing direc-tion implies a clearvision for the futureand strategies toget to the vision. ”

397


systems do not support the vision, values,and strategies, it is difficult to inspire andmotivate people to continually improveand change.

MOTIVATING AND INSPIRING FOLLOWERS

Motivating and inspiring others is nec-essary to keep the change journey on trackand progressing. Kotter states (1990, p.61):

...direction setting identifies anappropriate path for movement,effective alignment gets peoplemoving down that path, and asuccessful motivational effort as-sures that those people will havethe energy to overcome obstaclesin their way.

The change journey has barriers, ob-stacles, challenges, and hurdles that con-tinually surface. Being able to stay focusedon the vision and strategies when thesebarriers surface is like changing a tire

while the car iszooming downthe interstate at60 mph. Inspir-ing and moti-vating others in-volves accept-ing people for

their unique contributions, supporting in-novation and risk taking, and being con-stantly self-motivated. It is inherent thatthe diversity of the workforce in terms ofrace, gender, learning style, personalitytype, functional specialty, service, grade,and rank, influences the efficacy and pro-

ductivity of integrated product teams.However, for the impact to be positive,the leader must motivate and inspire allteam members, not just a few.

MANAGING CHANGE

Managers must lead to the visionthrough unprecedented challenges andchange; therefore, the effective leadermust manage the change as a never-end-ing process, not as a specific event or ac-tivity. While it behooves leaders to focuson the present change, it is more impor-tant that leaders understand and work withothers on the process of continual change.The capacity to manage change is bestsummarized by Kotter (1996a) and in-cludes: establishing a sense of urgency,creating the guiding coalition, developinga vision and strategy, communicating thechange vision, empowering broad-basedaction, generating short-term wins, con-solidating gains, and producing morechange and anchoring new approaches inthe culture (see Appendix B for furtherbreakdown).

While some of the skills, competencies,and behaviors needed to lead a focusedchange process are the same general skills,competencies, and behaviors needed byleaders in a more stable environment (forexample, establishing direction), Kotter’smanaging change category is purposefullypresented intact because of the thorough-ness and acceptability of the model. Ad-ditionally, this model is compatible withthe classic three-step procedure of changemodel (unfreezing, movement, and re-freezing) presented by Kurt Lewin (1951).Kotter’s (1996b, p. 59) research docu-ments that not doing any one of the ac-

“Motivating andinspiring others isnecessary to keepthe change journeyon track and pro-gressing.”

398


tions results in a change effort that is notas successful as expected: “...the changeprocess goes through a series of phasesthat, in total, usually require a consider-able length of time. Skipping steps cre-ates only the illusion of speed and neverproduces a satisfying result.”

ASSESSMENT USING A CAPACITY MATRIX

Identifying the competencies, the skills,and the behaviors to lead organizationalchange is the first step in the learning pro-cess. The individual’s capacity in each ofthe five leadership dimensions areas mustthen be assessed to determine present ca-pacity. Goals and a plan to reach the goalsmust then be developed. To get results andbuild capacity, the plan must be imple-mented and assessed. This article usesDavid Langford’s “capacity matrix” as thetool (Appendix C) to assess personal ca-pacity to lead change in a volatile world(1995). The competencies, behaviors, andskills from the five leadership dimensionsare loaded into the tool.

According to Langford, the capacitymatrix gives responsibility for both evalu-ation and learning to the individual. In thematrix the horizontal axis depicts theskills, competencies, and behaviors iden-tified as the five dimensions of leadership.The vertical axis shows the learning lev-els broken down by a variation of Bloom’sLearning Taxonomy, developed byLangford and Myron Tribus (Langford,1995). These categories are knowledge,know-how, and wisdom.

As described by Langford (1995),knowledge includes obtaining informationand the ability to recall it, especially atthe appropriate time (for example, re-

sponding to test questions about a topic).Knowledge can be demonstrated by: nam-ing, listing, defining, and answering: who,what, where, when, how many, and howmuch?

Know-how is the ability to understandor comprehend and apply knowledge andto analyze information. Comprehensioncan be demonstrated by: giving examples;telling what probably will happen; tellingwhat caused an incident; comparing; con-trasting; presenting an idea in your ownwords; and using terminology associatedwith the concept in a meaningful way.

Application is the ability to use ideas,concepts, methods, and principles in newsituations. The process of applying a skillor competence is demonstrated by solv-ing challenges,genera l i z ingfrom one situa-tion to another,and probing foranswers.

Analysis ismethodicallyexamining ideasand conceptsand separating them into parts or basicprinciples. Analysis requires knowledge,comprehension, and application. In theLangford/Tribus model, the wisdom cat-egory includes judgment (discerning),synthesis (creating), and appreciation orevaluation. Judgment includes comparing,assessing, reflecting, observing, thinking,correlating, and focusing.

