Chapter 9 Situational Leadership: Training and Development Chapter Overview Integral to a manager's success is the ability to develop the task-relevant readiness of their followers. In fact, part of the measurement of any manager's effectiveness should be how well the manager has succeeded in assisting subordinates in reaching their potential. This chapter discusses how Situational Leadership can be used as a powerful developmental model. The model places emphasis on constructive discipline, a learning process that provides an opportunity for positive growth, rather than on inappropriate discipline, which punishes followers unfairly for not doing their job, even when they genuinely do not know the job. Chapter Learning Objectives After studying this chapter, each student should be able to: 1. Describe the effective and ineffective cycles 2. Diagram and explain the developmental cycle 3. Explain the process of determining performance readiness 4. Explain how to increase performance readiness 5. Describe the process of successive approximations 6. Explain the process of changing performance readiness 7. Discuss the process of individualizing reinforcement and the different reinforcement schedules Key Terms and Concepts Increasing Effectiveness Likert's studies indicate that managers who employ general as opposed to close supervision tend to have higher production in their work groups. This is not true in all cases, but seems to be a general tendency. According to Likert, subordinates seem to respond to genuine high expectations and confidence with attempts to justify those expectations with high performance. Managers naturally then tend to feel that their confidence was not misplaced and continue to believe that their subordinates are both capable of and willing to achieve high performance. In such a way, an effective cycle is created, with each repetition resulting in higher confidence by the managers and higher performance by subordinates. 61 The Ineffective Cycle Unfortunately, the same tendency can create an ineffective cycle. When managers concentrate on output variables (production), they often limit their concerns to short-run, task-oriented behavior. The managers tell subordinates what to do and when to do it without developing a sense of confidence in them. Subordinates respond to these low expectations with low performance, and managers then feel justified in their low expectations and lower them further, and so on. The ineffective cycle is exceedingly difficult to break. If the cycle has gone on for some time, a new manager from outside the organization or group may have to be hired if there is to be any hope of improving the situation. Even so, the new manager will be challenged to establish an effective cycle in place of the ineffective cycle. Developmental Cycle The developmental cycle is a tool that managers can use to increase the task-relevant readiness level of their personnel. It is a growth cycle through which managers can work toward making their people contributors. What Do We Want to Influence? The first question a manager should ask when considering the development of subordinates is, What area(s) of this person's job do I want to influence? Once these factors are identified (quantity and/or quality of production, absenteeism, job safety, etc.), the manager must define good performance in each. The definition should be in specific terms so both manager and subordinate are able to measure the subordinate's progress toward the goal. Assessing Readiness Before moving into the developmental cycle, the manager must determine how the person is currently performing in each aspect of the job. How able is the person, and how willing is that person to meet the defined level of good performance in each task? In short, how ready (in task-relevant terms) is the person now? The manager can determine readiness by asking the individual a series of questions (Do you know how to do this task? Do you like doing it? Do you want to do the job?) or by observing the individual at work, or both. If the manager determines that the individual is both unable and unwilling to undertake an aspect of the job, the person has a low readiness level for that task. The appropriate leadership style for that readiness is Telling or close supervision, e.g., a high task, low relationship style. If the person is willing but unable to do the task, the person has a low to moderate readiness level. The manager should engage in Selling - being both directive and supportive toward the person using a high task, high relationship style. 62 If the subordinate is able to do the task, but is unwilling, the manager's role is to be supportive and to help the person develop the confidence to do the task. This is Participating, a low task, high relationship style. Finally, if the person is both able and willing, the manager need not initiate the developmental cycle for that aspect of the job as the individual is already at a high level of readiness. The manager should simply engage in Delegating, a low task, low relationship behavior. Increasing Readiness After assessing the current readiness level of a subordinate in a particular job aspect and determining the appropriate leadership style to employ, the manager's job is to help that subordinate increase their readiness in that task. This requires that the manager take some risk as they reward increased readiness with decreased task specific behavior. Successive Approximations When the manager delegates some (but not too much) additional responsibility to an individual, the manager's next step is to reward as quickly as possible any behavior that moves in the desired direction. This practice should continue as the person's performance gets closer and closer to the defined level of good performance in the task. The two steps of the developmental cycle are: 1) reduce the amount of direction and supervision; and 2) respond to adequate performance with increased relationship behavior. This is called reinforcing successive approximations. It is very important that the manager neither delegates too much responsibility too soon nor increases relationship behavior before acceptable performance has occurred. The cycle must be a three-step