Level 5 Certificate In Leadership and Management

Transcription

1 Level 5 Certificate In Leadership and Management Get the skills and knowledge to lead, and improve performance. Institute of Leadership & Management Qualification Level 5 Certificate Getting Your Key People To The Top Of Their Ability, Performance & Productivity Offices: London: Staffordshire:

2 Benefits for individuals Be able to use leadership techniques to drive better results Develop ability to lead, motivate and inspire Provide day-to-day management of projects and people Benchmark your managerial skills Raise your profile in your organisation. Benefits for employers Encourage strategic thinking at this level of management, to foster business improvement Engage rising staff with training and development this qualification is designed to provide clear, measurable benefits to career-minded professionals Customised qualification to suit Echo development needs. Focus on the skills you need This is an authorised Certificate qualification at Level 5. The units in this qualification are as follows: Unit Code Unit Title CV* GLH** Becoming an Effective Leader Managing and Implementing Change in the Workplace Understanding the Skills, Principles and Practice of Effective Management Coaching and Mentoring 5 18 Total *Credit Value ** Guided Learning Hours Offices: London: Staffordshire:

3 Title: Becoming an effective leader Credit value: 5 Unit guided learning hours 9 Learning outcomes (the learner will) Assessment criteria (the learner can) 1 Understand own ability to fulfil key responsibilities of the leadership role Evaluate own ability to use a range of leadership styles, in different situations and with different types of people, to fulfil the leadership role Use theories of emotional intelligence to review the effect of emotions on own and others performance 2 Be able to evaluate own ability to lead others Review own ability to set direction and communicate this to others Review own ability to motivate, delegate and empower others Produce a personal development plan to improve own ability to lead Offices: London: Staffordshire:

4 ASSIGNMENT TASK for Unit - Becoming an effective leader Centre Number Learner Registration No Centre Name Learner Name TASK The purpose of this unit is to develop knowledge and understanding of effective leadership as required by a practising or potential middle manager. NOTE An ILM Assessment Task provides an opportunity to relate your learning directly to your current organisation. It is recommended that you discuss the assignment with your line manager to explore and agree how the task could be used to support the needs of your employer (as well as evidencing your learning as part of completing your ILM qualification). If you are not currently working within an organisation, then you may complete this task in relation to an organisation with which you are familiar. This could include experience working in a voluntary capacity. NOTE: You should plan to spend approximately 31 hours researching your workplace context, preparing for and writing or presenting the outcomes of this assignment for assessment. The nominal word count for this assignment is 2500 words: The suggested range is between 2000 and 3000 words, however individuals have different writing styles, and there is no penalty if the word-count range is exceeded. Please use the headings shown below when writing up your assignment Assessment Criteria Understand own ability to fulfil key responsibilities of the leadership role The first part of this task is to evaluate own ability to use two or more leadership styles, in different situations and with different people, in order to fulfil the leadership role, and to use theories of emotional intelligence to review and make judgements on the effect of emotions on own and others performance Be able to evaluate own ability to lead others Evaluate own ability to use a range of leadership styles, in different situations and with different types of people, to fulfil the leadership role (20 marks) Use theories of emotional intelligence to review the effect of emotions on own and others performance (20 marks) The second part of the task requires you to: Review own ability to set direction and communicate this to others by using a combination of appropriate evidence and relevant theory in order to form a judgement Review own ability to motivate and delegate and empower others by using a combination of appropriate evidence and suitable motivational, delegation and empowerment theories in order to form a judgement. You are then required to create a personal development plan, which includes activities, timescales and resources, to improve own ability to lead. Review own ability to set direction and communicate this to others (20 marks) Review own ability to motivate, delegate and empower others (20 marks) Produce a personal development plan to improve own ability to lead (20 marks) By submitting I confirm that this assessment is my own work Offices: London: Staffordshire:

5 MARK SHEET BECOMING AN EFFECTIVE LEADER Centre Number : Centre Name : Learner Registration No : Learner Name: INSTRUCTIONS FOR ASSESSMENT AND USE OF MARK SHEET Assessment must be conducted with reference to the assessment criteria (AC). In order to pass the unit, every AC must be met. Assessors will normally award marks for every AC and then total them into a percentage. However, for greater simplicity, there is the option to not use marks at all and merely indicate with a Pass or Referral in the box (below right). In order to pass the unit every AC must receive a Pass Where marks are awarded according to the degree to which the learner s evidence in the submission meets each AC, every AC must be met, i.e. receive at least half marks (e.g. min 10/20). Any AC awarded less than the minimum produces an automatic referral for the submission (regardless of the overall mark achieved). Sufficiency descriptors are provided as guidance. If 20 marks are available for an AC and the evidence in the submission approximates to the pass descriptor, that indicates it should attract 10 marks out of 20, if a good pass then ca. 15 out of 20. The descriptors are not comprehensive, and cannot be, as there are many ways in which a submission can exceed or fall short of the requirements. 1. Learner named above confirms authenticity of submission. 2. ILM uses learners submissions on an anonymous basis for assessment standardisation. By submitting, I agree that ILM may use this script on condition that all information which may identify me is removed. However, if you are unwilling to allow ILM use your script, please refuse by ticking the box: Learning Outcome / Section 1: Understand own ability to fulfil key responsibilities of the leadership role Assessment Criteria (AC) Sufficiency Descriptors [Typical standard that, if replicated across the whole submission, would produce a referral, borderline pass or good pass result] AC 1.1 Referral [5/20] No evaluation is made of Pass [10/20] Good Pass [15/20] Evaluate own ability to own ability to use a range use a range of of leadership styles, in different situations and leadership styles, in with different people, to different situations and fulfil the leadership role, with different types of or the evaluation is people, to fulfil the incorrect or inappropriate leadership role An evaluation is made of own ability to use two or more leadership styles, but only in different situations or only with different people, but not A correct and appropriate evaluation based on subjective or limited evidence is made of own ability to use two or more leadership styles, in different situations and with different people, in order to fulfil the leadership role A correct and appropriate evaluation based on detailed and objective evidence is made of own ability to use two or more leadership styles in different situations and with different people, in order to fulfil the leadership role Assessor feedback on AC [comments not necessary in every box] / 20 (min. of 10) Pass or Referral Offices: London: Staffordshire:

6 both AC 1.2 Use theories of emotional intelligence to review the effect of emotions on own and others performance Referral [5/20] Pass [10/20] Good Pass [15/20] The effect of emotions on own and others performance is not reviewed The effect of emotions on own and others performance is reviewed, but not by the use of two or more theories of emotional intelligence The effect of emotions on own and others performance is reviewed and brief judgements are made using two or more appropriate theories of emotional intelligence The effect of emotions on own and others performance is reviewed and detailed judgements are made using two or more appropriate theories of emotional intelligence The effect of emotions on only own or only others performance is reviewed by the use of two or more appropriate theories of emotional intelligence / 20 (min. of 10) Pass or Referral Section comments (optional): Verification comments (optional): Learning Outcome / Section 2: Be able to evaluate own ability to lead others Sufficiency Descriptors Assessment Criteria (AC) [Typical standard that, if replicated across the whole submission, would produce a referral, borderline pass or good pass result] Referral [5/20] Pass [10/20] Good Pass [15/20] AC 2.1 Review own ability to set direction and communicate this to others Own ability to set direction and communicate this to others is not reviewed using appropriate evidence and suitable theory, or is merely described Own ability to set direction and communicate this to others is reviewed using a combination of appropriate evidence and relevant theory to form a limited judgement Own ability to set direction and communicate this to others is reviewed using a combination of appropriate evidence and relevant theory to form a well-reasoned judgement Assessor feedback on AC [comments not necessary in every box] / 20 (min. of 10) Pass or Referral Referral [5/20] Pass [10/20] Good Pass [15/20] Offices: London: Staffordshire:

7 AC 2.2 Review own ability to motivate, delegate and empower others Own ability to motivate, delegate and empower others is not reviewed using appropriate evidence and suitable theory, or is merely described Own ability to motivate or delegate or empower others is reviewed using appropriate evidence and suitable theory, but not all three Own ability to motivate and delegate and empower others is reviewed using appropriate evidence and suitable motivational, delegation and empowerment theories. The review may be limited although a brief judgement will have been formed Own ability to motivate and delegate and empower others is reviewed using appropriate evidence and suitable motivational, delegation and empowerment theories. The review will be thorough and lead to a detailed judgements being made related to each topic. / 20 (min. of 10) Pass or Referral AC 2.3 Produce a personal development plan to improve own ability to lead. Referral [5/20] Pass [10/20] Good Pass [15/20] A personal development plan to improve own ability to lead is not created, or is incorrect or inappropriate A personal development plan is created and but which does not include improvements in own ability to lead A personal development plan which includes activities, timescales and resources is created to improve own ability to lead A personal development plan which includes activities, timescales resources, support and costs is created and to improve own ability to lead / 20 (min. of 10) Pass or Referral Section comments (optional): Verification comments (optional): Assessor s Decision Signature of Assessor: Outcome (delete as applicable): PASS / REFERRAL Date of QA Check: / 100 Quality Assurance Use Signature of QA: Outcome (delete as applicable): PASS / REFERRAL Date of QA check: TOTAL MARKS Offices: London: Staffordshire:

8 Title: Managing and implementing change in the workplace Credit value: 6 Unit guided learning hours 24 Learning outcomes (the learner will) Assessment criteria (the learner can) 1 Understand the reasons for change in an organisation Explain reasons why organisations continually need to change Conduct an environmental and organisational analysis, to identify possible areas for change in own organisation 2 Be able to manage and implement change in the workplace Identify an opportunity for change, arising from an environmental and organisational analysis Assess the benefits and risks of implementing the identified opportunity for change Develop a change implementation plan including details of how you will monitor and review the implementation of change. Offices: London: Staffordshire:

9 ASSIGNMENT TASK for Unit: Managing and implementing change in the workplace Centre Number Learner Registration No Centre Name Learner Name TASK The purpose of this unit is to be able to manage and implement change in the workplace NOTE: An ILM Assessment Task provides an opportunity to relate your learning directly to your current organisation. It is recommended that you discuss the assignment with your line manager to explore and agree how the task could be used to support the needs of your employer (as well as evidencing your learning as part of completing your ILM qualification). If you are not currently working within an organisation, then you may complete this task in relation to an organisation with which you are familiar. This could include experience working in a voluntary capacity. NOTE: You should plan to spend approximately 29 hours researching your workplace context, preparing for and writing or presenting the outcomes of this assignment for assessment. The nominal word count for this assignment is 2000 words: The suggested range is between 1500 and 2500 words, however individuals have different writing styles, and there is no penalty if the word-count range is exceeded. Please use the headings shown below when writing up your assignment Understand the reasons for change in an organisation Provide reasons that correctly explain why organisations continually need to change, and then conduct an appropriate environmental analysis and an appropriate organisational analysis to identify possible areas for change in the organisation. Assessment Criteria Explain reasons why organisations continually need to change (20 marks) Conduct an environmental and organisational analysis, to identify possible areas for change in own organisation (24 marks) Be able to manage and implement change in the workplace Identify a correct and appropriate opportunity for change from the possible areas for change identified in the first section, and then to assess and make a judgement on the benefits and risks of implementing the identified opportunity for change. You will then need to develop a correct and appropriate change implementation plan that includes details of how you will monitor and review the implementation of change. Identify an opportunity for change, arising from an environmental and organisational analysis (12 marks) Assess the benefits and risks of implementing the identified opportunity for change (20 marks) Develop a change implementation plan including details of how you will monitor and review the implementation of change (24 marks) By submitting I confirm that this assessment is my own work Offices: London: Staffordshire:

10 MARK SHEET MANAGING AND IMPLEMENTING CHANGE IN THE WORKPLACE Centre Number : Centre Name : Learner Registration No : Learner Name: INSTRUCTIONS FOR ASSESSMENT AND USE OF MARK SHEET Assessment must be conducted with reference to the assessment criteria (AC). In order to pass the unit, every AC must be met. Assessors will normally award marks for every AC and then total them into a percentage. However, for greater simplicity, there is the option to not use marks at all and merely indicate with a Pass or Referral in the box (below right). In order to pass the unit every AC must receive a Pass Where marks are awarded according to the degree to which the learner s evidence in the submission meets each AC, every AC must be met, i.e. receive at least half marks (e.g. min 10/20). Any AC awarded less than the minimum produces an automatic referral for the submission (regardless of the overall mark achieved). Sufficiency descriptors are provided as guidance. If 20 marks are available for an AC and the evidence in the submission approximates to the pass descriptor, that indicates it should attract 10 marks out of 20, if a good pass then ca. 15 out of 20. The descriptors are not comprehensive, and cannot be, as there are many ways in which a submission can exceed or fall short of the requirements. 1. Learner named above confirms authenticity of submission. 2. ILM uses learners submissions on an anonymous basis for assessment standardisation. By submitting, I agree that ILM may use this script on condition that all information which may identify me is removed. However, if you are unwilling to allow ILM use your script, please refuse by ticking the box: Learning Outcome / Section 1: Understand the reasons for change in an organisation Sufficiency Descriptors Assessment Criteria (AC) [Typical standard that, if replicated across the whole submission, would produce a referral, borderline pass or good pass result] Referral [5/20] Pass [10/20] Good Pass [15/20] AC 1.1 The reasons why The reasons why Explain reasons why organisations continually organisations continually organisations organisations continually need to change need to change is not explained, or only one reason is explained, or the explanations are incorrect, or the reasons are merely listed with no explanation as to why change is needed need to change is correctly explained, although there are a limited number of reasons provided, or the reasons are similar, or the type of change needed is unclear A wide range of unrelated reasons as to why continually need to change are correctly explained and make clear the type of change needed Assessor feedback on AC [comments not necessary in every box] / 20 (min. of 10) Pass or Referral Offices: London: Staffordshire:

11 AC 1.2 Conduct an environmental and organisational analysis, to identify possible areas for change in own organisation Referral [6/24] Pass [12/24] Good Pass [18/24] An environmental and organisational analysis to identify possible areas for change in own organisation has not been conducted, or one analysis or both analyses is/are incorrect, inappropriate or deficient, or an environment analysis or an organisational analysis has been conducted, but not both Possible areas for change in own organisation have not been identified, or the possible areas for change are incorrect or inappropriate, or only one possible area for change has been identified, or possible areas for change are not based on an environmental and organisational analysis An environmental and organisational analysis to identify possible areas for change in own organisation has been conducted correctly and appropriately, although one analysis, or both analyses, does not indicate the relative importance of individual items Two or more possible areas for change in own organisation arising out of an environmental and organisational analysis have been correctly and appropriately identified, although some features of the identified possible areas for change are not clear An environmental and organisational analysis to identify possible areas for change in own organisation has been conducted correctly and appropriately and the relative importance of individual items is indicated in both analyses The essential features of two or more possible areas for change in own organisation arising out of an environmental and organisational analysis have been correctly and appropriately identified / 24 (min. of 12) Pass or Referral Section comments (optional): Verification comments (optional): Offices: London: Staffordshire:

12 Learning Outcome / Section 2: Be able to manage and implement change in the workplace Assessment Criteria (AC) AC 2.1 Identify an opportunity for change, arising from an environmental and organisational analysis Sufficiency Descriptors [Typical standard that, if replicated across the whole submission, would produce a referral, borderline pass or good pass result] Referral [3/12] Pass [6/12] Good Pass [9/12] An opportunity for change has not been identified, or the opportunity for change does not arise from an environmental and organisational analysis, or the opportunity for change is incorrect or inappropriate A correct and appropriate opportunity for change arising from an environmental and organisational analysis is identified, although some features of the identified opportunity are not clear The key features of a correct and appropriate opportunity for change arising from an environmental and organisational analysis are clearly identified Assessor feedback on AC [comments not necessary in every box] / 12 (min. of 6) Pass or Referral AC 2.2 Assess the benefits and risks of implementing the identified opportunity for change Referral [5/20] Pass [10/20] Good Pass [15/20] The benefits and risks of implementing the identified opportunity for change have not been assessed, or the assessments are incorrect or inappropriate, or the benefits or risks of implementation have been assessed, but not both, or the assessments are not focused on the identified opportunity for change The benefits and risks of implementing the identified opportunity for change have been correctly and appropriately assessed to make a judgement, although the criteria for the assessment are limited or subjective The benefits and risks of implementing the identified opportunity for change have been correctly and appropriately assessed to make a judgement based on a range of appropriate and objective criteria The benefits and risks of the identified change are merely listed or described instead of being assessed using appropriate criteria to make a judgement Offices: London: Staffordshire: The benefits and risks of the identified change are identified rather than the benefits and risks of / 20 (min. of 10) Pass or Referral

13 implementing the identified opportunity for change AC 2.3 Develop a change implementation plan including details of how you will monitor and review the implementation of change Referral [6/24] Pass [12/24] Good Pass [18/24] A change implementation plan has not been developed, or is incorrect, inappropriate or deficient, or a change management plan does not include details of how you will monitor and review the implementation of change, or monitoring and review is incorrect, inappropriate or deficient A correct and appropriate change implementation plan has been developed that includes details of how you will monitor and review the implementation of change, although further development is required for full implementation A correct and appropriate change implementation plan has been developed that includes details of how you will monitor and review the implementation of change and requires no further work for full implementation / 24 (min. of 12) Pass or Referral Section comments (optional): Verification comments (optional): Assessor s Decision Outcome (delete as applicable): Signature of Assessor: PASS / REFERRAL Date of QA Check: / 100 TOTAL MARKS Quality Assurance Use Outcome (delete as applicable): Signature of QA: PASS / REFERRAL Date of QA check: Offices: London: Staffordshire:

14 Title: Understanding the skills, principles and practice of effective management coaching and mentoring Credit value: 5 Unit guided learning hours: 18 Learning outcomes (the learner will) Assessment criteria (the learner can) 1 Understand the purpose of coaching and mentoring within an organisational context Define what coaching and mentoring is within the context of an organisation and explain the similarities and differences between coaching and mentoring Identify potential individual, operational and organisational barriers to using coaching or mentoring and develop appropriate strategies for minimising or overcoming these Present the case for using coaching or mentoring to benefit individuals and organisation performance 2 Understand the skills, behaviours, attitudes, beliefs and values of an effective coach or mentor Critically explore the knowledge, skills, and behaviour of an effective coach or mentor Analyse why coaches or mentors require effective communication skills Review the responsibilities of the coach or mentor to manage relationships (including values and power) and remain ethical and nonjudgemental 3 Understand the role of contracting and the process to effectively coach or mentor Review a model or process which should be followed when formally coaching or mentoring Analyse the rationale for and the characteristics of effective contracting within coaching or mentoring Explain the necessity of exploring the expectations and boundaries of a coaching or mentoring programme with all stakeholders Justify the rationale for supervision of coaches and mentors in practice 4 Understand the principles of effective coaching or mentoring in practice and how to evaluate benefits Critically review the elements required for effective and integrated coaching or mentoring Analyse how the benefits of coaching or mentoring should be evaluated Offices: London: Staffordshire:

15 Assignment Task for Unit: Understanding the skills, principles and practice of effective management coaching and mentoring Centre Number: Centre Name: Learner Registration No: Learner Name: TASK This assignment requires you to demonstrate your understanding of the context in which effective coaching and mentoring operates including the individual and organisational benefits of coaching and mentoring. You should also be able to show your understanding of the practical requirements of coaches and mentors operating with managers and professionals within organisations. It is recommended that you include an introduction explaining the organisation (size, structure, and sector) as well as explaining your own role in order to provide a context to this assignment. If you are not currently working within an organisation, then you may complete this within an organisation you are familiar. This may include working in a volunteer, charitable or supporting capacity. Note: You should plan to spend approximately 24 hours researching your workplace context, preparing for and writing or presenting the outcomes of this assignment for assessment. The suggested word count for this assignment is between words. However individuals have different writing styles, and there is no penalty if the word-count range is exceeded. Check your assignment carefully prior to submission using the assessment criteria. Please use the sub-headings shown below when structuring your Assignment The context of coaching or mentoring practice Consider in depth the purpose of coaching or mentoring within an organisational environment including exploring the differences between the disciplines and the benefits and contribution they may be able to make to organisational performance. Assessment Criteria Define what coaching and mentoring is within the context of an organisation and explain the similarities and differences between coaching and mentoring (8 marks) Identify potential individual, operational and organisational barriers to using coaching or mentoring and develop appropriate strategies for minimising or overcoming these (8 marks) Present the case for using coaching or mentoring to benefit individuals and organisation performance (8 marks) The skills, behaviours, attitudes, beliefs and values of the coach or mentor Critically explore the knowledge, skills, and behaviour of an effective coach or mentor (8 marks) Analyse why coaches or mentors require effective communication skills (8 marks) Review the responsibilities of the coach or mentor to manage relationships (including values and power) Offices: London: Staffordshire:

16 and remain ethical and non-judgemental (8 marks) The role of contracting and the process to effectively coach and mentor Review a model or process which should be followed when formally coaching or mentoring (8 marks) Analyse the rationale for and the characteristics of effective contracting within coaching or mentoring (8 marks) Explain the necessity of exploring the expectations and boundaries of a coaching or mentoring programme with all stakeholders (8 marks) Justify the rationale for supervision of coaches and mentors in practice (8 marks) Understand the principles of effective coaching and mentoring in practice and how to evaluate benefits This section should summarise the previous sections to show your understanding of good practice in coaching and mentoring. Critically review the elements required for effective and integrated coaching or mentoring (8 marks) Analyse how the benefits of coaching or mentoring should be evaluated (12 marks) You should also conclude how coaching or mentoring can be evaluated in order to bring quantifiable business benefits to individuals and organisations. As part of this document you may include coaching strategy papers or supporting documents. By submitting I confirm that this assignment is my own work Offices: London: Staffordshire:

17 MARK SHEET Understanding the skills, principles and practice of effective management coaching and mentoring Centre Number : Centre Name : Learner Registration No : Learner Name: INSTRUCTIONS FOR ASSESSMENT AND USE OF MARK SHEET Assessment must be conducted with reference to the assessment criteria (AC). In order to pass the unit, every AC must be met. Assessors will normally award marks for every AC and then total them into a percentage. However, for greater simplicity, there is the option to not use marks at all and merely indicate with a Pass or Referral in the box (below right). In order to pass the unit every AC must receive a Pass. Where marks are awarded according to the degree to which the learner s evidence in the submission meets each AC, every AC must be met, i.e. receive at least half marks (e.g. min 10/20). Any AC awarded less than the minimum produces an automatic referral for the submission (regardless of the overall mark achieved). Sufficiency descriptors are provided as guidance. If 20 marks are available for an AC and the evidence in the submission approximates to the pass descriptor, that indicates it should attract 10 marks out of 20, if a good pass then ca. 15 out of 20. The descriptors are not comprehensive, and cannot be, as there are many ways in which a submission can exceed or fall short of the requirements. 1. Learner named above confirms authenticity of submission. 2. ILM uses learners submissions on an anonymous basis for assessment standardisation. By submitting, I agree that ILM may use this script on condition that all information which may identify me is removed. However, if you are unwilling to allow ILM use your script, please refuse by ticking the box: Offices: London: Staffordshire:

18 Learning Outcome / Section 1: Understand the purpose of coaching and mentoring within an organisational context Assessment Criteria (AC) Sufficiency Descriptors [Typical standard that, if replicated across the whole submission, would produce a referral, borderline pass or good pass result] Assessor feedback on AC Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] AC 1.1 Coaching and mentoring are not Limited but sufficient and Full and correct definitions of Define what coaching and defined, or the definitions are correct definitions of both both coaching and mentoring mentoring is within the incorrect, deficient, or coaching and mentoring within within a wide organisational context of an organisation inappropriate for an a narrow organisational context context are provided and explain the organisational context are provided similarities and differences between coaching and mentoring Coaching or mentoring is correctly and appropriately defined, but not both The similarities and differences between coaching and mentoring are not explained, or are incorrect, deficient or inappropriate for an organisational context, or similarities or differences are explained but not both A limited but sufficient and correct account of the practices associated with both coaching and mentoring is given with the reasons for those practices that correctly explains the similarities and differences between coaching and mentoring within a narrow organisational context A full and correct account of the practices associated with both coaching and mentoring is given with the reasons for those practices that fully and correctly explains the similarities and differences between coaching and mentoring within a wide organisational context The similarities and differences between coaching and mentoring are merely listed with no account of the practices associated with coaching and mentoring and the reasons for those practices that correctly explain the similarities and differences / 8 (min. of 4) Pass or Referral Offices: London: Staffordshire:

19 AC 1.2 Identify potential individual, operational and organisational barriers to using coaching or mentoring and develop appropriate strategies for minimising or overcoming these Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] Assessor feedback on AC Potential individual, operational and organisational barriers to using coaching or mentoring are not identified, or are incorrect or inappropriate for an organisational context Appropriate strategies are not developed for minimising or overcoming identified potential barriers, or are incorrect, inappropriate or deficient, or appropriate strategies have been developed for individual barriers or operational barriers or organisational barriers but not all three Potential correct and appropriate individual, operational and organisational barriers to using coaching or mentoring are identified within a narrow organisational context, although why they are potential barriers is imprecise Limited but sufficient correct and appropriate strategies are developed for minimising or overcoming identified potential individual, operational and organisational barriers, although further development of the strategies is required for full implementation Potential correct and appropriate individual, operational and organisational barriers to using coaching or mentoring are precisely identified within a wide organisational context Comprehensive correct and appropriate strategies that require no additional work for full implementation are developed for minimising or overcoming identified potential individual, operational and organisational barriers / 8 (min. of 4) Pass or Referral Offices: London: Staffordshire:

20 AC 1.3 Present the case for using coaching or mentoring to benefit individuals and organisation performance Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] Assessor feedback on AC The case for using coaching or mentoring to benefit individual and organisational performance is not presented, or is incorrect, inappropriate or not proven or the case is presented for benefiting individual or organisational performance but not both The case for using coaching or mentoring is merely stated with no appropriate argument or rationale presented A limited but sufficient correct and appropriate argument or rationale is used to present the case for using coaching or mentoring to benefit individual and organisational performance is presented Relevant but limited argument of the connection between individual and organisational performance A comprehensive correct and appropriate argument or rationale that includes a wide range of organisational and individual implications, resources, success criteria and risks is used to present the case for using coaching or mentoring to benefit individual and organisational performance is presented The case does not argue the connection between individual and organisational performance / 8 (min. of 4) Pass or Referral Section comments (optional): Verification comments (optional): Offices: London: Staffordshire:

21 Learning Outcome / Section 2: Understand the skills, behaviours, attitudes, beliefs and values of an effective coach or mentor Assessment Criteria (AC) AC 2.1 Critically explore the knowledge, skills, and behaviour of an effective coach or mentor Sufficiency Descriptors [Typical standard that, if replicated across the whole submission, would produce a referral, borderline pass or good pass result] Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] The knowledge, skills, and behaviour of an effective coach or mentor are not critically explored, or this is incorrect, inappropriate or deficient Knowledge or skills or behaviour are critically explored but not all three The knowledge, skills, and behaviour of an effective coach or mentor are merely listed or described with no critical exploration referencing relevant theory, idea, practice or experience to evaluate and make a judgement A sufficient but limited and correct and appropriate critical exploration of the knowledge, skills, and behaviour of an effective coach referencing a sufficient but limited range of relevant theory, idea, practice or experience to evaluate and make a judgement, although the evidence base for the judgement is narrow A comprehensive, correct and appropriate critical exploration of the knowledge, skills, and behaviour of an effective coach referencing a wide range of current relevant theory, idea, practice or experience to evaluate and make a sound judgement using a wide evidence base Assessor feedback on AC / 8 (min. of 4) Pass or Referral Offices: London: Staffordshire:

22 AC 2.2 Analyse why coaches or mentors require effective communication skills Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] Assessor feedback on AC Why coaches or mentors require effective communication skills is not explained, or the explanation is incorrect, inappropriate or deficient Effective communication skills are merely listed or described with no account of the practices associated with them and the reasons for those practices that explains why they are required by coaches or mentors A limited but correct and appropriate account is provided of the practices of a sufficient but narrow range of effective communication skills and the reasons for those practices that explains why they are required by coaches or mentors A full correct and appropriate account is provided of the practices of a wide range of effective communication skills and the reasons for those practices that wholly explains why they are required by coaches or mentors / 8 (min. of 4) Pass or Referral Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] Assessor feedback on AC AC 2.3 Review the responsibilities of the coach or mentor to manage relationships (including values and power) and remain ethical and non-judgemental The responsibilities of the coach or mentor to manage relationships (including values and power) is not discussed, or the discussion is incorrect, inappropriate or deficient, or the discussion does not sufficiently address values and power and/or the importance of remaining ethical and nonjudgemental A limited but correct and appropriate discussion of the responsibilities of the coach or mentor to manage relationships includes values and power and the importance of remaining ethical and non-judgemental, although the context for the discussion is limited and references to value, power, ethical and non-judgemental are imprecise A comprehensive, correct and appropriate discussion of the responsibilities of the coach or mentor to manage relationships includes explicit and precise references to values and power and to the importance of remaining ethical and nonjudgemental / 8 (min. of 4) Pass or Referral Section comments (optional): Verification comments (optional): Offices: London: Staffordshire:

23 Learning Outcome / Section 3: Understand the role of contracting and the process to effectively coach or mentor Sufficiency Descriptors Assessment Criteria (AC) [Typical standard that, if replicated across the whole submission, would produce a referral, borderline pass or good pass result] Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] AC 3.1 Review a model or process which should be followed when formally coaching or mentoring A model or process which should be followed when formally coaching or mentoring is not described, or is incorrect, inappropriate or deficient, or is merely stated with no account of its principal features and context to describe what the model or process looks like A limited but sufficient and correct account of its principal features describes an appropriate model or process which should be followed when formally coaching or mentoring, although the context is limited A full and correct account of its principal features describes an appropriate model or process which should be followed when formally coaching or mentoring within a broad context Assessor feedback on AC / 8 (min. of 4) Pass or Referral AC 3.2 Analyse the rationale for and the characteristics of effective contracting within coaching or mentoring Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] Assessor feedback on AC The rationale for effective contracting within coaching or mentoring is not analysed, or is incorrect, inappropriate or deficient The characteristics of effective contracting within coaching or mentoring are not analysed, or are incorrect, inappropriate or deficient A limited but sufficient and correct rationale for effective contracting within coaching or mentoring is analysed, although the reasons and arguments presented for the rationale are limited and do not cover the full scope of effective contracting A narrow range of appropriate and correct characteristics of effective contracting within coaching or mentoring are analysed, although why they are appropriate and correct is imprecise A full and correct rationale for effective contracting within coaching or mentoring is analysed that covers the full scope of effective contracting A wide range of appropriate and correct characteristics of effective contracting within coaching or mentoring have been analysed / 8 (min. of 4) Pass or Referral Offices: London: Staffordshire:

24 AC 3.3 Explain the necessity of exploring the expectations and boundaries of a coaching or mentoring programme with all stakeholders AC 3.4 Justify the rationale for supervision of coaches and mentors in practice Section comments (optional): Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] Assessor feedback on AC The necessity of exploring the expectations and boundaries of a coaching or mentoring programme with all stakeholders is not explained, or exploring expectations or boundaries is explained but not both, or why it is necessary to explore expectations and boundaries is merely stated with no explanation of how this is done to show why it is necessary A limited but sufficient and correct account of how expectations and boundaries of a coaching or mentoring programme are explored with all stakeholders is provided that explains why this is necessary, although the context and/or scope of the coaching or mentoring programme is limited A comprehensive and correct account of how expectations and boundaries of the full scope of a coaching or mentoring programme within a broad context are explored with all stakeholders is provided that fully explains why this is necessary / 8 (min. of 4) Pass or Referral Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] Assessor feedback on AC No rationale is explained, or the rationale is incorrect, inappropriate or deficient, or the supervision of coaches and mentors in practice is merely described with no rationale presented to explain why it is necessary A limited but sufficient and correct rationale is presented that explains why supervision is necessary, although the context and/or scope of coaching or mentoring in practice is limited A full and correct rationale is presented within a broad context that explains why supervision is necessary across the full scope of coaching or mentoring in practice Verification comments (optional): / 8 (min. of 4) Pass or Referral Offices: London: Staffordshire:

25 Learning Outcome / Section 4: Understand the principles of effective coaching or mentoring in practice and how to evaluate benefits Sufficiency Descriptors Assessment Criteria (AC) [Typical standard that, if replicated across the whole submission, would produce a referral, borderline pass or good pass Assessor feedback on AC result] Referral [ca. 2/8] Pass [4/8] Good Pass [ca. 6/8] AC 4.1 Critically review the elements required for effective and integrated coaching or mentoring The elements required for effective and integrated coaching or mentoring are not summarised, or are incorrect, inappropriate or deficient, or the summary does not include how the benefits of coaching should be evaluated A limited but sufficient range of correct and appropriate elements required for effective and integrated coaching or mentoring within a limited context are summarised A comprehensive range of correct and appropriate elements required for effective and integrated coaching or mentoring within a wide context are summarised / 8 (min. of 4) Pass or Referral Offices: London: Staffordshire:

26 AC 4.2 Analyse how the benefits of coaching or mentoring should be evaluated Section comments (optional): Referral [ca. 3/12] Pass [6/12] Good Pass [ca. 9/12] Assessor feedback on AC How the benefits of coaching should be evaluated is incorrect, inappropriate or deficient How the benefits of coaching should be evaluated is merely stated or described with no reference to how an appropriate theory, process or model should be used to provide a solution or conclusion or recommendations How an appropriate theory, process or model should be used to evaluate the benefits of coaching and provide a solution or conclusion or recommendations is correctly and appropriately summarised, although the context and/or scope of the benefits of coaching is limited How an appropriate theory, process or model should be used to evaluate the full scope of the benefits of coaching within a wide context and provide a solution or conclusion or recommendations is correctly and appropriately summarised Verification comments (optional): / 12 (min. of 6) Pass or Referral Assessor s Decision Outcome (delete as applicable): PASS / Signature of Assessor: REFERRAL Date: Outcome (delete as applicable): PASS / REFERRAL / 100 TOTAL MARKS Quality Assurance Use Signature of QA: Date of QA check: Offices: London: Staffordshire:

27 ACTION LIST: Things that you want to do to research, analyse, review back at work to bring into your working projects/assignments.

28 REFLECTION TOPICS: Thinking about yourself, your team, and your current or future projects from the different perspectives that these theories offer. Which topics engage your curiosity the most to go and do further research to bring into your working projects/assignments.

29 Learning Theory 1 Kolb Learning Cycle Theory 2 Honey & Mumford Learning Styles Trait Theory Theory 3 Trait Theory Theory 4 Adair's Action-Centred Leadership Theory 5 Handy's Model Of Organisational Culture Theory 6 Maslow s Hierarchy Of Needs Theory Theory 7 Luft & Ingham Johari window Theory 8 McClelland s 3N Motivational Needs Theory Transactional Vs Transformational Theory 9 Theory 10 Burns'Bennis and Nanus' Bennis and Nanus' Transactional Leadership Theory Transformational Leadership (TL) Theory Behavioural Theory 11 Blake and Mouton 's Leadership Grid Theory 12 Mcgregor's X And Y Theory Theory 13 Tuckman Group Stages Situational Theory 14 Hersey and Blanchard's Situational Leadership Theory Theory 15 Fiedler's Contingency Theory Theory 16 Tannenbaum & Schmidt Continuum Management Style Emotional Intelligence Theory 17 Goleman s Theory Of Emotional Intelligence Theory 18 Berne s Theory Of Transactional Analysis Theory 19 Kubler-Ross s Change Cycle Theory 20 Ernst s Ok Corral Model Theory 21 Elias Porter Strengths Deployment Inventory- Relationship Awareness

30 Change Management Theory 22 Lewin s Unfreeze-Change-Refreeze Model Theory 23 Mckinsey The 7-S Framework Model Theory 24 French and Raven's: Sources Of Power Theory Theory 25 Burke-Litwin's Drivers For Change Business Analysis Theory 26 Theory 27 Theory 28 Swot Analysis Pest/Pestle Analysis Productivity Matrix

31 Theory 1 - HONEY & MUMFORD LEARNING STYLES Theory 2 KOLB LEARNING CYCLE 1. Concrete Experience - (a new experience of situation is encountered, or a reinterpretation of existing experience). 2. Reflective Observation (of the new experience. Of particular importance are any inconsistencies between experience and understanding). 3. Abstract Conceptualization (Reflection gives rise to a new idea, or a modification of an existing abstract concept). 4. Active Experimentation (the learner applies them to the world around them to see what results).