Synthesis is the ability to put togetherparts and elements into a unified whole,which requires original and creative think-ing. It includes constructing a model, cre-ating a plan, or arranging pieces togetherthat probably were not previously joined.

“Identifying thecompetencies, theskills, and the be-haviors to leadorganizationalchange is the firststep in the learningprocess.”

399


Appreciation is the ability to acknowl-edge or judge the value of ideas, proce-dures, and methods using appropriate cri-teria, such as usefulness or effectiveness.It is the ability to predict, measure, andselect. It also includes substantiating withfacts, theories, and observations.

The capacity matrix, using these levelsof learning, is a living document that isregularly updated by the learner. Shading,color-coding or other indicators are usedto assess personal capacity in a particularskill, competency, or behavior.

DOCUMENTATION USING A PORTFOLIO

Self assessment of one’s individual ca-pacity to lead change using the capacitymatrix is a start. But as W. EdwardsDeming (1993) frequently asked, “How

do you knowyour assess-ment is accu-rate?” Personallearning impliesactually learn-ing how to learnand continually

improving that process. Learning happensin a variety of ways. It can be through ex-perience, modeling, and inputs such as lec-tures, videos, and texts (Langford, 1995,a-11). Part of the personal change processis understanding the effectiveness of thedifferent ways one personally learns.

One’s measure of personal learning isa portfolio documenting, defending, anddescribing present capacity. This portfo-lio can be a handwritten notebook withtabs for each of the skills, behaviors, andcompetencies, or it can be electronic withhyperlink text and multimedia portions.

Documentation includes storyboards fromprojects, feedback from others, reports,videos of presentations, or personal docu-mentation of the learning process (for ex-ample, a learning journal that substanti-ates the assessment level on the capacitymatrix). The capacity portfolio documentswhat you presently know with examplesand answers the questions “How do I knowI know, and at what level or competency?”

The portfolio also reflects documenta-tion of what others think about your ca-pacity level as well as what you think. Onestrategy for determining what others thinkis customer feedback. Mechanisms forreceiving feedback include climate sur-veys of the organization such as theCampbell Organizational Survey, feed-back from work processes, letters, certifi-cates, and Multirater Assessment (360°Feedback). The importance of a “realitycheck” by soliciting data from a varietyof sources cannot be overemphasized.

INTENTIONAL LEARNING

Having completed an assessment ofyour capacity as a leader of change, docu-mented and described your skills, knowl-edge, and activities in a portfolio, how doyou continue intentional, self-directedlearning? A model developed by Wick andLeon (1993) and used extensively by in-dustry, is called SMART learning (select,map, act, review, and target). A modifica-tion of this model includes the followingsteps:

Step 1 is to select a goal based onpresent and future importance to the or-ganization. Identifying one goal at the timeand working on that particular goal forapproximately 4 months is the recom-

“The importance of a“reality check” bysoliciting data froma variety of sourcescannot be overem-phasized.”

400


mended strategy. Selection of a goal isbased on both the gaps in the capacitymatrix and personal analysis.

Step 2 is to map out achievement of thegoal with a detailed learning map. Con-centrate on the purpose and the results si-multaneously. Incorporate planning andmanagement tools to quantify as much ofthe plan as possible. A suggested formatfor the map includes:

• a learning goal;

• action steps with milestone chart (bespecific and detailed);

• resources needed (this could be a ma-trix of people, materials, and re-sources);

• barriers anticipated (force field analy-sis);

• measurement of result (from capacitymatrix levels);

• future organization benefits;

• future personal benefits; and

• a planned completion date.

Step 3 is to act on the plan. Determineprogress on a monthly basis. Analyze boththe content and the process of the learn-ing. Make mid-course corrections in theplan. Recommendations to help stay ontrack include using learning partners/men-tors, visual reminders adaptable to particu-lar calendars or daytimers and learningjournals for reflection, lessons learned,idea development, and linking new infor-mation with present knowledge.

Step 4 is to review and evaluate learn-ing and the learning process. Continuallyreflecting on the learning process is im-portant to make connections with otherlearning and totransfer the newlearning to on-the-job practice.Reflecting andq u e s t i o n i n gtacit assump-tions helps de-fine and clarify one’s belief system. Us-ing the new learning is imperative; thusfinding practice opportunities is a constantneed.

Step 5 is to target the next learning goal.This implies going back to the learningpurpose and the capacity matrix. Thisphase in the learning triggers a new learn-ing cycle and repeating the assessment,documentation, planning, and learning se-quence. This cycle for building personalcapacity increases leadership skills andpromotes higher levels of learning. It mod-els leaderly learning.