process. Once a subordinate has developed to a moderate level of readiness, the second step in the cycle changes from providing increased relationship behavior to providing decreasing amounts of socioemotional support. At this level of readiness, people begin to need less socioemotional support and tend to view high relationship behavior as an indication of a lack of trust on the manager's part. What followers view as rewarding has shifted from high relationship behavior to autonomy and freedom to take ownership of the task. Time and the Developmental Cycle The developmental cycle is not a quick fix. In many cases, it may take a good situational manager eighteen to twenty-four months to move a group of subordinates from Level 1 to Level 2. Within that group, however, there may be one or more individuals who increase their ability to perform a certain task more quickly than others. This occurs because each member of the group will probably develop faster in some job aspects than in others. 63 Behavior Modification Behavior modification is a useful tool in almost all environments. Behavior modification focuses on observed behavior and uses goals or rewards to modify and shape behavior toward the desired performance. Behavior modification is based on observed behavior and not on internal unobserved emotions, attitudes, or feelings. Its foundation is that behavior is controlled by its immediate consequences. Individualizing Reinforcement It is of prime importance to remember that people are not all motivated by the same things. For something to act as a positive reinforcement for an individual, it must be something that person identifies as desirable. Additionally, for desirable behavior to be obtained, a reward must be given for appropriate behavior and it must be delivered immediately after the successful performance of the desired behavior (positive reinforcement of successive approximations). Schedules of Reinforcement When a new behavior is being engaged in, it is important to maintain that behavior and not to allow it to be extinguished over time. To maintain the new behavior, managers can schedule reinforcements. There are two main types of reinforcement schedules: continuous reinforcement and intermittent reinforcement. Continuous reinforcement means individuals are reinforced each time they engage in the desired new pattern. Intermittent reinforcement means that not every desired response is reinforced. In regards to Situational Leadership, a manager should provide reinforcement after every desired response when the individual is at a low level of performance readiness. This kind of reinforcement should continue until the manager's style is between Selling and Participating and the performance readiness of the person shifts toward a performance readiness level of R3. At that point in time, the manager can begin to reinforce intermittently, and once the manager moves appropriately further toward Delegating, the behavior begins to be self-reinforcing. Consistency of Reinforcement It is very important for managers to reinforce positive behavior and to not engage in behaviors that might be interpreted as rewarding when people are performing poorly. Be consistent. Good behavior should be rewarded, not bad behavior. 64 Suggested Teaching Approaches A supporting concept to the developmental cycle is behavior modification. There are many pros and cons to behavioral modification. You might plan a debate on the issue using the question, Is engaging in behavioral modification an ethical managerial behavior? Many companies are using behavioral modification to improve organizational performance. Current periodicals are rich sources of information for student research. What are some of the organizational problems that seem to be particularly well suited for behavior modification? What types of problems are not? In Chapter 8 we suggested that you present the Situational Leadership Model by using flip charts. The developmental cycle can also be presented very effectively using flip charts. Online Activities 1. Activity The online activity for Chapter 9 directs students to apply what they read regarding the developmental cycle by identifying a specific situation in which they can \"try out\" the development role. They are asked to identify the situation, the performance readiness level, and the leadership style that would be most effective in that situation. They are also asked to list behaviors (do's and don'ts) that they may practice during a conversation with the follower. They are then asked to answer a number of questions regarding considerations that they should keep in mind when taking advantage of development opportunities. 2. Case Study The written case study for this chapter focuses on the concept of developing an employee and their skills. Use the case study to help students explore their thought process around this concept. 3. Quiz You can request that students log onto the text's companion website and take the quiz designed to review Chapter 9. 4. Resources The additional online resources section contains links to websites that provide additional information regarding content and sources discussed in the chapter. 65 Exam Questions 1. The effective and ineffective cycles are similar in some ways, although they have opposite effects. What are the similarities? What are the effects of each? Share your personal experiences with either or both of these cycles. Answer: The similarities between the effective and ineffective cycles are that: Both are cycles of changing performance levels among people in a work group. Both are created by the behaviors and attitudes of the manager toward subordinates. The subordinates' resulting behavior and attitudes toward the manager and the job affects the manager's attitudes and behaviors toward the subordinates, and so on. The primary difference is that the effective cycle spirals in an upward direction, fueled by the manager's high expectations of and confidence in the willingness and ability of subordinates. In general, subordinates tend to respond with high performance, which reinforces the manager's confidence and positive attitude toward their abilities. On the other hand, the ineffective cycle spirals in a downward direction. The manager, often immersed in pursuing short-term gains in output (production) variables, exhibits a lack of confidence that subordinates are able or willing to complete tasks without close supervision. Subordinates tend to respond to the lack of confidence with poor performance, which reinforces the manager's lack of confidence in their willingness and ability to do their jobs. It's a self-fulfilling prophecy in that the followers become what we believe they will become. 