CHAPTER 2
Using Situational Leadership®II to Guide the Journey

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Situational Leadership® II is a powerful, yet simple, contingency-based model of how to alter leadership approaches to fit various situations. In this chapter we will explore how this model can be useful as a framework for guiding the journey to empowerment. As a starting point, let us look first at the various concerns people will have as they make the change to empowerment. As we discussed in the previous chapter, there are three stages along the journey— (1) Starting and Orienting the Journey, (2) Change and Discouragement, and (3) Adopting and Refining Empowerment. As people pass through each of these stages of change, a variety of concerns must be recognized and addressed if the destination of empowerment is to be reached.

A U.S. Department of Education research project at the University of Texas identified six predictable and sequential concerns that people experience in making a significant 20 change. During the initial stage of Starting and Orienting the Journey, people will express and want answers to information concerns and personal concerns. As they move into the second stage of Change and Discouragement, they will express and want answers to implementation concerns and impact concerns. Finally, in the last stage of Adopting and Refining Empowerment, they will express concerns that suggest the destination is in sight, namely, collaboration concerns and refinement concerns. If these six concerns are addressed, the destination of empowerment can be reached. If they are not addressed, the journey will surely bog down or, worse yet, end in disaster. Let us explain these concerns in more detail and then look at how Situational Leadership® II provides a framework for addressing them.

Essentially, the concerns are expressed as a variety of questions. Consider the following:

1.Information Concerns—What is the change? Why is it needed? What is wrong with the way things are now? People with information concerns don’t want to be sold on the change; they want to be told about it. They don’t want to know if the change is good or bad until they understand it.

2.Personal Concerns—How will the change impact me personally? What’s in it for me? Will I win or lose? How will I find the time to make the change? People with personal concerns wonder if they have the skills and resources to implement the change.

3.Implementation Concerns—What do I do first? Second? Third? How do I manage all the details? What happens if it doesn’t work as planned? Where do I go for help? How long will this take? Is what we are experiencing 21 typical? People with implementation concerns are focused on the details involved in implementing the change.

4.Impact Concerns—Is the effort worth it? Is the change making a difference? Are we making progress? People with impact concerns are interested in whether the change is paying off. This is the stage where team members sell themselves on the benefits of the change.

5.Collaboration Concerns—Who else should be involved? How can we work with others to get them involved in what we are doing? How do we spread the word? People with collaboration concerns are focused on coordination and cooperation with others. They want to get everyone on board because they are convinced the change is making a difference.

6.Refinement Concerns—How can we make the change even better? Can we improve on our original idea? People with refinement concerns are focused on continuous improvement.

To help people resolve the questions and concerns they have at each stage of the change process, it is most helpful to respond with the right combination of direction and support. By so doing, the questions are answered and people are prepared to move to the next stage of change. Not addressing the questions will hold people back and delay, if not stop, the process from moving forward. It is here that Situational Leadership® II provides a framework that leaders and team members alike can use to help them provide what is needed at the right time, thus keeping the process moving forward.

A BRIEF OVERVIEW OF SITUATIONAL LEADERSHIP® II

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Situational Leadership® II was created to develop individuals to their highest level of performance through effective one-on-one leadership. It is based upon creating a match between an individual’s development level (various combinations of competence and commitment) on a specific goal or task and the leadership style (various combinations of directive and supportive behavior) that the leader applies.

As illustrated in the model below, four basic leadership styles can be matched with the four development levels. The top of the model illustrates the four leadership styles—Style 1—Directing (high directive behavior and low supportive behavior); Style 2—Coaching (high directive behavior and high supportive behavior); Style 3—Supporting (high supportive behavior and low directive behavior); and Style 4— Delegating (low supportive behavior and low directive behavior). These leadership styles correspond with the four development levels—shown on the development level continuum at the bottom of the model: Development Level 1 (low competence and high commitment), Development Level 2 (low to some competence and low commitment), Development Level 3 (moderate to high competence and variable commitment) and Development Level 4 (high competence and high commitment).

The goal of Situational Leadership® II is to provide an environment that permits an individual to move along the development continuum—through the development cycle—from Development Level 1 (developing) to Development Level 4 (developed). The leader uses a leadership style that is appropriate to the individual’s development level at each stage of development on a specific goal or task. As the development level 23 changes, the leadership style should change accordingly. There is no best leadership style because development levels vary from person to person and from task to task.