32 Theory 3 - TRAIT THEORY The origins of trait theory are unknown but its purpose is simple. It tries to identify the innate characteristics that distinguish leaders from followers. Unfortunately, over a century of research has failed to reveal a definitive list of traits that all leaders possess. Despite this failure the theory remains popular because people retain a romantic attachment to the idea that leaders are a special breed and have innate characteristics that make them worth following. Anyone who wishes to be considered a leader will need to display several if not all of the following traits. POPULAR TRAITS THAT LEADERS ARE EXPECTED TO DISPLAY INCLUDE: Responsibility Social Skills Intelligence Integrity Selfconfidence Motivational Skills Helicopter Behaviour HOW TO USE IT Use to identify key traits that you need to exhibit consistently if you wish to be considered a leader. Look for opportunities to demonstrate that you have the necessary traits to be a leader. Exhibit self-confidence at all times - especially when you're terrified. How you feel is immaterial. It's how you are perceived that counts. You don't have to be a great talker to be sociable. In any conversation encourage others to talk and actively listen. Do this and people will think you're highly sociable and you'll pick up valuable information. To motivate staff lead by example, show enthusiasm for your team's work and find ways to make staff feel proud of their work. People follow those they trust, so act with integrity and demonstrate that you won't sacrifice any member of staff on the altar of your own ambition. Accept responsibility for the errors that you and your team make. Don't blame others. You need a certain level of intelligence to be a leader. But people seldom follow a genius because they don't believe that a genius could understand their problems. When considering a problem or making a decision, rise like a helicopter above the narrow interests of your own team and make decisions based upon what is best for the entire organisation. Do this consistently and you will be noticed. Identify and demonstrate any sector-specific traits that are relevant. QUESTIONS TO ASK 1. How can I get a clear picture of how staff, colleagues and management see me? 2. How can I build on the positives and eliminate the negatives that my appraisal has thrown up?

33 Theory 4 - ADAIR'S ACTION-CENTRED LEADERSHIP Activities of the Leader TASK FUNCTIONS Defining the task Make a plan Allocating work and resources Controlling quality and tempo of work Checking performance against the plan Adjusting the plan GROUP FUNCTIONS Setting Standards Maintaining discipline Building team sprit Encouraging Giving a sense of purpose Consulting Appointing sub-leaders Communicating Training the group INDIVIDUAL FUNCTIONS Attending to personal problems Assessing skills Clarifying individual targets Delegating Advising, listening and enthusing Assisting and reassuring Recognising effort Counselling Assessing performance Guiding and training Developing Skills - Between 1960 and 1967, Dr John Adair developed Leadership Training based on an approach called Action Centred Leadership (A.C.L., also called Functional Leadership). This approach is often contrasted with previous thinking as being based on what a leader does rather than what a leader needs to be. The contrast is not so great as is often claimed, and focusing on this issue can detract from the major breakthrough which was to recognise that developing leadership skills requires an easy to use framework against which to observe, analyse, experiment with and practice ways of doing things as a leader.

34 Theory 4 - ADAIR'S ACTION-CENTRED LEADERSHIP i) TASK RELATED: Leaders are appointed to get results out of people. In a sense, all leadership actions should be task related, since we are all paid to come to work to achieve tasks. However, some issues handled by leaders are closely and directly concerned with the physical cause and effect, the logic, the technology, the resource demands and constraints of tasks. This contrasts with other issues which can effect task achievement and which are related to either individuals or the team. ii) INDIVIDUAL RELATED: Issues falling under this classification are those which are directly related to individuals of the work group; eg, questions about the abilities of individuals and how they match up to the demands of the task; what needs do individuals have which can be satisfied through working on the task or which conflict with the task? What talents could any individual offer towards solving the task? iii) TEAM RELATED: Group related issues are seen when one looks at the 'personality' of the group, at the relationship between individuals and the group, and at relationships between individuals within the group. For example, to what extent do the relationships nurture or stunt task achievement, to what extent does the group have a sense of identity and how does that identify influence achievement? HOW TO USE IT Where the needs of the person, team and task clash, base your decision about which area to prioritise by reference to what is best for the organisation in the long term. The organisation employs you to take decisions in its best interest, not those of any group or individual in the organisation. Where the need of the person conflicts with the team, base your decision on what is best for the team. This default position recognises that when anyone joins a team they sign up to the unwritten law that they must subordinate their needs to the good of the team. The above approaches are underpinned by the old maxim that decisions should be based on the greatest good for the greatest number of people. If you are happy with this approach it's not a bad default position to start from. Be aware that there will always be exceptions to the approach outlined above where the need of an individual or team rightly trumps those of the task and organisation. If your decision angers an individual or team don't let the grievance fester. Talk to the aggrieved party and explain the reasons for your decision. They may still disagree with your decision but they will be happy that they had the opportunity to voice their anger (see Theory 83). QUESTIONS TO ASK 1. Which set of needs do I generally prioritise? 2. How difficult have I found it to vary my default position?

35 Theory 4 - ADAIR'S ACTION-CENTRED LEADERSHIP KEY FUNCTIONS TASK TEAM INDIVIDUAL DEFINE Involve each person OBJECTIVES Gain acceptance C O M M U N I C A T I O N PLAN DECIDE ORGANISE CONTROL SUPPORT REVIEW Clarify task Obtain information Identify resources and constraints Consider options Establish priorities Plan time Establish control Brief plan Obtain feedback Maintain standards Report progress Adjust plan if necessary Set personal example Evaluate results against objectives Consider future action Assemble team Give reasons why Define accountability Consult Encourage ideas Agree standards Structure Answer questions Prepare and train Co-ordinate Maintain external cooperation Relieve tension Recognise team's success Learn from setbacks Listen Assess abilities Delegate Agree targets Check understanding Counsel Enthuse Guide and encourage Recognise effort Discipline Appraise performance Identify further training needs Aid personal growth

36 Theory 5 - HANDY'S MODEL OF ORGANISATIONAL CULTURE Charles Handy suggests that all organisational cultures are comprised of four different sub-cultures. It is the precise mix/influence of these sub-cultures that produce the organisation's unique culture. The sub-cultures are: Club (or power) A spider's web portrays this culture. The spider is all-powerful and if they move, the web shakes and everyone jumps. In club cultures power resides with one person or a small elite. Role (or bureaucratic) A Greek temple describes this culture. Each pillar of the temple represents a key function/department. The organisation's structure is hierarchical and staff are expected to work to their job description and follow laid-down rules and procedures. Task (or team) A net represents this culture. Teamwork is extensively used to resolve problems. On completion of the task the team is disbanded. Existential (or individual) Stars in the firmament portray this culture. It's based on individuals whose allegiance to the organisation is overridden by their own individual needs. Barristers' chambers typify this type of culture. Although elements of all four cultures will be present in every organisation's culture it is likely that one will dominate the others. HOW TO USE IT Use Handy's organisational culture questionnaire when you want to get a quick overview of your culture and how you feel about it. Use Handy's questionnaire from the Gods of Management (available online) to identify your organisation's culture and any mismatch between it and the type of culture you would like to work in. If you are happy to work in the culture then identify a successful manager within your organisation. Analyse how they behave, and model your behaviours on what they do. In a club culture your authority, power and credibility will depend upon your relationship with the central power source, be that an individual or group. To succeed you have to become a member of the 'in-group' and do things in a way it approves of. In a role culture the expert who understands the organisation's rules and procedures has tremendous power and influence. Therefore, no matter how boring it is, study the organisation's rules, regulations and procedures and know how to use them to your benefit. Task cultures offer young managers the opportunity to shine. Volunteer to chair any team that reports to the senior management. If you're a senior manager use the establishment of teams as a way of developing and rewarding your own staff. In every organisation there are a few people who believe that the organisation exists for their benefit. Having one or two of these eccentrics around can be useful as they often think outside the box. However, as manager you need to harness their abilities while controlling their excesses. QUESTIONS TO ASK 1. What is the organisation's dominant culture? 2. What are the implications of the organisation's culture for my management style?

37 Theory 6 - MASLOW'S HIERARCHY OF NEEDS THEORY Abraham Maslow's pyramid represents a hierarchy of needs that must be satisfied in a sequential order from bottom to top. He suggests that failing to satisfy a need at any level will prevent progression to the next level. The needs can be divided into two categories. Basic needs include biological and safety. Growth needs include affiliation, esteem and self-fulfilment. Maslow argues that people die if their basic needs aren't satisfied and feel inferior and dissatisfied if their affiliation and esteem needs go unfulfilled and if they cannot achieve selfactualisation. Self- Fulfilment Esteem Belonging Safety Physiological Physiological Safety Belonging Esteem Self-fulfilment Biological basic survival needs (food, warmth, rest) Freedom from fear (certainty, stability, organisational) Affiliation - Sense of belonging (affection and love or just part of a team) Self-belief and satisfaction (reputation, respect, pride, freedom, privacy) Self-actualisation - Reaching full potential Managers have a responsibility to ensure that an employee's basic needs are met and to create a climate in which employees can develop. HOW TO USE IT Ensure that your team's basic needs are met. These include food, water, warmth, rest and shelter. These equate to a safe working environment free from physical and psychological harm. Heating, lighting and ventilation must meet required standards and you should regularly compare pay and conditions with what your competitors are offering. Once basic needs are met start to work on satisfying some of the higher level needs. Encourage social interaction and team spirit. Some organisations have dress-down Fridays or social events/competitions as a means of encouraging less formality and greater interaction. Build on this by developing opportunities for teamwork. Design challenging jobs. Give positive feedback and praise regularly. Delegate responsibility and offer developmental training opportunities. Ensure esteem by focussing on people being valued. Achieving self-fulfilment at work by creating conditions that are challenges for all staff, encouraging creativity and removing any obstacles that might block a person's progress. QUESTIONS TO ASK 1. What are my lifetime ambitions? 2. What would count as self-actualisation for me?

38 Theory 7 - THE JOHARI WINDOW Using Self-Discovery and Communication to Build Trust, Joseph Luft and Harry Ingham developed the Johari Window in The tool is a useful visual representation of a person's character, and is represented with a four-quadrant grid. The goal of the Johari Window is to demonstrate the importance of open communication, and to explain its effect on group trust. The model also teaches you the importance of self-disclosure, and shows how group feedback can help you grow, both personally and professionally. Your Open Area is expanded vertically with self-disclosure, and horizontally with feedback from others on your team. By encouraging healthy self-disclosure and sensitive feedback, you can build a stronger and more effective team. If so, then the chances are that you work extremely effectively together. You know your co-workers very well, and there is a solid foundation of trust between you. As a result of this positive working environment, you probably accomplish a great deal with this group. Explaining the Johari Window The Johari Window is shown as a four-quadrant grid, which you can see in the diagram below. The four quadrants are: 1. Open Area (Quadrant 1) This quadrant represents the things that you know about yourself, and the things that others know about you. This includes your behavior, knowledge, skills, attitudes, and 'public' history. 2. Blind Area (Quadrant 2) This quadrant represents things about you that you aren't aware of, but that are known by others. This can include simple information that you do not know, or it can involve deep issues (for example, feelings of inadequacy, incompetence, unworthiness, or rejection), which are often difficult for individuals to face directly, and yet can be seen by others. 3. Hidden Area (Quadrant 3) This quadrant represents things that you know about yourself, but that others don't know. 4. Unknown Area (Quadrant 4) This last quadrant represents things that are unknown by you, and are unknown by others.

39 Theory 7 - THE JOHARI WINDOW The End Goal The ultimate goal of the Johari Window is to enlarge the Open Area, without disclosing information that is too personal. The Open Area is the most important quadrant, as, generally, the more your people know about each other, the more productive, cooperative, and effective they'll be when working together. The process of enlarging the Open Area quadrant is called 'self-disclosure,' and it's a give-and-take process that takes place between yourself and the people that you're interacting with. As you share information, your Open Area expands vertically and your Hidden Area gets smaller. As people on your team provide feedback to you about what they know or see about you, your Open Area expands horizontally, and your Blind Area gets smaller. Done well, the process of give and take, sharing, and open communication builds trust within the group. At first glance, the Johari Window may look like a complex tool, but it's actually very easy to understand with just a little effort. As such, it provides a visual reference that people can use to look at their own character, and it illustrates the importance of sharing, being open, and accepting feedback from others. People who have a large Open Area are usually very easy to talk to, they communicate honestly and openly with others, and they get along well with a group. People who have a very small Open Area are difficult to talk to, they seem closed off and uncommunicative, and they often don't work well with others, because they're not trusted. Other people might have a large Blind Area, with many issues that they haven't identified or dealt with yet. However, others can see these issues clearly. These people might have low self-esteem, or they may even have anger issues when working with others. Using the Tool The process of enlarging your Open Area involves self-disclosure. Put simply, the more you (sensibly) open up and disclose your thoughts, feelings, dreams, and goals, the more you're going to build trust with your team. Try to avoid 'over-sharing' in your self-disclosure. Disclosing small, harmless items builds trust, however, avoid disclosing personal information which could damage people's respect for you. Another important aspect of enlarging your Open Area is accepting feedback from others on your team. This feedback helps you learn things about yourself that others can see, but that you can't. This is important for personal growth. Be careful in the way you give feedback. Some cultures have a very open and accepting approach to feedback, but others don't. You can cause incredible offense if you offer personal feedback to someone who's not used to it, so be sensitive, and start gradually. If someone is interested in learning more about you, they can reciprocate by disclosing information in their hidden quadrant. For example, imagine that you tell someone on your team that you're interested in going to business school to get your MBA. She responds by telling you that she enrolled just a few months ago, and then she tells you all about the MBA program that she's involved with. You reciprocate by opening up about your career goals, and you discuss how an MBA will help you achieve them.