SUMMARY

The bottom line in assessing personalleadership effectiveness is improving per-sonal capacity to lead in the complex,changing world of permanent white wa-ter, regardless of the present acquisitionreform initiative. This implies improvingyour skills, competencies, and behaviorsthrough intentional, self-directed, personallearning, and it includes having the skillsto establish direction for a work group,team, or organization. This leadership skillalso assumes having the capacity to alignpeople, systems, and resources toward a

“Reflecting andquestioning tacitassumptions helpsdefine and clarifyone’s belief sys-tem.”

401


common vision; motivate and inspire allmembers; and successfully managechange. The assessment, documentation,and planning for learning are simply ac-tivities if the results do not improve lead-ership and contribute to acquisition sys-tems that meet the requirements of thewarfighters.

Commitment to improve one’s personalcapacity to lead is generally based on in-trinsic motivation. It is, however, the pri-mary role of the leader of change. It isimpossible for leaders to build a team oran organization into something differentfrom themselves (Clemmer, 1995). Forleaders to expect the organization tochange, they must understand the changeprocess and how people react to change.For leaders to expect the organization toimprove, they must improve themselvesusing a disciplined approach. For leadersto expect everyone to contribute to thevision and mission, they must personally

contribute to the vision and mission. Foran organization to move toward its vision,all systems must be aligned and individu-als must be intrinsically motivated andinspired.

The greatest loss in any organization isthe inability to tap the full measure of hu-man potential. The leadership role intoday’s organizations places great empha-sis on transforming the enterprise throughothers. Leaders need to engage 100 per-cent of their members in producing out-comes required by customers. In the ac-quisition community this means weaponsystems for warfighters that meet cost,schedule, and performance requirementsin a downsized, budget-constrained envi-ronment. To meet this challenge, leadersmust model self-directed, intentional, real-time learning. They then will eliminate theshadow between thinking and doing inpersonally mastering leaderly learning.

The statements of fact or opinion appearing in this document are solelyattributable to the authors and are not necessarily endorsed by the Departmentof Defense or the Defense Acquisition University.

402


REFERENCES

Kotter, J. (1990). A force for change. NewYork: The Free Press.

Langford, D. (1994). Quality Learning: AManual for Seminars (Version 3.0).Billings, MT: Langford International.

Lewin, K. (1951). Field theory in socialsciences. New York: Harper & Broth-ers.

Senge, P. (1990). The fifth discipline: Theart and practice of the learning orga-nization. New York: Doubleday.

Vaill, P. (1989). Managing as a perform-ing art. San Francisco: Jossey-Bass.

Vaill, P. (1996a). Learning as a way ofbeing. San Francisco: Jossey-Bass.

Vaill, P. (1996b). Leadership is notlearned: It is learning. In Proceedingsfrom the 1996 NLI Conference: Lead-ers of Change.

Wick, C. W., & Leon, L. S. (1993). Thelearning edge. New York: McGraw-Hill, Inc.

Clemmer, J. (1995). Pathways to perfor-mance. Rocklin, CA: PRIMA Publish-ing.

Deming, W.E. (1993). The new econom-ics. Cambridge, MA: MassachusettsInstitute of Technology.

Dixon, N. M. (1996). Perspectives on dia-logue. Greensboro, NC: Center for Cre-ative Leadership.

Farkas, C.M., & Wetlaufer, S. (1996, May-June). The ways chief executive offic-ers lead. Harvard Business Review,110–122.

Hall, M. (1996). Prceedings: The 1996NTL Conference: Leaders and Change.“Increasing Leadership Capacity toTransform Organizations” CollegePark, MD. The University of Mary-land.

Kotter, J. (1996a). Leading change. Bos-ton: Harvard Business School Press.

Kotter, J. (1996b, September). Leadingchange: Why transformation effortsfail. Harvard Business Review, 59–67.

403


APPENDIX A

KOTTER’S COMPARISON OF MANAGEMENT AND LEADERSHIP

Creating anagenda

Planning and budgeting:Establishing detailed steps andtimetables for achievingneeded results, and thenallocating the resourcesnecessary to make that happen.

Organizing and staffing:Establishing some structure foraccomplishing planrequirements staffing thatstructure with individuals,delegating responsibility andauthority for carrying out theplan, providing policies andprocedures to help guidepeople and creating methods orsystems to monitorimplementation.

Controlling and problemsolving: Monitoring resultsversus plan in some detail,identifying deviations, and thenplanning and organizing tosolve these problems.

Produces a degree ofpredictability and order, andhas the potential to consistentlyproduce key results expectedby various stakeholders (e.g.,for customers, always being ontime; for stockholders, beingon budget).