Adapted from Leadership and the One Minute Manager by Ken Blanchard, Patricia Zigarmi, and Drea Zigarmi (New York: William Morrow and Company, Inc., 1995) 56, 68.

DEVELOPMENT LEVELS AND LEADERSHIP STYLES

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While many variables can affect an individual’s ability to do a job well, Situational Leadership® II focuses on one variable more than others—the development level of a person on a specific goal or task. Development level is a combination of two factors—competence and commitment.

Competence is the knowledge and skills an individual brings to a goal or task. Competence is best determined by demonstrated performance. It can, however, be developed over time with appropriate direction and support. Competence can be gained through formal education, on-the-job training, and experience. Experience includes certain skills that are transferable from a previous job—for example, the ability to plan, organize, solve problems, and communicate well. These skills are generic by nature and are often an essential part of many different tasks.

Commitment is a combination of an individual’s motivation and self-confidence on a goal or task. Interest and enthusiasm are exhibited behaviorally through attentiveness, animation, energy levels, and facial expressions, as well as through verbal cues. Confidence is characterized by a person’s self-assuredness. It is the extent to which people trust their own abilities to do a task. If either motivation or confidence is low or lacking, commitment as a whole is considered low. 25

The development of an individual to his or her highest level of performance can be seen as a journey very similar to the journey to empowerment. Although the goal is self-reliance (being able to perform in an empowered manner), the individual has distinctive needs along the way, as his or her competence and commitment fluctuate before finally reaching high competence and high commitment.

In order to address those changing needs, leaders and team members can utilize various leadership styles, which can be defined as combinations of directive and supportive behaviors. When leaders perform directive behaviors they concentrate on how to do a task. Examples include telling and showing people what to do and when to do it and providing frequent feedback on results. Directive behaviors are instrumental in developing competence in others. When leaders perform supportive behaviors they focus on developing people’s initiative and on their attitudes and feelings toward the task. Good examples of supportive behavior are praising, listening, encouraging, and involving others in problem solving and decision making. Support is instrumental in building commitment in others.

MATCHING LEADERSHIP STYLE TO DEVELOPMENT LEVEL

Situational Leadership® II teaches us that to get the best performance and to develop people’s skills, you match the right combination of directive and supportive behaviors to address the person’s current level of competence and commitment. The basic idea is that when competence for a task (such as acting in an empowered fashion) is low, the leader or another team member needs to provide a great deal of directive behavior. As competence for the task increases, the 26 amount of directive behavior needed decreases. A similar relationship holds for commitment and supportive behavior. When commitment for the task is low (such as when someone becomes discouraged), the leader or another team member needs to provide a great deal of supportive behavior. As commitment for the task increases, the amount of supportive behavior needed decreases.

It is important to recognize that there are many combinations of competence and commitment that require a variety of combinations of directive and supportive behaviors. As an illustration, let us explore the specifics of the four development levels as they match the four leadership styles from the basic Situational Leadership® II model displayed earlier.

On new tasks where people have little, if any, prior experience, most individuals are enthusiastic and ready to learn (they are at Development Level 1—low competence and high commitment). Just consider how people must feel when embarking on a journey from a hierarchical-style organization culture to a culture of empowerment. Being empowered may sound great, but people have little experience with it. At this stage of development, they need a great deal of directive behavior but not too much supportive behavior. They are excited already; the most supportive action to take is to address their concerns for understanding what it means to become empowered and to begin teaching them the skills of empowerment.

Not too long after beginning the task of becoming empowered, people commonly experience a period of disillusionment. A letdown occurs because the task is more difficult or is perhaps different than expected. While they now 27 have more competence than when they started the task, competence is still not very high, and the disillusionment that people experience causes a decrease in commitment. (They are now at Development Level 2—low to some competence and declining or low commitment.) At this stage of development, people still need a relatively high level of directive behavior, but now they also need a high level of supportive behavior. The supportive behavior can directly address the concerns associated with discouragement, while the directive behavior continues to work on increasing people’s competence for this new task of being empowered.