40 Theory 7 - THE JOHARI WINDOW As a person's level of confidence and self-esteem rises, it becomes easier to invite others to comment on their blind spots. Obviously, active and empathic listening skills are useful in this exercise. The Johari Window in a Team Context Keep in mind that established team members will have larger open areas than new team members. New team members start with smaller open areas, because they haven't yet had the opportunity to share much information about themselves. Feedback The importance of feedback in this process can't be overstated. It's only by receiving feedback from others that your Blind Area will be reduced, and your Open Area will be expanded. Group members should strive to help other team members to expand their Open Area by offering constructive feedback. The size of the Open Area can also be expanded vertically downwards into the Hidden Area, as people disclose information and feelings to the group. Also, group members can help a person expand their Open Area into the Hidden Area by asking personal questions. Managers and team leaders play a key role here, by teaching team members how to give constructive feedback to individuals about their own Blind Areas.

41 Theory 8 MECLLELAND 3N MOTIVATIONAL THEORY American David Clarence McClelland ( ) achieved his doctorate in psychology at Yale in 1941 and became professor at Wesleyan University. He then taught and lectured, including a spell at Harvard from 1956, where with colleagues for twenty years he studied particularly motivation and the achievement need. He began his McBer consultancy in 1963, helping industry assess and train staff, and later taught at Boston University, from 1987 until his death. McClelland is chiefly known for his work on achievement motivation, but his research interests extended to personality and consciousness. David McClelland pioneered workplace motivational thinking, developing achievement-based motivational theory and models, and promoted improvements in employee assessment methods, advocating competency-based assessments and tests, arguing them to be better than traditional IQ and personality-based tests. His ideas have since been widely adopted in many organisations, and relate closely to the theory of Frederick Herzberg. David McClelland is most noted for describing three types of motivational need, which he identified in his 1961 book, The Achieving Society: achievement motivation (n-ach) authority/power motivation (n-pow) affiliation motivation (n-affil)

42 Theory 8 MECLLELAND 3N MOTIVATIONAL THEORY These needs are found to varying degrees in all workers and managers, and this mix of motivational needs characterises a person's or manager's style and behaviour, both in terms of being motivated, and in the management and motivation others. The need for achievement (n-ach) The n-ach person is 'achievement motivated' and therefore seeks achievement, attainment of realistic but challenging goals, and advancement in the job. There is a strong need for feedback as to achievement and progress, and a need for a sense of accomplishment. The need for authority and power (n-pow) The n-pow person is 'authority motivated'. This driver produces a need to be influential, effective and to make an impact. There is a strong need to lead and for their ideas to prevail. There is also motivation and need towards increasing personal status and prestige. The need for affiliation (n-affil) The n-affil person is 'affiliation motivated', and has a need for friendly relationships and is motivated towards interaction with other people. The affiliation driver produces motivation and need to be liked and held in popular regard. These people are team players. McClelland said that most people possess and exhibit a combination of these characteristics. Some people exhibit a strong bias to a particular motivational need, and this motivational or needs 'mix' consequently affects their behaviour and working/managing style. Mcclelland suggested that a strong n-affil 'affiliationmotivation' undermines a manager's objectivity, because of their need to be liked, and that this affects a manager's decision-making capability. A strong n-pow 'authority-motivation' will produce a determined work ethic and commitment to the organisation, and while n-pow people are attracted to the leadership role, they may not possess the required flexibility and people-centred skills. McClelland argues that n-ach people with strong 'achievement motivation' make the best leaders, although there can be a tendency to demand too much of their staff in the belief that they are all similarly and highly achievement-focused and results driven, which of course most people are not.

43 Theory 8 MECLLELAND 3N MOTIVATIONAL THEORY McClelland's particular fascination was for achievement motivation, and this laboratory experiment illustrates one aspect of his theory about the affect of achievement on people's motivation. McClelland asserted via this experiment that while most people do not possess a strong achievement-based motivation, those who do, display a consistent behaviour in setting goals: Volunteers were asked to throw rings over pegs rather like the fairground game; no distance was stipulated, and most people seemed to throw from arbitrary, random distances, sometimes close, sometimes farther away. However a small group of volunteers, whom McClelland suggested were strongly achievementmotivated, took some care to measure and test distances to produce an ideal challenge - not too easy, and not impossible. Interestingly a parallel exists in biology, known as the 'overload principle', which is commonly applied to fitness and exercising, ie., in order to develop fitness and/or strength the exercise must be sufficiently demanding to increase existing levels, but not so demanding as to cause damage or strain. McClelland identified the same need for a 'balanced challenge' in the approach of achievement-motivated people. McClelland contrasted achievement-motivated people with gamblers, and dispelled a common preconception that n-ach 'achievement-motivated' people are big risk takers. On the contrary - typically, achievement-motivated individuals set goals which they can influence with their effort and ability, and as such the goal is considered to be achievable. This determined results-driven approach is almost invariably present in the character make-up of all successful business people and entrepreneurs. McClelland suggested other characteristics and attitudes of achievement-motivated people: achievement is more important than material or financial reward. achieving the aim or task gives greater personal satisfaction than receiving praise or recognition. financial reward is regarded as a measurement of success, not an end in itself. security is not prime motivator, nor is status. feedback is essential, because it enables measurement of success, not for reasons of praise or recognition (the implication here is that feedback must be reliable, quantifiable and factual). achievement-motivated people constantly seek improvements and ways of doing things better. achievement-motivated people will logically favour jobs and responsibilities that naturally satisfy their needs, ie offer flexibility and opportunity to set and achieve goals, eg., sales and business management, and entrepreneurial roles. McClelland firmly believed that achievement-motivated people are generally the ones who make things happen and get results, and that this extends to getting results through the organisation of other people and resources, although as stated earlier, they often demand too much of their staff because they prioritise achieving the goal above the many varied interests and needs of their people.

44 Theory 9 - BURNS' TRANSACTIONAL LEADERSHIP THEORY It was James MacGregor Burns who popularised the phrase 'transactional leadership'. In doing so he described a process that is a natural part of human co-operation between leaders and followers, managers and staff and parents and children. Burns' theory describes the, often informal, bartering process that goes on between leaders and staff all the time. He identified two very different strategies that managers can use. Constructive transactions occur: When the leader offers inducements to the follower to comply with their request. For example, 'If you work tonight you can have Friday afternoon off. Corrective or coercive transactions occur: When the leader threatens the follower if they refuse to co-operate or if they fail to stop acting in a certain way. For example, 'If you do that again I'll make sure you get no overtime for the next month. Burns believed that the range of inducements and threats available to a leader were virtually limitless and were not restricted to financial rewards or sanctions. HOW TO USE IT Use to obtain compliance from a member of staff who needs to be persuaded to comply with your request. Confirm the limits of your power/authority. As a leader your ability to deliver on what you promise or threaten is vital. You must deliver on both or you'll lose credibility. Find out what makes your staff tick. It's alright reading about the various factors that either motivate or demotivate followers. But every individual is different. You need to identify specifically what your followers really value and fear and use this knowledge in your negotiations. This data-gathering exercise must be on-going. It starts on the day you arrive and only finishes when you move on to a new job. Start with constructive transactions. A willing volunteer is always better than some poor sod that has been coerced into doing a job. QUESTIONS TO ASK 1. If I constantly engage in constructive transactions will staff see me as a soft touch and/or expect rewards for everything they do? 2. What effect will the use of coercive transactions have on levels of co-operation and team spirit?

45 Theory 10 - BENNIS AND NANUS' TRANSFORMATIONAL LEADERSHIP (TL) THEORY Following interviews with a range of leaders Warren Bennis and Burt Nanus identified four strategies that leaders use when trying to transform their organisations using a vision for their organisations based on values and beliefs and not management-speak. These are shown in the figure below. STRATEGY 1 Develop a clear and understandable vision tor the organisation STRATEGY 2 Act as social architects for the organisation by changing the organisational culture STRATEGY 3 Create trust throughout the organisation by making explicit their values and views STRATEGY 4 Identify their own strengths and weaknesses and encourage their followers to do the same HOW TO USE IT Develop a clear vision for your team. Your vision has to be simple, understandable and worthwhile and unless you are running the organisation it must be aligned with the organisation's overall aims and objectives. Decide if the existing organisational culture supports or hinders the achievement of your vision. If it impedes it, and your vision is aligned with the organisation's, then you have every right to replace it with one that reflects the organisation's vision. Embarking on such a change requires careful planning. Create a bond of trust with your staff by making clear your values, views and position and stand by these even when the going gets tough. Such consistency of behaviour will increase the trust that people have in you which will make changing the organisational culture considerably easier. Transformational leaders know their strengths and weaknesses. They display no false modesty or pride, they emphasise their strengths and use others to compensate for their weakness. You must do the same. Play to your strengths and surround yourself with good people who are strong in those areas where you are weak. You are not showing weakness if you say 'I don't understand'. It's the idiot who pretends to understand and then reveals their ignorance with every word they say. QUESTIONS TO ASK 1. Whose support do I need to bring about cultural and organisational change? 2. Who is likely to try and block cultural and organisational change and how do I deal with them?

46 Theory 11 - BLAKE AND MOUTON 'S LEADERSHIP GRID Blake and Mouton built upon basic style theory and produced their Leadership Grid. The grid identifies how much concern the leader has for getting the job done (task-centered) and for their staff (person-centered). They identified five leadership styles. High Country club management Team management Social Middle-of-the-road Management Impoverished management Task compliance management Low Task High Source: Adapted from Northouse, P. G., Leadership: Theory and Practice (4th edn) (Grid International, Inc., 2006). Country club management: Leader has little interest in task completion but a high concern for the social needs of staff. Task compliance management: Leader has little concern for staff's needs. Their overwhelming concern is with achievement of task/ targets. Middle-of-the road management: Leader is content to compromise. They seek to satisfy rather than maximise both the well-being of staff and production. Impoverished management: Leader has very little interest in either staff or task. They do the bare minimum to get by. Team management: Leader emphasises both the need for high levels of achievement and excellent staff relations. Blake and Mouton suggest that this is the approach all leaders should use. HOW TO USE IT If you're a team manager, great. But beware you need to appear committed and caring not easy going. If you're a country club manager this approach may be appropriate after a particularly tough period of work, but it can't continue indefinitely. You must eventually place greater emphasis on task completion. If you're a middle-of-the-road manager Blake and Mouton will tell you that this approach has little merit. But is it realistic to expect staff to consistently work flat out? An approach that produces work levels in the 80-90% range, with an ability to perform at the 90%+ level when required may be a good strategy for longevity. Only you can decide if this is an acceptable approach in your organisation. If you're a task manager with an emphasis on getting the job done then your approach will be clearly appropriate in periods of crisis or extreme pressure. However, if used as your default position you should aim to achieve a better balance between a concern for work and people. If you are an impoverished manager you are either in the wrong organisation and you need to change jobs or you have no interest in management, in which case you need to change careers. Recognise that a single style will not work in every situation. Therefore remain flexible and adapt your management style to changing circumstances. QUESTIONS TO ASK 1. Which leadership style is used by the most respected/successful leaders in my organisation? 2. Does my leadership style reflect or clash with the most popular style in the organisation?