Establishing direction:Developing a vision of thefuture, often the distant future,and devising strategies forproducing the changes neededto achieve that vision.

Aligning people:Communicating the directionby words and deeds to allthose whose cooperation maybe needed so as to influencethe creation of teams andcoalitions that understand thevision and strategies, andaccept their validity.

Motivating and inspiring:Energizing people toovercome major political,bureaucratic, and resourcebarriers to change bysatisfying very basic, but oftenunfulfilled, human needs.

Produces change, often to adramatic degree, and has thepotential to produce extremelyuseful change (e.g., newproducts that customers want,new approaches to laborrelations that help make a firmmore competitive).

Developing ahumannetwork forachieving theagenda

Execution

Source: Taken from Kotter, J. P. (1990). A Force for Change. New York: The Free Press.

Management Leadership

Outcomes

404


APPENDIX B

THE EIGHT-STAGE PROCESS OF CREATING MAJOR CHANGE

1. Establishing a sense of urgency:• Examining the market and competitive realities.• Identifying and discussing crises, potential crises, or major opportunities.

2. Creating the guiding coalition:• Putting together a group with enough power to lead the change.• Getting the group to work together like a team.

3. Developing a vision and strategy:• Creating a vision to help direct the change effort.• Developing strategies for achieving that vision.

4. Communicating the change vision:• Using every vehicle possible to constantly communicate the new vision and strategies.• Having the guiding coalition role model the behavior expected of employees.

5. Empowering broad-based action:• Getting rid of obstacles.• Changing systems or structures that undermine the change vision.• Encouraging risk taking and nontraditional ideas, activities, and actions.

6. Generating short-term wins:• Planning for visible improvements in performance, or “wins.”• Creating those wins.• Visibly recognizing and rewarding people who made the wins possible.

7. Consolidating gains and producing more change:• Using increased credibility to change all systems, structures, and policies that don’t

fit together and don’t fit the transformation vision.• Hiring, promoting, and developing people who can implement the change vision.• Reinvigorating the process with new projects, themes, and change agents.

8. Anchoring new approaches in the culture:• Creating better performance through customer and productivity oriented behavior,

more and better leadership, and more effective management.• Articulating the connections between new behaviors and organizational success.• Developing means to ensure leadership development and succession.

Source: Taken from Kotter, J. P. (1995, March–April). Harvard Business Review.

405


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410

ESI Horizons

By Dr. David I. Cleland

Motivating Yourself and the Project TeamMotivation is a system of

forces and relationshipsoriginating within and outside ofthe individual that influencebehavior, and can bring about thebest performance of an individual.As one of the key functions ofmanagement, motivation shouldbe a concern of any projectmanager. An individual teammember needs to be concernedabout how well he or she isindividually motivated to performindividual and collective roles insupporting the project needs.Successful project managers mustbe concerned with how well theproject stakeholders are motivated,as diverse stakeholders caninfluence the outcome of theproject’s use of resources.

If you delve deeply into anyorganizational problem or oppor-tunity, there is a high probabilitythat you will eventually come to“people” issues. In the manage-ment of a project, the matter ofmotivation takes on specialsignificance since the projectmanager, and the project team hasto deal with many diverse stake-holders, over whom they will havelimited or no traditional authority.In these circumstances, the inter-personal skills of the members ofthe project team take on specialimportance. In the material thatfollows, some insight will be givento a few ideas that have had amajor impact on how motivation isviewed today.

Motivation causes people tobehave in certain ways. Motivationflows from a “need” that the teammembers have, something thatthey want from their work on theproject. A.H. Maslow put forth thenotion of a priority of five levels ofneeds that people have in their

work environment. (A.H. Maslow,“A Theory of Human Motivation,”Psychological Review, vol. 50, 1943,pp. 370-396.) These needs are:

First LevelBasic Physiological NeedsSecond LevelSafety, SecurityThird LevelBelonging, Social ActivityFourth LevelEsteem, StatusFifth LevelSelf-realization, Fulfillment

In this hierarchy, the needs ofphysiological well-being and thesatisfaction of safety and securityare called the primary needs ofpeople. The third, fourth and fifthlevels are called the secondaryneeds.

A brief explanation of theseneeds:Physiological needs are at thebasic level of the hierarchy.Satisfaction of these needs, such asfood, water and sufficient shelter,is essential to living. Safety andsecurity needs include protectionfrom the elements and harmfulenvironments, from threats toone’s life and well-being andfreedom from arbitrary andcapricious management actions.Belonging and social activitymeans that most people cannot liveby bread alone. There is a needfor satisfaction of social belonging,affection, membership or affiliation.Accepted and full membership in afamily unit is important. Member-ship and being accepted on aproject team are important as well.Esteem and status needs motivatepeople to not only seek affiliationbut to become active in influenc-ing the culture in the organizationin which they belong. They enjoy

belonging to a group because ofthe acceptance they feel, and thesatisfaction they gain by contribut-ing to that group. Self-realizationand fulfillment needs, at the topof the hierarchy of needs, explainan individual’s drive for achieve-ment, creativity and self-realization.It means that individuals havebecome what they want to be, andin part, explains why people thathave had much wealth and manyhonors continue to work hard attheir profession.