2. What must a manager determine about a subordinate before deciding to move the subordinate into the developmental cycle? How can a manager determine that this action should be taken? Answer: The manager must determine the aspects of the subordinate's job the manager wishes to influence and at what readiness level the subordinate is currently operating in each of those aspects. In deciding what job aspects the manager wants to influence, the manager should consider all parts of the job. Essentially, the manager is interested in being certain that the subordinate is both able and willing to perform every task that is included in the job. During this step, the manager must also define good performance for each job aspect. This definition should be in specific, measurable terms, so that both manager and subordinate can judge how close the subordinate is to approaching that goal. The next step is for the manager to consider the current readiness level 66 of the employee in each of those job aspects. This includes assessing both the willingness and ability of the subordinate to complete each task. The manager assesses this by asking the subordinate: Do you know how to do this? Do you enjoy doing this? Do you want to do this? This can also be assessed by observing the individual at work or by asking questions and observing the individual. The current readiness level of the subordinate dictates the level at which the manager will start the developmental cycle, and thus, the leadership style the manager will employ with the subordinate in each aspect of the job. 67 Chapter 10 The Situational Leader and Constructive Discipline Chapter Overview Almost as important as developing new skill sets in employees is re-focusing poor performance efforts. Managers often have to get employees to turn around poor performance efforts and get back on track. Initiating the conversation and being diligent in follow up to make sure things have improved takes a lot of effort from managers. It is not uncommon for a manager to admit procrastinating on these tasks. However, if these issues are not addressed, the potential harm is immense. Dealing with these performance setbacks and finding a positive focus so they do not occur again is the emphasis of this chapter. Chapter Learning Objectives After studying this chapter, each student should be able to: 1. Diagram and explain the regressive cycle 2. Discuss the relationship between ability and willingness in the developmental and regressive cycles 3. Discuss the importance of timing and intervention 4. Discuss key areas to keep in mind when working with constructive discipline 5. Discuss the difference between punishment and extinction and when it is appropriate to use them 6. Discuss how Situational Leadership can be used with problem ownership Key Terms and Concepts The Regressive Cycle The regressive cycle is a downward spiral that runs opposite to the development cycle. When an individual or group becomes less effective than in the past, a regressive cycle is in progress. Managers must respond to a regressive cycle by using the leadership style that is appropriate to the present readiness level of the individual or group. Regressive cycles are often a result of high-strength competing responses in the environment. Needs other than fulfilling organizational goals may become more important to followers during a regressive cycle. A manager's intervention in a regressive cycle should be taken one step at a time. If a manager has been using a Delegating (S4) leadership style, the manager should move to Participating (S3) for the first intervention. Only if the problem continues should the manager move to a Selling (S2) intervention. A drastic shift in leadership style from S3 to S1 (Participating to Telling) is disruptive. 68 Timing of Intervention Regressive interventions should be made as soon as inappropriate behavior becomes evident to a manager. The longer one waits to respond to a regressive cycle, the greater the likelihood that successive interventions at increasingly lower readiness levels will be necessary to correct the problem. Emotional Level of Interventions The appropriate emotional level of an intervention varies depending on whether it is a developmental or a regressive intervention; it also varies depending on the circumstances. Working with Constructive Discipline Focusing on Performance When working with constructive discipline, make sure not to attack personality, but rather focus on performance. Attacking personality will decrease the probability of working successfully with the person. Be Specific, Do Your Homework When working with constructive discipline, make sure to be specific and not to use glittering generalities. Prior to the intervention, do your homework and gather specific details that will be useful in problem solving. Specificity allows the manager and follower to collaboratively work on developing a solution. Keep it Private Disciplinary interventions need to be kept private. As a guideline, it's a good idea to praise people in public and problem solve in private. Disciplining people in public sidetracks the individual from the issue at hand and may cause embarrassment or shame, while disciplining in private makes it easier to get across points and problem solve. Punishment and Negative Reinforcement Punishment is a negative consequence. Negative consequences prevent behaviors from reoccurring. Punishment suppresses behavior and negative reinforcement strengthens the response that eliminates the punishment. Punishment does not show what to do; it only shows what not to do. Extinction Followers behave the way they do to get what they want and will tend to cease behaviors that do not evoke the desired