47 Theory 12 - MCGREGOR'S X AND Y THEORY Douglas McGregor identified two different sets of assumptions made by managers about their staff. Each set of assumptions represents an extreme view of people and can be summarised as follows: Theory X managers believe that most people... Are driven by monetary concerns Will avoid work when possible Lack ambition and dislike responsibility Are indifferent to organisational needs Lack creativity and resist change Theory Y managers believe that most people... Are driven by job satisfaction Actively seek work Show ambition and seek responsibility Are committed to organisational objectives Are creative and welcome change McGregor believes that every manager's actions are governed by how they view human nature. A Theory X manager will attempt to exercise tight control by close supervision, demands for strict adherence to rules and threats of punishment. A Theory Y manager will create an environment where effort is recognised and rewarded and praise is given regularly. HOW TO USE IT Use to identify which stereotypical type of manager you are closest to and consider how this impacts on your actions and how you are perceived by staff. Don't assume that modern managers should embrace Theory Y and disregard Theory X. In the real world you may have to deal with people whose only motivation is to earn as much money as possible for the least amount of effort. Recognise that if you choose Theory X your style will be about command, control and fear and that you will rely on coercion, implicit threats and tight supervision to manage your staff. Do you want this? If you choose Theory Y you will promote cooperation, rewards and good working relationships. But how are you going to deal with those members of staff who see such an approach as weakness? Adopt an approach that lies somewhere between the two extremes of X and Y but recognise that there is a danger in switching between them. Staff expect managers to be consistent. Switching approaches may cause confusion. To avoid confusion set clear limits for staff actions. Identify those rules, procedures and deadlines where you expect total compliance. Make it clear what failure to comply will mean and enforce your rules consistently. Manage your team's remaining activities using a Theory Y inspired approach. Make yourself available to staff, listen to what they have to say and recognise that sometimes staff need you to believe in them before they can do their best work. Always maintain basic ground rules. They keep you and the organisation safe from ne'er-do-wells who just want to take you for a ride. QUESTIONS TO ASK 1. On a continuum, where Theory X is 1 and Theory Y is 100, where would you place yourself? On the same continuum, where would your staff place you? 2. Given your organisation's culture how acceptable is your approach?

48 Theory 13 - TUCKMAN'S GROUP STAGES FORMING STORMING NORMING PERFORMING Team-Development Model Dr Bruce Tuckman published his Forming Storming Norming Performing model in He added a fifth stage, Adjourning, in the 1970s. The Forming Storming Norming Performing theory is an elegant and helpful explanation of team development and behaviour. Tuckman's model explains that as the team develops maturity and ability, relationships establish, and the leader changes leadership style. Beginning with a directing style, moving through coaching, then participating, finishing delegating and almost detached. At this point the team may produce a successor leader and the previous leader can move on to develop a new team. Performing Adjourning Norming Storming Forming Forming - Stage 1 High dependence on leader for guidance and direction. Little agreement on team aims other than received from leader. Individual roles and responsibilities are unclear. Leader must be prepared to answer lots of questions about the team's purpose, objectives and external relationships. Processes are often ignored. Members test tolerance of system and leader. Leader directs (similar to Situational Leadership 'Telling' mode). Storming - Stage 2 Decisions don't come easily within group. Team members vie for position as they attempt to establish themselves in relation to other team members and the leader, who might receive challenges from team members. Clarity of purpose increases but plenty of uncertainties persist. Cliques and factions form and there may be power struggles. The team needs to be focused on its goals to avoid becoming distracted by relationships and emotional issues. Compromises may be required to enable progress. Norming - Stage 3 Agreement and consensus largely forms among the team, who respond well to facilitation by leader. Roles and responsibilities are clear and accepted. Big decisions are made by group agreement. Smaller decisions may be delegated to individuals or small teams within group. Commitment and unity is strong. The team may engage in fun and social activities. The team discusses and develops its processes and working style. There is general respect for the leader and some of leadership is more shared by the team. Leader facilitates and enables (similar to the Situational Leadership 'Participating' mode).

49 Theory 13 - TUCKMAN'S GROUP STAGES Performing - Stage 4 The team is more strategically aware; the team knows clearly why it is doing what it is doing. The team has a shared vision and is able to stand on its own feet with no interference or participation from the leader. There is a focus on over-achieving goals, and the team makes most of the decisions against criteria agreed with the leader. The team has a high degree of autonomy. Disagreements occur but now they are resolved within the team positively, and necessary changes to processes and structure are made by the team. The team is able to work towards achieving the goal, and also to attend to relationship, style and process issues along the way. Team members look after each other. The team requires delegated tasks and projects from the leader. The team does not need to be instructed or assisted. Team members might ask for assistance from the leader with personal and interpersonal development. Leader delegates and oversees (similar to the Situational Leadership 'Delegating' mode). Key Team Leaders Behaviours: Stage 1 Forming Key Team Leaders Behaviours: - create safety and comfort - make objectives and tasks clear and explicit - make people feel included, welcomed and involved - create opportunities for contact time for people to get to know one another - be directive without being authoritarian, create clear structures for meetings, the way the team is to work, that can evolve and change over time and in which participation can occur. - be prepared to allow a degree of dependency on the leader - take initiatives - try to avoid being excessively anxious - value previous experience of new team members - consider new members physical surroundings, eg desk etc. Concerns & Feelings: - am I going to be liked/accepted? - do I need to be liked/accepted? - are these the right people for the team? - how anxious do I feel? Stage 2 Storming Key Team Leader Behaviours: - allow conflict to surface in the group; don't avoid, deflect, deny or reject conflict - legitimise the expression of different opinions and feelings - respond to challenges constructively - don't give in to blackmail or threats - accept responsibility for and confirm own leadership - encourage negotiation of responsibilities - avoid scapegoating and polarisation - differentiate between conflicts about task and interpersonal conflicts - be clear about limits; what is and what is not negotiable - try to take feedback seriously without collapsing under criticism - distinguish between you and your role Concerns & Feelings: - is this all going to fall apart? - do I really know what I am doing? - how much should I stay in control? - likely feelings of anger, frustration, resentment or apathy?

50 Theory 13 - TUCKMAN'S GROUP STAGES Stage 3 Norming Key Team Leader Behaviours: - help create norms rather than rules - make norms conscious and explicit - allow norms to be created by the team as far as possible, not entirely by leader - be honest about own values and norms - create climate where feedback can be more openly given and received - build on and develop roles, use performance appraisal/supervision - don't allow team to get too rigid about ways of doing things - don't be reluctant to allow further autonomy and lose centrality of team leader Concerns & Feelings: - likely feelings of relief - sense of progress - possibility of boredom now that life is more settled Stage 4 Performing Key Team Leader Behaviours: - challenge existing norms and assumptions - develop creativity, allow room for mistakes and experimentation - allow others to lead, let go as far as possible of control, just hold minimal control - create more sense of equality in team, partnership and interdependence - don't allow team to get too cosy and internally focused, develop relationships with external individuals/teams/departments - link performance and development appraisal - keenly monitor team performance Concerns & Feelings: - feeling good, involved, committed, that the whole of you is being used - more able to relax with and enjoy the team - excitement of achievement Stage 5 Mourning/Adjourning Key Team Leader Behaviours: - predicting varied individual reactions to endings (sometimes endings trigger strong individual feelings) - communicating maximum clarity about timing of end-point, letting people know of ending well in advance - help create appropriate ending rituals, eg meals, parties, that have real meaning and are not just going through the motions - helping individuals and team learn from their work together as a whole; encourage reminiscing - allowing and facilitating expressions of appreciation, acknowledgement of contributions within the team and towards the leader - helping individuals plan and prepare for the future, (eg next job, next project etc) - celebrate successful outcome(s) Concerns & Feelings: - feelings of sadness at ending - satisfaction at successful outcome(s)

51 Theory 13 - TUCKMAN'S GROUP STAGES Tuckman's Forming Storming Norming Performing Model Tuckman's fifth stage - Adjourning Bruce Tuckman refined his theory around 1975 and added a fifth stage to the Forming Storming Norming Performing model - he called it Adjourning, which is also referred to as Deforming and Mourning. Adjourning is arguably more of an adjunct to the original four stage model rather than an extension - it views the group from a perspective beyond the purpose of the first four stages. The Adjourning phase is certainly very relevant to the people in the group and their wellbeing, but not to the main task of managing and developing a team, which is clearly central to the original four stages. Adjourning - Stage 5 Tuckman's fifth stage, Adjourning, is the break-up of the group, hopefully when the task is completed successfully, its purpose fulfilled; everyone can move on to new things, feeling good about what's been achieved. From an organisational perspective, recognition of and sensitivity to people's vulnerabilities in Tuckman's fifth stage is helpful, particularly if members of the group have been closely bonded and feel a sense of insecurity or threat from this change. Feelings of insecurity would be natural for people with high 'steadiness' attributes (as regards the 'four temperaments' model) and with strong routine and empathy style.

52 Theory 14 - HERSEY AND BLANCHARD'S SITUATIONAL LEADERSHIP THEORY Ken Blanchard's and Paul Hersey's situational leadership theory is widely used and popular with managers because it provides clear advice on how to lead staff. Dr. Hersey s original Situational Leadership Model is based on the relationship between leaders and followers and serves as a framework to analyse each situation based on: The amount of guidance and direction (task behavior) a leader gives The amount of socio-emotional support (relationship behaviour) a leader provides The readiness level that followers exhibit in performing a specific task, function, or objective It is important to note that followers do not progress through the model from directing to delegating in a linear fashion. As each new task is delegated the role of the leader is to identify what type of support, if any, the member of staff requires to successfully complete the new task.

53 Theory 14 - HERSEY AND BLANCHARD'S SITUATIONAL LEADERSHIP THEORY Situational Leaders learn to demonstrate four core, common and critical leadership competencies: Diagnose: Understand the situation they are trying to influence Adapt: Adjust their behavior in response to the contingences of the situation Communicate: Interact with others in a manner they can understand and accept Advance: Manage the movement The Situational Leadership Model provides leaders with an understanding of the relationship between an effective style of leadership and the level of readiness followers exhibit for a specific task. HOW TO USE IT To use situational theory effectively you need to know and understand the people who work for you. Start collecting that information now! Identify the task that you want completed. Use your knowledge of the staff, their experience, existing workload and priorities to select a person to do the job. Let's call that person Charlie. s Make an initial judgement as to which of the four approaches you will use with Charlie. Discuss with Charlie what needs to be done. Encourage them to ask questions and identify what information or support is needed from you to do the job. Use open and closed questions to assess how well Charlie understands the task and how confident they feel about completing the job. Based on the answers decide if your initial judgement about Charlie's suitability for the task was correct. If in doubt err on the side of caution and select an approach which allows for additional support to be provided if required. Delegate the task and provide a deadline for completion. Monitor progress. If required, schedule regular meetings to discuss progress. Where a delegating approach has been used such meetings may only last a couple of minutes. But where a directing approach has been used they may last much longer. Regardless of which approach is used make it clear to Charlie that if any problems arises you are available to help. On successful completion thank Charlie for the work and use the two most motivational words available to any leader: 'Well done'). This approach can also be used when dealing with an entire team. QUESTIONS TO ASK 1. How good am I at delegating? Do I only delegate to one or two trusted people? 2. Have I the courage/confidence to trust my staff?

54 Theory 15 - FIEDLER'S CONTINGENCY THEORY Fred Fiedler's contingency theory tries to match leaders to posts in which they will be successful. It's called contingency theory because it suggests that a leader's effectiveness will be contingent upon how well their style of leadership fits the post they hold. THE FAVOURABLENESS OF THE POST IS ASSESSED USING THREE FACTORS: 1. The relationship between the leader and their followers. Is it good, bad or indifferent? 2. The level of structure in the work undertaken by the followers. For example, work in any fast food chain is highly structured with written instructions on how to complete every process. Compare that to a marketing manager for an arts organisation who is given wide discretion in how to do their job - low structure. 3. The positional power of the leader. That is, to what extent the leader can punish or reward followers? Taken together the above factors describe how favourable the situation is to the leader, Fiedler argues that situations are most favourable when there are good leader/follower relations, the task is well defined and there is strong leadership position power. Situations are unfavourable when leader/staff relationships are poor, the task is unstructured and the leader has weak positional power. HOW TO USE IT Use to assess how favourable or unfavourable your situation is and identify which factors you need to address to improve the situation. Use contingency theory to analyse your position and identify the source of any problems you face. Is it the staff, the nature of the work, your lack of power or a combination of all three that is the problem? Once you have identified the problem, devise a course of action to resolve the issue. Often it's just one person that is the problem. Usually, they see themselves as the unofficial leader of the team and are afraid of losing their power. Either win them over or, if that fails, use all your powers to bring them into line. But once you start such a struggle you have to win. Lose and you are finished. If it's the nature of the work that makes it difficult to control the actions of staff, establish procedures that require them to report to you regularly on their progress/performance. Also set clear limits to the discretion they can exercise. Power is seldom given to you, you have to take it. So use the power/ authority that comes with your position to sort the problem out. Few will dispute your right to use it. Contingency theory suggests that when you find yourself in an unfavourable situation you should change the situation not your leadership approach. You may decide that in many situations it is quicker and easier to change your leadership approach. QUESTIONS TO ASK 1. Is there a single person or issue that is the source of the problems I face? 2. Is the job for me? It may genuinely be the case that you are not suited to this particular post. If so, get out.