Maslow ranks as a premierinnovator in developing andputting forth his seminal theory ofthe Hierarchy of Needs. He wasfollowed by another key innovatorin the field of human behavior,Douglas McGregor, who postulatedthe concepts of Theory X andTheory Y in his explanation ofwhy people behave the way theydo. He proposed that managerstend to hold a Theory X or TheoryY set of assumptions aboutemployees. (Douglas McGregor,The Human Side of Enterprise,McGraw-Hill Book Company, Inc.,NY, NY, 1960.)

Theory X takes a pessimisticview of human nature at work:◆ The average human being has

an inherent dislike of workand will avoid it if he or shecan—people are lazy.

◆ Because of this human charac-teristic of dislike of work, mostpeople must be coerced,controlled, directed andthreatened with punishment toget them to put forth adequateeffort toward the achievementof organizational objectives—motivation is accomplishedthrough fear of punishment.

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◆ The average human beingprefers to be directed, wishesto avoid responsibility, hasrelatively little ambition, wantssecurity above all—people areno good.

On the other hand, Theory Ysees human nature, in the place ofwork, in a more positive light. Itassumes:◆ The expenditure of physical

and mental effort in work is asnatural as play—work is anatural activity.

◆ External control and the threatof punishment are not theonly means for bringing abouteffort toward organizationalobjectives. People will exerciseself-direction and self-controlin the service of their objec-tives to which they are com-mitted—people can managethemselves.

◆ Commitment to objectives is afunction of the rewardsassociated with their achieve-ment—motivate throughpositive rewards.

◆ The average human beinglearns, under proper conditions,not only to accept butalso to seek responsibility—people are basically responsible.

◆ The capacity to exercise arelatively high degree ofimagination, ingenuity andcreativity in the solution oforganizational problems iswidely, not narrowly, distrib-uted in the population—everyone has the capacity tobe creative and innovative.

◆ Under the conditions ofmodern industrial life, theintellectual potentials of theaverage human being are onlypartially utilized—challengeyour people.

Dr. David I. Cleland is currently theErnest E. Roth Professor andProfessor of Engineering Manage-ment in the School of Engineeringat the University of Pittsburgh. Heis the author/editor of 30 books inthe fields of project, engineeringand manufacturing management.Dr. Cleland has extensive experi-ence in national and internationalproject management.

Implications of Theory Xand Theory Y:◆ People respond as they are

treated.◆ Managers are responsible for

the behavior of their people.◆◆◆◆◆ Participation and cooperation

are critical.◆ Managers must be sensitive to

the needs of people.◆ Work can be a source of

personal satisfaction.◆ The state of human relations

depends on quality of theleadership, and the manage-ment philosophies that areused.

◆ The importance of interper-sonal skills to managementcannot be underestimated.

Key ConsiderationsRegarding MotivationPeople are motivated for manyreasons in their place of work.Insight into the basic ideas putforth by Maslow and McGregorcan help the individual develop aphilosophy of how to deal withpeople in helping them to developa greater sense of motivation. Afew key points to remember:◆ Be aware and understand the

basic factors that can influencethe behavior of people as setforth by Maslow andMcGregor.

◆ The assumptions about thebehavior of people hold truefor all of the stakeholders—treat them accordingly.

◆ Most of us are as logical in ourwork as our emotions andattitudes allow us to be.

◆ Most of us have a need for“belonging.” A project teamthat is properly led can domuch for satisfying our needfor belonging.

◆ A basic understanding of thecharacteristics and forces thatserve to motivate people isessential to the successfulleadership of a project team.

◆ A project leader, working withthe project team members,should give continuingattention to creating anenvironment for the teamwhereby people find satisfac-tion of their needs.

◆ Treating all project stakehold-ers with respect and dignitywill help to motivate them.Remember the “Golden Rule”and treat others as you wantto be treated.

In summary, this article is a verybrief explanation of some of thebasic factors that motivate peopleto do their best work on a project.

It was recognized that humanmotivation is a large field of studyin the area of human behavior.Also, this article presents a fewpractical ideas and techniques tohelp the individual gain anenhanced understanding of themotivational environment foundon a project team.