As the journey continues, people gradually acquire the skills they need for the new task of being empowered. Unfortunately, most individuals experience self-doubt about those skills. They question whether they can act in an empowered fashion effectively on their own. (They are at Development Level 3—variable commitment and moderate to high competence.) At this stage of development, people do not need a high level of directive behavior since their skills are actually quite good. But they do need continued high supportive Behavior, since their self-doubt and lack of self-confidence limit their ability to use those skills effectively.

In time and with this proper support, people will become self-reliant, empowered team members. (They are at Development Level 4—high competence and commitment for the task.) At this final stage of development, people have arrived at the destination of empowerment. They need very little directive or supportive behavior, because they and their team members can rely upon their competence and commitment for empowerment to provide their own direction and support.28

THE DEVELOPMENT CYCLE

Besides this concept of matching leadership style to the development needs of people, Situational Leadership® II helps us to understand the development cycle, or flow of concerns, needs, and appropriate leadership actions over the entire journey to empowerment. By matching leadership style to the development level (and thus addressing people’s needs at each stage of the journey), leaders and team members help ensure that competence and commitment for the task of empowerment continue to move toward high levels. In other words, given the appropriate amounts of directive and supportive behaviors at each stage of the journey, people move from one level of development to another, from being (1) enthusiastic beginners for the empowerment task to (2) disillusioned learners about empowerment to (3) capable but cautious empowered performers to (4) self-reliant empowered achievers.

We can depict this development cycle as shown below, and we can also relate it to the stages of change from the previous chapter. As we travel through the three stages of change (please note that the diagram flows right to left for the stages), we are essentially moving through the first three development levels. By applying the right leadership style at each stage (development level), we can keep the process moving toward the final development level—the destination of empowerment—where people have high competence and high commitment for being empowered.

This diagram is also useful in highlighting a common mistake leaders make that can inhibit, and sometimes stop, the movement to empowerment. In order to move successfully along the journey, it is important to recognize that each 29 of the three stages must by addressed basically in the order shown in the diagram. The concerns that people have and the way they develop tend to occur in this order, and using the leadership styles out of order can create problems. Consider what a leader must do to help move someone from an enthusiastic beginner on empowerment to a self-reliant, empowered achiever. Leadership Style 1 is the most helpful for an enthusiastic beginner, and Leadership Style 4 fits an individual who has the necessary skills and confidence to perform well without supervision. What two leadership styles does the 30 leader have to pass through to get to Style 4? The answer, quite obviously, is Leadership Style 2 and Leadership Style 3.

The problem with most leaders is that they do not “stay on the path” from one stage to the next. Some leaders do not even start with Style 1, preferring the destination Styles 3 and 4. But even those who start with directive Style 1—where they are clarifying the task before people, teaching new skills, and monitoring performance—often get derailed by jumping to a low directive and low supportive Style 4, where they essentially say, “Good luck!” This sets people up for failure since the leader does not work with the people as they move through the stages and experience various concerns and development needs. After a promising start, people are left on their own to figure out how to become empowered and how to deal with the discouragement that is a natural part of the process. For the empowerment journey to be successful, leaders need to stay on track with people as they guide them to the final destination—independence and a capacity to be empowered and to effectively use the new skills they have acquired.

APPLYING SITUATIONAL LEADERSHIP® II TO A SELF AND TEAM PERSPECTIVE

One of the most powerful aspects of Situational Leadership® II as a framework for guiding the empowerment journey is that it applies at the self-management level and the team level, as well as in the leader-member relationship. Perhaps you noticed throughout the previous sections of this chapter how we often spoke of leaders and team members. This was done as a subtle way of introducing you to the 31 fact that Situational Leadership® II actually helps us recognize that empowerment is a partnership process between team members and team leaders (formerly called employees and managers in a hierarchical culture). For such a partnership to work effectively, all partners need to have access to the same set of analytic tools. When leaders diagnose the needs of team members, they will want to involve people in their own diagnosis. Likewise, when team members are feeling certain concerns, it is helpful if they can diagnose their own needs and ask for the appropriate amounts of directive and supportive behaviors.