response from the leader. Extinction occurs when 69 reinforcement is withheld after a behavior occurs. For a behavior to be subject to extinction, there cannot be any (positive or negative) consequence for the behavior. While punishment suppresses a behavior, extinction makes it disappear. Using Punishment and Extinction Leaders should always pause and think before they behave because they never know when they are or are not reinforcing behavior. It is very important to think prior to behaving, especially when using punishment and extinction, which can be very useful to \"unfreeze\" inappropriate behavior. Positive reinforcement can then be used to promote the desirable behaviors. In using punishment and extinction, it is crucial to identify the specific undesirable behavior and then to communicate this to the person. In deciding when to use punishment or extinction, managers should determine how long the undesirable behavior has been occurring. For a new behavior, extinction may get the desirable results; however, if the behavior has been occurring for some time, it may be necessary to suppress the behavior with punishment. Problem Ownership and Situational Leadership Whenever a manager receives feedback, either verbally or non-verbally, indicating that a person is having a problem, it is time to step in. If a manager has the ability to identify who has the problem, they can then assess the individual's performance readiness level, determine the leadership style which will have the best chance of success, and decide how to intervene. Positive Discipline Positive discipline is another model used to deal with employees who fail to meet performance goals or who are violating organizational rules. This model uses a three step approach: warn the employee orally, warn the employee in writing, and if step 1 and 2 don't resolve the problem, give the employee a day off, with pay. This model removes punishment and places the responsibility on the employee. Suggested Teaching Approaches The regressive cycle can be diagramed and explained in a manner similar to the way the Situational Leadership Model was used to explain the developmental cycle in the previous chapter. Note the importance of determining follower readiness and the reasons for a given level of readiness. Also note the importance of following the prescriptive curve in applying the appropriate leadership style. This prevents the leave alone/zap style of management. Figure 10-2, which describes the relationship between ability and willingness in the developmental and regressive cycles, also addresses the key transition from leaderdirected to follower-directed behavior. Students frequently ask how a person can go from 70 unable but willing or confident (R2) to able but unwilling or insecure (R3). Focus on the transition from R2 to R3. When a person has the support and direction of the leader (S2), the person can feel secure, but when this support is withdrawn, as the person's abilities increase, they may feel a lack of confidence. This is why a high level of relationship behavior by the leader is needed for an R3 follower. This point should be emphasized in your class presentation. Online Activities 1. Activity The online activity for Chapter 10 gives students the opportunity to apply and practice what they read regarding the regressive cycle. Similar to the activity in Chapter 9, the student is asked to identify a specific situation in which they can \"try out\" the regressive intervention role. They are asked to identify the situation, the performance readiness level, and the most appropriate style to match it. Students are asked to list the behaviors (do's and don'ts) that they may practice during a conversation with the follower. They are then asked to answer a number of questions regarding considerations that they should keep in mind when taking advantage of development opportunities. 2. Case Study The written case study for this chapter focuses on the concept of regressive behavior or an instance where performance has moved from good to poor. It is the boss' responsibility to bring up these issues and find a way to communicate effectively with the employee. Use the case study to help students explore their thought process around this concept. 3. Quiz Request that students log onto the text's companion website and take the quiz designed to review Chapter 10. 4. Resources The additional online resources section contains links to websites that provide additional information regarding content and sources discussed in the chapter. Exam Questions 1. How can a leader recognize a regressive cycle, and what should the response be? Answer: A regressive cycle runs opposite to the developmental cycle. A manager can recognize a regressive cycle in action whenever a work group or individual begins 71 to exhibit less readiness in one or more aspects of a job than has been exhibited in the past. When a regressive cycle becomes evident in a work group or individual, the manager should consider discipline. Discipline is not necessarily the same as punishment. A disciplinary intervention is simply one in which the leader responds to the follower(s) in the leadership style that is appropriate for the follower's current level of readiness. 2. If the leader has been dealing with the follower appropriately by using an S4 leadership style and the follower suddenly begins operating at performance readiness level R3, what should the leader do? Answer: If a follower was operating at high levels of readiness, and the manager was dealing with the follower in an S4 leadership style, it is not appropriate to continue that style when the follower exhibits regressive behavior. The manager should shift to leadership style S3 until the follower returns to the former readiness level. If the S3 intervention does not result in the desired improvement in performance, the manager should shift to an S2 intervention. It is important that disciplinary interventions occur as soon as possible after performance slippage occurs - at the beginning of a regressive cycle. A manager should not make a drastic shift in leadership style (say from S4 to S1), but if a regressive cycle has had time to become established, this may be necessary. 72