Reprinted from the October 1999 issue ofESI Horizons, used with permission.© ESI, International, 4301 Fairfax Drive,Arlington, VA 22203.

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Bringing You the Latest Trends in Project Management and Business Analysis

ESIHorizonsNewsletter

December 2005 Volume #6 • Issue #12

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Essentials for Building a High-Performance Team

Teams represent one of the most powerful mechanismsfor achieving significant results in organizations today.

Much has been learned about the development and implementation of teams over the past few years. We have seen what works, what doesn’t and the best approach for developing and nurturing teams. A new class of teams is evolving that has the potential to replace traditional hierarchical organization structures with a flat, self-directed, cross-functional, process-oriented structure. These new, special teams, called high-performance teams, have the ability to easily adapt in a rapidly changing environment. They are an essential element for highly successful organizations.

Meeting organization goals is the top priority for leaders. These goals include increasing business efficiency, creating competitive advantage, improving internal customer satisfaction, controlling costs and leveraging intellectual assets. The first question asked is, “How can this be accomplished?” Many organizations have struggled for an answer and few have found one that works.

For those organizations that have been successful, it starts from the bottom up, developing a strong team to develop and implement a solution that will meet the organizations goals. These unique, highly productive teams are essential for meeting critical organization goals.

The benefits and value produced by these teams are abundant, which is why they are often viewed as essential business strategy tools. High-performance teams produce the following benefits:

Increased productivity

Improved customer service

Ability to do more with less

Increased innovation

Ability to quickly adapt to change

Ability to solve difficult, critical problems

Therefore, building high-performance teams is a top priority for many leaders.

Team Essentials—The Ingredients

So where do we begin? Like a great chef making the perfect souffle, we must follow a recipe that will deliver the best possible outcome. This recipe includes the ingredients, preparation and the process itself. If you forget an ingredient, add too much, eliminate preparation steps or change the process you will not end up with the results you are expecting. For leaders, this translates into ineffective teams that cannot meet critical business goals.

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By Dennis Sommer, PMP


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December 2005ESIHorizons

Trust

Trust your team. Your trust in them, theirs in you and the trust between the team members are the core ingredients holding everything together. You develop trust by setting guidelines for team behavior and decision making, in which the team members have certain freedoms to make decisions, take risks and speak their minds. They will also have certain obligations to always speak the truth, work with other teams, be accountable for decisions and actions, and learn from their mistakes.

Leaders who have rules and policies for everything create an environment of bureaucracy and stifle team performance. The environment is orderly and structured, but leaves little room for team members to use their own judgment, take ownership or be motivated to complete tasks quickly. On the other hand, leaders who have no guidelines for the team run the risk of leading a team in chaos. Neither of these strategies work.

Implementing guidelines where people are trusted promotes an environment where team members will give their best, produce more and with improved quality.

Vision

High-performance teams share and support a vision of what the team will accomplish. Team members are highly focused on meeting their goals and objectives. Leaders work with the team to develop a vision that brings real meaning to the work that is being performed. The vision defines the future state and is clear, defined and concrete. The team needs a winning, inspirational vision that will motivate them to go above and beyond when the effort is required. Great vision statements might read “Triple the productivity of every manufacturing plant” or “Increase customer satisfaction to 100%.”

Optimism

The next key ingredient is optimism. High-performance team members have dreams for achievement. These dreams are fueled by the leaders optimism. It is true that team members will flourish when they have hope and they will give up when they don’t. High-performing team members thrive on accomplishment and the recognition they receive

when working through difficult problems and persevering. This perseverance requires optimism.

The responsibility of a leader in an optimistic environment is to be both realistic and optimistic at the same time—not an easy feat. Realism is important because it acknowledges the facts of the situation no matter how unpleasant they are. An optimistic environment dictates that given the facts of the situation, the team will continue to work toward their goals. When teams lose optimism, it is the responsibility of the leader to coach the team to get them back on track. Together the team acknowledges the situation and begins to generate ideas for solving the current problem.

Enjoyment

A leader must create an enjoyable work environment. Team members perform at their peak when they enjoy what they do and those with whom they do it. Enjoyment doesn’t mean you play cards all day long. Real enjoyment comes when the leader and team are deeply involved in working out a critical problem and they persevere together as a complete unit.

The leader sets the tone for the team. Setting the tone for an enjoyable work environment is accomplished by showing that you, yourself, enjoy your job, that you like the people you work with and that you appreciate their hard work. Thank team members for working through the weekend. Let them take a long lunch if they worked 12 hours the previous day. Praise them for new ideas. Never blame team members for mistakes—laugh and learn from them. Keep the team focused on winning instead of failing.