SITUATIONAL SELF LEADERSHIP

To illustrate the problem that can occur when only one of the partners understands Situational Leadership® II, consider the following example. Suppose a leader has recently learned about Situational Leadership® II and is beginning to apply it on the job. The leader uses the model to diagnose one of the team members as someone who has the competence and commitment to do his job, including all the different tasks involved. As a result, the manager decides to use Leadership Style 4 (low supportive and low directive behaviors). Consequently, the leader leaves the person alone and seldom provides either direction or support. Since this direct report does not know Situational Leadership, how do you think this person will start to feel? Abandoned! The person might wonder, What did I do wrong? Why don’t I see my manager any more?

Take another person who also works with this leader. The leader diagnoses this person as enthusiastic but inexperienced. Applying the model, the leader decides this person 32 needs a considerable amount of directive behaviors. Every day the leader goes to see this person, gives directions, and closely supervises performance. After a while, what do you think this person will feel, not knowing Situational Leadership? Mistrusted! The person might wonder, Why is my manager always hovering around me?

And what if these team members meet in the hall one day. The first person we described says, “I wonder what happened to my manager; I never see her any more.” The second person responds, “I know where she is; she’s always in my office on my case.”

What has happened is that the partnership process has failed. Even if both of these diagnoses are correct, the corresponding leadership style has been misperceived because of a lack of communication. What we have found over the years is that Situational Leadership is not something you do to people; it’s something you do with them. This realization motivated Ken Blanchard, Susan Fowler Woodring, and Laurie Hawkins to develop Situational Self Leadership.

Situational Self Leadership is directed at individual contributors, although it also can be utilized by anyone in an organization who needs leadership from someone else. It helps people determine the kind of leadership (amount of directive and supportive behaviors) they need to accomplish a specific task or achieve a specific goal (such as becoming empowered). The focus is on what leadership style people need (from their perspective) to be successful in what they are doing. By teaching all team members, as well as their leaders, about Situational Leadership® II, the leaders and members can jointly diagnose the team members’ needs and 33 agree on the leadership style that the team leader needs to provide at each stage of the empowerment process.

SITUATIONAL TEAM LEADERSHIP

Another leadership domain that Situational Leadership® II can impact is team leadership. A team is two or more people who must work together to accomplish a common purpose and are held accountable for the results. As we suggest in the third key to empowerment (Teams Become the Hierarchy), empowered work teams are the means to meet today’s demands for innovation, quality, service, productivity, and satisfaction. Working in empowered teams calls for new knowledge and skills not developed in most organizations in the past. As people spend more time in teams and move in and out of various team settings, they will be expected to acquire and carry specialized knowledge and skills with them. To meet these demands, people must be empowered with the critical knowledge and skills that make them productive members of a team.

The knowledge and skills required by all team members include the ability to observe and understand what is occurring in the team at any point in time and to intervene in ways that help the team grow and develop. This is where the work Ken Blanchard, Don Carew, and Eunice Parisi-Carew have done integrating Situational Leadership® II with team development concepts comes into play. Using the same focus on direction and support that define the leadership styles, they provide a diagnostic model that matches the leadership style options to the needs that teams have at each of four stages of team development. 34

The four stages that teams must pass through to become empowered are based upon what happens to two key variables that are team analogs to the competence and commitment of individual development in Situational Leadership® II. First is productivity, which is the team’s ability to work together and achieve results. Second is morale, which is the team’s motivation, confidence, and cohesion.

The development of a team to the status of empowered team is a journey. Following a pattern similar to individual development, the team at each stage of development has distinctive needs.

STAGE 1: ORIENTATION

At this first stage (Orientation)—which parallels the first stage of the change-to-empowerment process (Starting and Orienting the Journey)—most team members think empowerment sounds good and are fairly eager to be on the team. However, they often start with unrealistically high expectations. For example, they often expect that the team will immediately be allowed and able to make all decisions affecting it. These expectations are accompanied by some anxiety about how the team members will fit in, how much they can trust others, and what demands will be placed on them. Team members are also unclear about norms, roles, goals, and timelines. Situational Leadership® II suggests that the team needs high direction and low support to address members’ needs at this first stage. Typical behaviors at this stage include developing a clear team purpose, establishing clear roles for team members, setting goals for the team, and teaching team skills. Usually, these behaviors are provided by 35 the team leader, though the door should be open for team members to contribute directive behaviors, as well.