55 Theory 16 TANNENBAUM AND SCHMIDT CONTINUUM The Tannenbaum and Schmidt Continuum also correlates in a way to the models above - essentially that management style tends to offer more freedom as the group matures. The diagonal line loosely equates to the dotted line on the other two models. As the team matures and becomes more self-sufficient and self-directing, so the manager's style should react accordingly, ideally becoming more detached, more delegating, encouraging and enabling the group to run itself, and for a successor (or if you are a good manager or a lucky one, for more than one successor) to emerge. This simple overview of the Tuckman forming storming performing norming model offers a simple easy way to understand how groups develop. Tuckman's model is especially helpful in training people about group work because it relates so obviously to many other theories about how groups develop.

56 Theory 17 - GOLEMAN'S THEORY OF EMOTIONAL INTELLIGENCE Daniel Goleman's work in the 1990s on emotional intelligence (El) popularised the idea that it is not sufficient for managers to have a high IQ and be technically skilled. If they wanted to win the hearts and minds of staff they also needed to be emotionally intelligent. Goleman identified five characteristics that managers needed to develop if they were to be successful by increasing self-awareness and understanding of others. These are: Self-awareness Motivation Empathy EMOTIONAL INTELLIGENCE Social Skills Self-Regulation Self-awareness: Managers must recognise their own emotional states and the impact their emotions can have on others. Empathy: Managers need to identify with and understand other people's feelings when making decisions. Self-regulation: Managers must control their emotions and impulses and be able to adapt to changing circumstances. Social skills: Managers need to manage relationships, influence people and encourage them to move in the direction that they have identified. Motivation: Managers must develop their own source of intrinsic motivation. They can't rely on external rewards to motivate them. Achievement of their goals will provide the ultimate satisfaction. Goleman believes that possessing self-awareness and an understanding of others can make an individual both a better person and a better manager. HOW TO USE IT Keep a reflective diary. This doesn't have to be of Pepysesque proportions. Just jot down any key incidents that took place during the day: what you did, why you did it, what impact it had on you and on others. You can then review it and consider how you could have done things differently/better. Try to look at situations from other people's perspectives. This doesn't mean you must follow their line or even agree with what they have to say. However, by trying to be empathetic and recognising that people are entitled to their views and beliefs you will lay the foundations for effective dialogue. Take time to listen attentively to the other person's viewpoint and control the urge to jump in and make rushed or emotional decisions; and never start a sentence with 'If I were you...' - 'cos you ain't. There will be times when you feel you can't compromise. This may be down to your own principles and beliefs. Recognise that other people may also have deep convictions about an issue. Don't allow yourself to become frustrated or angry if they also refuse to compromise. Stay calm and re-examine your values in the light of what they have to say and seek to find a solution that is acceptable to both of you. QUESTIONS TO ASK 1. Do I believe that having a high El is important in the workplace? 2. If I think it is important, how much do I really know about it/use it?

57 Theory 18 - BERNE'S THEORY OF TRANSACTIONAL ANALYSIS Transactional analysis theory describes the state of mind that a person is in when they give or receive a message. Use this to become a more effective communicator. The way managers communicate with staff has a significant effect on how staff receive, interpret and act upon the broadcast message. Berne identified five patterns of behaviour, or ego states, that people use when communicating. An Example of a Complimentary Transaction between Two People: Adult to adult: Adult to adult: When will that report be ready? By midday tomorrow The initiator expects, and receives an adult response. An Example of a Complimentary Transaction between Two People: Adult to child: Child to adult: You need to be more confident. Well I am trying The initiator is giving a subjective personal observation believing it to be useful. The respondent having no specific example or alternative suggested behaviour to work with, responds back in a compliant manner.

58 Theory 18 - BERNE'S THEORY OF TRANSACTIONAL ANALYSIS THE CHARACTERISTICS OF EACH EGO STATE ARE: The critical parent state: The person is overbearing and tells people what to do. The nurturing parent state: The person expresses concern for people's feelings but likes to tell people what to do in the guise of offering advice. The free child state: The person expresses their emotions without constraint. The adaptive child state: The adult ego state: The person lacks confidence and is anxious to please. The person acts with maturity and assesses the situation in a calm and rational manner. Although behaving in the adult ego state is generally the most effective approach, Berne suggests that there are times when managers may need to adopt the parent or even the child ego state in order to motivate employees. An Example of a Crossed Transaction between Two People: Adult to adult: When will that report be ready? Adapted child to critical parent: You re always on at me! CP NP A CP NP A The initiator expects an adult response but does not get one. FC AC FC AC

59 Theory 18 - BERNE'S THEORY OF TRANSACTIONAL ANALYSIS An Example of a Crossed Transaction between Two People: Adult to adult: When will that report be ready? Free child to free child: I don t want to think about it. Let s go out for a drink! This is still crossed (even though the lines do not cross), because the ego states involved in the stimulus and response differ. CP NP A FC AC CP NP A FC AC HOW TO USE IT Recognise that you have the ability to adopt any ego state. To use transactional analysis identify which ego state your staff are in and adopt the ego state that is most effective in dealing with them. If you are both in a parent ego state then the likelihood is that there will be friction as you both try to impose your own rules on the other. If you are both in a child ego state you might have a bit of fun but nothing will get done because you will be too busy sucking your thumbs and throwing your teddies out of the crib. If you are in the parent ego state and the other person is in the child ego state or vice versa then this will produce an outcome satisfactory to at least one side, but this may be short-lived. The ideal state to aim for is when you are both in the adult ego state. To move from either the parent or child ego states ask questions such as: What can we do about this? How I can I support you to get this done? How can we sort this? How would you suggest we move forward? If you follow this simple process it will improve your ability to manage and motivate your staff significantly. Give it a try. QUESTIONS TO ASK 1. Which is my normal state? Is it a productive state? If not, how can I change it? 2. What causes me to shift states? Is it words, actions or events?

60 Theory 19 - KUBLER-ROSS'S CHANGE CYCLE Elisabeth Kubler-Ross's five-stage change cycle was intended to help people deal with bereavement but has since been adapted to reflect the stages of any major change event including changes at work. Denial Acceptance The New Normal Anger Depression Bargaining Denial Anger Bargaining Depression Acceptance This is the initial stage of numbness and shock provoking a sense of disbelief, it can produce either a conscious or unconscious refusal to accept what is happening. When acceptance of the reality of the situation takes place, denial turns to anger, either through self-recrimination or anger with others. This is intended to either resolve the problem faced by the person or put off the inevitable. This stage reached if bargaining has failed and it is at this point that the reality of the situation sets in and emotions such as sadness, regret and loss are felt. Dealing with sadness and regret is a necessary pre-requisite for acceptance. Acceptance is reached once the individual realises that the change is permanent. Kubler-Ross warns that people don't move through the stages in a well-ordered sequential manner. They may stall at a particular stage or even regress to a previous stage. Such regression may be an essential part of the process before the ultimate state of acceptance is reached. HOW TO USE IT Use to track people's journey through any significant change and remember that until everyone has reached acceptance your job isn't done. Discuss the proposed change with staff as early as possible. This will give them a sense of ownership and control over events and build trust between you and them. Remember change may be exciting for you but for many it's terrifying. People fear the unknown and worry that they will lose status and won't be able to cope in the new world. To help staff overcome their fears provide support at every stage of the process by providing opportunities for staff to

61 discuss their fears, options and opportunities with you or another supervisor. Theory 19 - KUBLER-ROSS'S CHANGE CYCLE Remember, people move through the change cycle at different speeds. They may even get stuck at a particular stage or be thrown back to an earlier stage by events. Be on the lookout for such people and offer support and assistance. Communicate with staff every which way you can. Don't restrict communications to formal meetings. Use MBWA to find out what staff feel and think. Answer questions fully. If you don't know the answer say I ll get back to you within 24 hours'. Always deliver on your promises and don't try and bluff your way out of a problem. Staff don't trust managers that spread organic fertiliser for a living. Appoint change champions from frontline staff. They can respond to queries instantaneously, stop rumours and misinformation from spreading and act as a link between you and the front line. Allow staff opportunities to discuss their fears and concerns openly and provide all staff with training as early as possible. This will reduce the fear of the unknown and build confidence. QUESTIONS TO ASK 1. Who can I rely on for help and support? 2. Who is likely to oppose me?

62 Theory 20 - ERNST'S OK CORRAL MODEL Franklyn Ernst suggested that the way we regard ourselves and those we interact with influences our attitudes and emotional states and hence our behaviour. He represented this theory as a 2 x 2 matrix with the one axis depicting the level of value of others (I'm okay with you) and the other one's own self-value (I'm okay with me). Use this to understand how your feelings about yourself and others affect your work. THE CHARACTERISTICS OF THE OUR QUADRANTS ARE: (I'm okay with me) I'm okay with me - I'm not okay with you: This situation is characterised by anger and you trying to coerce the other person and/or get one over on them. I'm not OK with me - I'm not OK with you: This is a horrible place to be and you need to get out of it before you descend into depression and self-loathing. I'm okay with me - I'm okay with you: This is the happy harmonious situation, characterised by constructive and cooperative relationships. I'm not okay with me - I'm okay with you: This is characterised by your feelings of lack of worth and fear and a willingness to allow the other person to get what they want, (I'm okay with you) Ernst's theory can be used to challenge people's old belief systems and replace them with more constructive thoughts about how they feel about themselves and others. HOW TO USE IT Identify where you are on the model. Be honest. Identify your feelings towards the other person and locate your opinion on the grid. Recognise that where you are on the model and how you feel about yourself and the other person can change from day to day. If you're not OK with the person you need to change your outlook. Identify why you feel as you do. Often this will have nothing to do with work issues. You may be jealous of them, fear them or think they are wasting their talent. You have to park such feelings and accept the person for what they are: an imperfect human being.

63 Much more problematic is if you're not OK with yourself. You too are an imperfect human being - so give yourself a break and stop setting unachievable standards for yourself. No one knows if people are born with a lack of self-belief or if it's drained out of them by life. What is clear is that self-fulfilling prophecies play a role in destroying self-belief. Keep telling someone 'you're stupid' and guess what? Keep telling yourself 'I'm stupid' and the implications are even clearer. Every time you catch yourself thinking like that, challenge the thought. Replace negative thinking with positive self-talk. Rehearse in your mind social and work-related scenarios where you come out on top and replace the word 'can't' with 'can' or 'why not'. As your sense of self-value increases, so will the value you attach to other people. QUESTIONS TO ASK 1. Who was it that told me I'm no good? My parents, a teacher or my boss? 2. What power do they have over me today? Probably none. So why am I affected by what they said?

64 Theory 21 PORTER S SDI RELATIONSHIP AWARENESS Elias Porter s Strengths Deployment Inventory of Relationship Awareness is a questionnaire which helps people discover the characteristics and potential of their Relating Style. Unlike some other questionnaires it is not a test, therefore outcomes are never the subject for assessment or critical judgment. In completing the S.D.I you have the opportunity to gain greater insights into:- Reducing the barriers to effective communication Understanding WHY people behave in the ways they do How to avoid causing conflict with others Your preferred way of dealing with interpersonal conflict How to manage behaviour more effectively - to achieve personal and business goals The behavioural choices available to become more effective with a greater variety of situations and people. To understand another person (why a person behaves the way they do), we should take account their Motivational Value System. The more we understand why a person thinks, acts, chooses priorities as they do, the more enabled we are to interact effectively with that person and that includes ourselves! The Motivational Value System acts as a filter through which the behaviour of others is passed. It is the perception and then judgement of this behaviour that affects the way we behave, our energy levels and commitment to the person or goal in the future.

65 Theory 22 LEWIN'S UNFREEZE-CHANGE-REFREEZE MODEL Kurt Lewin produced one of the cornerstone models for managing change. He uses the analogy of changing the shape of a block of ice from a cube to a cone to describe the model. To do this, you must firstly melt the ice cube (unfreeze), then mould the new shape (change) before finally solidifying the cone (refreeze). Attitudes towards the old ways UNFREEZE CHANGE Mould the new ways of thinking/behaving Attiudes in line with the new ways of doing things REFREEZE Lewin argues that by following the three-step process you motivate people to want change, empower them to contribute to the change process and finally re-establish a sense of stability within the organisation. HOW TO USE IT Use to remind you of the need to reduce people's resistance to change by challenging (unfreezing) their current locked-in views before embarking on implementing the change. Both before and during any change process be prepared to challenge the beliefs, values and behaviours that may inhibit change. Before you start the unfreezing process identify what changes you want to make and why they are necessary. Win the support of key people from all levels within the organisation by creating a compelling argument in favour of change. You may have to vary the argument depending on who you talk to. Those in charge of the money will want to see financial gains, whilst human resources will want to see a positive impact on personnel. Improved working conditions will be music to the ears of the staff and unions. Keep staff informed of progress every step of the way. This will motivate the eager and help you deal with the rational and irrational fears of the worried. Understanding what benefits the change will bring is a critical factor in moving the change process along. Support people as they embed the changes into their everyday working practices. Only when the changes are in place, and you feel confident that they will bring long-term benefits to the organisation, should you begin the process of refreezing. QUESTIONS TO ASK 1. To create a positive buzz about the project what early success can I promote as good news stories for both the staff and organisation? 2. What answers will I use to combat negative arguments against the change from stakeholders, staff, colleagues and senior management?