Empowerment

High-performance team members are self-directed. When empowered to accomplish a goal, these team members take ownership of their responsibilities and are committed to succeed. Leaders of high performance teams work to focus the team on what needs to be achieved. This “what” is defined as the vision, goals, objectives and milestones for the team. “How” work is to be accomplished must remain the sole responsibility of the team. When leaders start telling teams how the work is to be done, the team becomes unmotivated and performance drops dramatically.


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December 2005ESIHorizons

About ESIHorizons . . .ESI Horizons is a free, monthly newsletter focusing on issues, processes and challenges in project management and business analysis. As a subscriber, you have access to the knowledge, experience and insight of ESI associates and industry experts from around the world.

To inquire about contributing articles to ESI Horizons, contact the Horizons editor at [email protected].

Opportunity

The final ingredient for a high-performance team is developing an environment where team members can grow. Top performers need to learn new skills and be permitted to develop and implement new ideas to work at their peak. Creating an environment where team members can experience different roles, cross train, work with diverse teams and learn new specialties will develop team members who are more self-assured, who listen and who are more open to new ideas. This strategy of continuous learning will keep the team energized and motivated to perform at the highest levels.

A Final Word

As a leader, you have the power to influence the people and performance of the team. If you truly believe in creating an environment where trust, vision, optimism, enjoyment, empowerment and opportunity are encouraged, then you will build a solid, sustainable and high-performing team.

Dennis Sommer is an authority on leadership and management performance improvement, as well as the President of BTRC, a performance improvement company. He is a leading advisor, author and speaker providing managers and executives with practical strategies that improve personal and organization performance. With nearly twenty years of leadership experience, he has consulted on over 200 critical business and technology initiatives for Fortune 500 companies and held numerous management and executive level positions with Accenture, Jo-Ann Stores and Computer Associates.


PMC:DBQ:EN:000 ver. 3.0

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Bringing You the Latest Trends in Project Management and Business Analysis

ESIHorizonsNewsletter

February 2002 Volume #3 • Issue #2

1

Leading Change: A Model by John Kotter

Change is a matter of central concern to project managers.In their book, Project Manager’s Portable Handbook, David I.

Cleland and Lewis R. Ireland state, “Projects are the principal means by which the organization deals with change.” While projects may be the mechanism for change, the actual how-to steps of implementing change are often a frustrating, unsolved mystery.

John Kotter, the Konosuke Matsushita Professor of Leadership at the Harvard Business School, has developed a model for leading change that offers a valuable tool to project management professionals. His model is a result of many years of experience in consulting with hundreds of organizations. He observed the myriad difficulties associated with change efforts, distilled the common themes and turned them around into a prescriptive framework.

Change in History

In 513 B.C., Heraclitus of Greece observed “There is nothing permanent except change.” And in the 16th century, Niccolo Machiavelli stated in his political treatise, The Prince, “There is nothing more difficult to take in hand, more perilous to conduct, or more uncertain in its success, than to take the lead in the introduction of a new order of things.”

The challenge today is that change is not an “engineering” problem. Change involves people, and can call up emotions, uncertainties and inconsistencies. Therefore, simply managing change is insufficient. Successful change requires leadership. The old saying, “You can lead a horse to water, but you can’t make it drink” provides good advice, though slightly off the mark. It might be better stated, “You can manage a horse to water, but you must lead it to drink.”

Getting the horse to the water is a control issue that can be managed. Getting the horse to drink is a behavior issue that demands leadership.

The Steps to Change

When dealing with people and change, American social psychologist Kurt Lewin observed during the 1940s that a successful change includes three progressive steps:

1) Unfreezing the present level of performance

2) Moving to a new level

3) Freezing group life at the new level

Lewin also stated, “To break open the shell of complacency and selfrighteousness it is sometimes necessary to bring about deliberately an emotional stir-up.” Kotter’s model suggests a similar three-part framework:

1) Defrost the status quo

2) Take actions that bring about change

3) Anchor the changes in the corporate culture

Establish a Sense of Urgency

The first element, “defrost the status quo,” comprises four essential steps. First, leaders must establish a sense of urgency. People must have a reason, and a really good one at that, for doing something different. Leaders should examine market or competitive realities and identify an urgent need in terms of a crisis, potential crisis or great opportunity.

By Kenneth H. Rose, PMP


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February 2002ESIHorizons

This is not a sky-is-falling scare tactic. It is a necessary step to jolt people out of complacency—to make them believe that the current situation is more dangerous than leaping into the unknown. This is a critical first step. In Kotter’s experience, 50 percent of change efforts failed right here. His studies further suggest that about 75 percent of the work force must accept the urgency if the overall effort is to succeed.