STAGE 2: DISSATISFACTION

The second stage of team development (Dissatisfaction) parallels the second stage of the change process (Change and Discouragement). As the team gains some experience, morale dips because team members experience a discrepancy between their initial expectations and reality. The difficulties in accomplishing the task and in working together lead to confusion and frustration, as well as a growing dissatisfaction with dependence on the leadership figure. Team members develop negative reactions toward each other, and subgroups form, thus polarizing team members. The breakdown of communication and an inability to problem solve result in lowered trust. Productivity may be slowly increasing but may be hampered by team functioning. Clearly the team still needs a great deal of direction, but they now also need support. Examples of behaviors that either the leader or team members can provide include revisiting team purpose, teaching conflict-resolution skills, actively listening, soliciting input from all members, and recognizing small team accomplishments.

STAGE 3: INTEGRATION

The third stage of team development (Integration) mirrors the third stage of the change process (Adopting and Refining Empowerment). As the issues encountered in the Dissatisfaction stage are addressed and resolved, morale begins to rise. Task accomplishment and technical skills increase, which contributes to increased productivity of the team and a positive, 36 even euphoric, feeling. There is increased clarity and commitment to purpose, values, norms, roles, and goals. Trust and cohesion increase as communication becomes more open and task oriented. There is a willingness to share responsibility and control. Team members value the differences among themselves. The team members start thinking in terms of “we” rather than “I.” Because the newly developed feelings of trust and cohesion are fragile, team members may avoid conflict for fear of losing the positive climate. This reluctance to deal with conflict can slow progress and lead to less-effective decisions. What the team needs primarily from team members is enhanced support combined with a decrease in direction. The team members know how to work together, but they are reluctant to fully employ all their talents. Examples of leadership behaviors that can help the team at this stage include encouraging full involvement by all team members, encouraging shared responsibility for results, examining team functioning to eliminate obstacles, and encouraging and valuing different perspectives on the team’s tasks.

STAGE 4: PRODUCTION

This final stage of team development is analogous to the team reaching full status as an empowered team. At this stage, both productivity and morale are high, reinforcing one another. There is a sense of pride and excitement in being part of a high-performing team. The primary focus is on performance. Purpose, roles, and goals are clear. Standards are high, and there is a commitment not only to meeting standards but also to continuous improvement. Team members are confident in their ability 37 to perform and overcome obstacles together. They are proud of their work and enjoy working together. Communication is open and leadership is shared. Mutual respect and trust are the norms. The team flexibly handles new challenges in its continued growth.

SITUATIONAL LEADERSHIP® II AND THE CHANGE-TO-EMPOWERMENT PROCESS

We started this chapter focusing on the six predictable concerns that people have during the change-to-empowerment process, so let us close by showing how new work by Ken Blanchard, Patricia Zigarmi, and Drea Zigarmi on Situational Leadership® II and change provides guidance for the actions that will address each of the con-cerns. As shown earlier in the development cycle, the four basic styles of leadership from Situational Leadership® II (with differing emphases) match the development needs and stages of change that mark the journey to empowerment. Based upon the discussion of self-management, we can see how a partnership between a team leader and each team member is desirable. We can also see that the stages that teams must experience in becoming empowered teams can be guided with the right leadership style for each stage of development. In this final section, we will explore how this development cycle can also be applied to addressing the six concerns of the change process, thus providing an inclusive framework to guide your actions. All of these elements are depicted in the diagram below (again the stages flow right to left on the diagram). Let us now explain how the four leadership styles can help in addressing each of the six concerns of change.38

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FOR INFORMATION CONCERNS, USE LEADERSHIP STYLE 1

In the first stage of change, (Starting and Orienting the Journey) people have knowledge and skills for the change (productivity, ability), but morale tends to be naively high. People have information needs. They want to know, What is the change all about? What will we be doing differently? They need direction much more than support. To guide the process, leaders should

Identify desired outcomes and share an image of what a successful change to empowerment would look like;

Provide an action plan to reduce the gap between reality and people’s idealized concept of empowerment;

Share information that clarifies where the organization is now and where it is going;

Set up small experiments and pilots; provide credible role models;

Provide information that allows employees to reach their own conclusions.