Elicit Executive and Peer Sponsorship

The second step is to form a guiding coalition. Change cannot be directed through the existing hierarchy. It must be nurtured and supported by a dedicated group of influential leaders throughout the organization. The group may be small or large. It will probably not include the complete corporate leadership because of some reluctance to buy it. But it must be influential in order to lead the change.

Without sufficient influence and power, the group will lead only apparent change. Over time, opposition forces will gain strength and snuff out the effort.

Create a Vision for Change

Third, leaders must create a vision. Once people accept the urgency, they want to know where they are going—they want a clear direction to a better future. Without a vision, the change effort can dissolve into a series of incompatible projects that start to look like change for change’s sake.

Failed change efforts are often littered with plans and directives, but no codifying vision. The vision must be clear and concise. It’s not much good if it makes great copy, but nobody can understand it. Kotter suggests that leaders should be able to communicate the vision in five minutes and elicit understanding and interest. If not, they should rework the vision.

Communicate Vision to Implement Change

The fourth step, alluded to above, is to communicate the vision. The best vision in the world has no value if it’s a big secret. Communication is more than a corporate announcement or a notice posted on the bulletin board. Leaders must communicate the vision through their actions.

All the typical communication media play a part. But leaders must make opportunities to communicate the vision in day-to-day activities. For example, when presenting an award, a leader should take a moment to explain how the employee’s performance fits into the vision and how the performance is a contribution to something much larger than the act being rewarded. More important, the day-to-day actions of leaders must reflect the vision. Nothing will kill a change effort quicker than leaders saying one thing and doing another.

Kotter cautions that a results-oriented leader may want to skip one or more of these first four steps in order to get right to the action. Doing so imperils, perhaps even condemns, the change effort. Without the solid foundation established by all of these steps, any change action is unlikely to take hold and survive for the long term.

Empower Employees to Implement Change

The second element of the model includes three steps. This is the action element, and the first step is to empower others to act on the vision. Leaders must clear the way for employees to develop new ideas and approaches without being stymied by the old ways.

The guiding coalition must remove obstacles that may be entrenched in organization processes, or exist only in the minds of employees. Both can be showstoppers. Kotter warns that worst of all can be the bosses who will not change and who make demands contrary to the vision. Such people should be given the opportunity to get on board and embrace the vision. Those who will not…well, a corporate turn-around expert once observed, “Sometimes you gotta change the people, or you gotta change the people.”

Establish Short-Term Goals

The second action step is to plan for and create short-term wins. People will not follow a vision forever. Employees must see results within 12 to 24 months or they will give up or perhaps even join the naysayers. Short-term wins validate the effort and maintain the level of urgency. Leaders may have to look for things that disclose unambiguous benefits of the change effort. Rewarding people responsible for the benefits is essential.


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February 2002ESIHorizons

About ESIHorizons . . .ESI Horizons is a free, monthly newsletter focusing on issues, processes and challenges in project management and business analysis. As a subscriber, you have access to the knowledge, experience and insight of ESI associates and industry experts from around the world.

To inquire about contributing articles to ESI Horizons, contact the Horizons editor at [email protected].

Encourage Additional Changes

The third step arises from the second: consolidate improvements and produce still more change. Short-term wins can be seductive. It can be easy to declare the battle won based on early benefits. Doing so can be fatal. Premature victory celebrations can quash momentum and allow the forces of tradition to regain their hold.

Short-term wins must be stepping stones to greater opportunities and bigger wins, all consistent with the vision driving the overall effort.

Kotter adds another word of caution that action alone is not enough. Any change, even that undertaken with great effort over an extended time, will wither unless it is reinforced within the organization. Leaders must not stop here; they must follow through with the next element.

Reinforce Changes Made as Permanent

The third element is a single step. Having made effective changes, leaders must now make the changes permanent. The forces of recidivism are still alive and well. Leaders must connect new behavior with corporate success, showing that the new ways are here to stay.

Just as important, new leaders in the organization must espouse the new approaches. All that was accomplished can be undone by a change in leadership that bends back to the old ways.

Heraclitus, Machiavelli and many others all had it right. Change is omnipresent, uncertain and difficult. But it is not impossible. Kotter’s model for leading change provides a framework that may be applied in any organization at any level. It is a powerful tool for project managers who must lead their organizations into a better future.

Kenneth H. Rose, an instructor with ESI International, has more than 20 years of experience in high-technology development and project management and has worked with organizations to improve performance through project management applications. Rose holds an M.A. in management from Ball State University and a B.F.A. in music theory and composition from the University of Wisconsin in Milwaukee.

References:

Kotter, John P. Leading Change. Boston, MA: Harvard Business School Press, 1996.

Kotter, John. P. “Leading Change: Why Transformation Efforts Fail.” Boston, MA: Harvard Business Review. March–April, 1995.


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