FOR PERSONAL CONCERNS, USE LEADERSHIP STYLE #1 BLENDING INTO STYLE 2

As knowledge increases, people realize they will need to develop new skills. Anxiety starts to increase. They want to know, How will the change to empowerment affect me personally? Will I be able to be successful being empowered? They still need direction, but there is a growing need for support. Leaders should

Provide forums for team members to say what’s on their minds; 40

Provide encouragement and reassurance;

Explain to team members why the change is important and provide consistent messages about the organization’s vision, goals, and expectations;

Provide resources that help resolve personal concerns—time, money, management support, clear goals and expectations;

Provide opportunities for acquiring new skills needed to become empowered.

FOR IMPLEMENTATION CONCERNS, USE LEADERSHIP STYLE 2

In the second stage of change (Change and Discouragement), people realize they not only have to acquire new skills, they also have to use them effectively and, eventually, on their own. They begin to wonder how long this change will take and what the plan is for getting there. The questions people have at this point are, How do I act to be empowered? What do I do first, second, and third? People still need both direction and support to address these concerns. Leaders need to

Align systems—performance planning, tracking, feedback, and evaluation systems—with the change;

Offer perspective about how long the change should take and whether performance is on track;

Provide training and coaching on how to implement the change;

Respond honestly to the questions people raise;

Look for small wins, recognize progress, and share excitement and optimism about the change.41

FOR IMPACT CONCERNS, USE LEADERSHIP STYLE 2 BLENDING INTO STYLE 3

As the second stage of change winds down, people begin to see the payoff in using their new skills. They begin to feel more confident that they will succeed. They want to know, How are we doing on our journey to empowerment? Can we measure our progress to date? The need for direction can decline, but people continue to need support to let them know that progress is being made. Leaders and team members need to

Collect and share information and success stories;

Create rituals and events that anchor the change in the company’s culture;

Work with team members to restructure the work unit in ways that support the change to empowerment;

Remove barriers or obstacles to implementation and facilitate problem solving;

Encourage people to keep up their effort and desire to reach empowerment.

FOR COLLABORATION CONCERNS, USE LEADERSHIP STYLE 3

As people are firmly in the final stage of the change process (Adopting and Refining Empowerment), they can clearly see that their efforts are paying off, and they want to expand the positive impact on others. They begin to have more and more ideas that they want to share with others. The question on their mind is, Who else should be involved in our empowerment efforts? They need very little direction but continue to need support to encourage them to use the 42 talents of empowerment that they have developed. Team members and leaders need to

Build links between the empowerment change that is being implemented and other initiatives in the company;

Encourage teamwork and interdependence with other teams;

Cheerlead the increases in performance of the team;

Encourage people to take on even greater challenges.

FOR REFINEMENT CONCERNS, USE STYLE 3 BLENDING INTO STYLE 4

The destination is now in sight. People know how to act empowered and how to work in empowered teams. They are ready to ask questions such as, Can we identify new challenges and think of better ways to do things? Can we leverage what we have done so far? The need for both direction and support is declining. The team members and leaders need to

Support continuous improvement and innovation by the team;

Encourage each other to continue to challenge the status quo;

Encourage each other to fully release the knowledge and experience in every member of the team.

As teams reach the destination of empowerment, leadership from any one team member or leader can employ very little of either directive or supportive behaviors. Because the destination has been reached, the direction and support come from the team members and leader functioning as a collaborative unit. Empowered teams filled with 43 empowered people are able to release the power within people to achieve astonishing results. Their only remaining con-cern—which is now more of a desire and a commitment—is to keep the empowerment culture alive and thriving.

SUMMARY

As we have seen, to understand the change-to-empowerment process, it is helpful to appreciate the concerns people have at each stage of the journey. Coupling this with Situational Leadership® II, we have a useful, overarching framework for building an action guide for leaders and team members that will assist them in reaching empowerment. With this framework as background for your understanding of the challenges and appropriate responses for action, we now turn to the three keys to empowerment from Empowerment Takes More Than a Minute and apply them to each of the three stages of the change-to-empowerment process. The next nine chapters will use this matrix of keys and stages to identify specific questions that people have asked us about the process and to provide clear action steps that should be taken within each stage of the change process. Creating a culture of empowerment requires more than announcing the destination. It takes an action guide to handle the challenges of the journey. So let us develop your action guide, beginning with Stage 1: Starting and Orienting the Journey.