66 Theory 23 - THE McKINSEY 7-S FRAMEWORK MODEL The 7-S framework was developed by Robert Waterman, Tom Peters and Julian Philips, whilst working at the McKinsey Group. The model suggests that the strength/well-being of any organisation can be described using seven interrelated elements. These are usually depicted as: Structure Strategy Systems Shared Values Skills Style Staff Source: van Assen. M., van den Berg, G. and Pietersma, P., Key Management Models (2ndedn) (Pearson Education, 2009). Structure: The way the organisation's units relate to each other; centralised, functional divisions (top-down); decentralised; matrix; or network. Systems: The procedures, processes and routines used to undertake important work. They include the systems for: finances, hiring, firing, promotion and performance appraisal systems and information systems etc. Style: The cultural style of the organisation and how key managers behave in achieving the organisation's goals. Staff: The numbers and types of personnel within the organisation. Skills: The distinctive capabilities of individuals or of the organisation as a whole. Strategy: A detailed plan for the allocation of a firm's scarce resources, over time, to reach identified goals. Shared values: The interconnecting centre of McKinsey's model is shared values. This is what the organisation stands for and what it believes in. It's the organisation's central beliefs and attitudes.

67 Theory 23 - THE McKINSEY 7-S FRAMEWORK MODEL HOW TO USE IT This is a complex model. Start by identifying what factors are contained in each element. Go into as much detail as you can. Use mind maps or lists for this. Your results will give you an invaluable insight into the many elements that are at play in your organisation. Study how the elements identified interact and react with the other elements. Some of the reactions may be quite subtle, others will be obvious. For example, introducing new systems will certainly affect skills, and may well affect structure, style and staff. It could even have an impact on strategy. Use a mind map to trace these connections. As in a game of chess, every move you make will change the relative strengths and weaknesses of every other piece on the board. It is these changes that you must identify and take account of. Your aim is to maximise and run with improvements and take action to minimise any weaknesses that your actions cause. You can only do this if you have an appreciation of how the elements interact with each other. Use on a daily basis to keep an eye on how the organisation is doing or use to predict/evaluate the impact that proposed changes may have on the organisation. QUESTIONS TO ASK 1. Do I know enough about the business to predict the effect that a change in one element will have on another? 2. What can I do to gain even greater insights into the business?

68 Theory 24 - FRENCH AND RAVEN'S: SOURCES OF POWER THEORY There are numerous models of power. One of the most compelling was outlined by French and Raven in They identified five sources of power that a person, real or corporate, can call upon to encourage or compel compliance. Legitimate Charismatic Reward SOURCES OF POWER Expert Coercive Legitimate: Where the person's position carries with it a reasonable expectation that staff will follow their directions. Reward: The capacity to grant or withhold financial and non-financial rewards to people. Coercive: The capacity to impose sanctions or punishments on another person or group. Expert: Where an individual's expertise in a particular area means that others are willing to follow their advice/instructions. This power only exists for as long as that person's expertise is required. Charismatic: The ability to command compliance by example or force of personality. Of the five power sources French and Raven suggest that charismatic power is the most significant as its holder can influence people over time and distance. It is the Holy Grail of leadership. Many examples exist such as why millions of black Americans, who had never met Martin Luther King Jr, were willing to march and risk injury and even death to follow his example of peaceful protest.

69 Theory 24 - FRENCH AND RAVEN'S: SOURCES OF POWER THEORY HOW TO USE IT As a manager you hold a position of authority. Identify the limits of that authority. Act with confidence when you exercise authority and expect staff to comply with your legitimate requests. Expect compliance and enforce it. Identify the range of rewards you can offer staff and remember they need not be financial. Public recognition or a new desk may mean more to a person than promotion or a pay rise. Always deliver on any promises you make. Identify the limits of your coercive power. Never use coercive power to bully people but it is perfectly legitimate to pick up on poor performance and apply a suitable sanction. Staff are often unaware that they are under-performing. An unofficial chat can often negate the need for more formal action. Identify what, if any, expert power you have. If you have a professional qualification you have a degree of expert power. Gain specialist knowledge in one or more hot areas of your discipline and use it in your organisation. Alas, few of us can match the charisma of your average Hollywood superstar. But charisma is in the eye of the beholder. So think about how you appear to your staff. Act with confidence and integrity and provide them with a vision they can buy into and they will think you have charisma, just not as much as a superstar! Accumulate as many sources of power as possible because when two or more sources are combined synergy occurs. A case of = 5. QUESTIONS TO ASK 1. What sources of power do you have access to? 2. Who in your organisation exercises power?

70 Theory 25 - BURKE-LITWIN'S DRIVERS FOR CHANGE Warner Burke and George Litwin's change model looks at 12 organisational dimensions that are key to change. The dimensions are organised into four levels and each dimension is explored using a series of questions. Failure to deal with the content of each dimension will impede or stop change. Staff management Level 4 Tasks and skills Individual needs Motivation Performance Operational management Level 3 Structure Systems Practices Climate Strategic management Level 2 Mission and strategy Leadership Culture External environment Level 1 External factors affecting organisation HOW TO USE IT Use this theory as a starting point to identify and understand the different dimensions that you have to take into account if you are to plan for and implement a successful change. This theory requires you to ask a series of questions at each level. Based on the answers received you must decide what change is required and develop a suitable implementation strategy. The following questions are prompts only and you need to develop questions specific to your organisation under each heading. Level 1 The environment: What are the political, economic, social and technological developments prompting change? Level 2 Strategic management: How does the change fit into the organisation's vision and mission? Who is driving the change? Do the organisation's beliefs, values and assumptions embrace or reject change? Level 3 Operational management: Do the various power bases in the organisation support change? Do the organisation's policies and procedures support change? Do current working practices support change? Are the staff receptive to change? Level 4 Staff management: Does the staff have the skills to support change? Will the change address both organisational and individual needs? Are staff motivated enough to make the change work and perform well after it? Once you have answers to the above you can start to plan your change. QUESTIONS TO ASK 1. What specific questions, relevant to my organisation, do I need to ask under each heading? 2. Who can help me to identify and answer the questions?

71 Theory 26 - SWOT ANALYSIS A SWOT analysis identifies the strengths, weaknesses, opportunities and threats facing your team or organisation. Strengths and weaknesses tend to emphasise internal factors while opportunities and threats concentrate on external matters. Often the same issue can be both a strength and a weakness or a threat and an opportunity. All of the following examples can be seen as either: Strengths and weaknesses Include: Current finances, customer loyalty, product range, employees' skills, the organisation's ability to react to changing circumstances, its relationship with stakeholders and the quality of management. Opportunities and threats Include: Changes in competition, economic conditions, wider financial conditions, customer demographics, product range, declining/expanding market share, stakeholder relationships and technology. Unfortunately 80% of all SWOT exercises are undermined by a lack of rigour. Too many contain overly optimistic statements about the organisation's current status and future prognosis. The worst offenders are senior managers who often see 'their' organisation through rose-tinted specs. In addition, managers regularly fail to recognise that a strength is only a strength if it provides the organisation with a competitive advantage over its competitors. Good, committed staff are only a strength if your competitors have poor, uncommitted staff; while an opportunity only exists if the organisation has the commitment, resources and expertise required to take advantage of it. HOW TO USE IT First, define the focus of your analysis. What do you want to find out? What timescale do you want the analysis to cover? Remember, the further you try to look into the future the less accurate you'll be. Once the objective is clear, select your group of participants. Choose six to eight people who have the experience, knowledge and skills to contribute to the process. Once selected don't allow the most senior person present to monopolise the meeting (even if that's you). Make it clear to everyone that creativity must precede critical evaluation. If you become critical too soon people will clam up. So ban criticism in the early stages of the process. Out of the most bizarre utterances can crawl a great idea. Brief the group as to the purpose of the meeting. Provide a list of headings that they might use to prompt discussion. Provide everyone with a supply of post-its on which to record their ideas. Summarise the main points from the post-it and use this summary and your own notes from the meeting to compile a single list of ideas. Then take each suggestion and subject it to critical analysis - e.g. what evidence is there that the issue exists? If it does exist how can we measure its effect on the organisation? What's the likelihood of the event occurring and what would be its impact if it did happen? Always examine opportunities for hidden threats and vice versa. QUESTIONS TO ASK 1. How rigorous was the last SWOT exercise I ran? 2. Did I accept suggested SWOT without adequate evaluation? 3. Will it help to stick the post-it notes on the wall or board and group similar ideas together?

72 Theory 27 - PEST/PESTLE ANALYSIS The PEST process is forward-looking and is mainly concerned with the external environment in which the organisation exists. It tries to predict future political, economic, social and technological trends that may impact on the organisation in the future. In recent years PEST has become PESTLE (PEST plus legal and environmental). Typically a PEST/PESTLE process would include consideration of the following examples: ISSUES CONSIDERED IN A PEST/LE REVIEW: Political, including changes in government following elections, financial and economic policies, legislation, health and safety regulations, employment law and European law/regulations. Economic changes such as marketing data, predictions for economic growth, un/employment levels, conditions in the home, Euro Zone, world markets and banking policies. Social trends, including an ageing population, changes in customer behaviour, impact of the web, social movements and changing social norms. Technological trends, including government spending on research, new discoveries and developments, speed of technology transfer, impact of changes in information technology. Legal issues, including changes in the law to employment, public liability, environmental, health and safety and working hours. Environmental issues and changing public opinion concerning climate change, new energy sources and pressure groups. HOW TO USE IT Define the purpose of your PEST analysis. What do you want to find out? What timescale will the analysis cover? Remember the further you try to look into the future the less accurate you will be. Once you've confirmed the terms of reference, select a group of 6-8 people from senior, mid and frontline staff. Those chosen must have a good knowledge of the organisation and the business sector it operates in and be capable of strategic thinking. Because the group will contain middle and senior managers you must guard against one or two powerful personalities hijacking the meeting. If you think that their position might inhibit your actions appoint an outside facilitator to run the show - and brief them fully. To avoid distractions hold the meeting away from work. Brief the group as to the purpose of the exercise and provide a list of headings that they can use as prompts. Provide everyone with a supply of post-it notes on which to record their ideas. At this stage suspend critical evaluation of even the daftest suggestion. Use the post-it notes and your own notes to compile a complete list of ideas. When the list has been finalised assess each idea against the following criteria. How likely is it to happen? What impact will it have on the organisation if it does happen? What strategies and/or resources are required to minimise harm or maximise benefits should the event occur? QUESTIONS TO ASK 1. How am I going to deal with any overly optimistic senior managers in the group? 2. How can I ensure that consideration is given to both quantitative and qualitative data during discussions?

73 Theory 28 PRODUCTIVITY MATRIX FOCUS ON PRODUCTIVITY Performance Effectiveness + Performance Efficiency = Performance Productivity HIGH Area of True Managerial Success PERFORMANCE EFFECTIVENESS (How well are goals being achieved) Effective but not Efficient some resources wasted Neither Effective nor Efficient goals not achieved and resources wasted in the process Effective & Efficient goals achieved and resources well used Efficient but not Effective no wasted resources but goals not achieved LOW PERFORMANCE EFFICIENCY (How well are resources being used) HIGH

74 WHAT IS COACHING? It is the continuous process of developing an individual s performance by using day-to-day work to provide planned opportunities for learning under guidance. Like any new management term, the meaning of Coaching has become less clear as more and more people adopt it and use it, sometimes loosely, to describe different things. We define coaching at four levels; First, coaching is a belief system; coaches start from a position of believing that people have the ability to address and resolve their own issues if they can approach them in the right mental state. Second, coaching is a leadership style, which seeks to keep ownership of issues and problems with the individual responsible for their resolution. Third, coaching is underpinned by a set of tools and models (for example the GROW problem solving model). Fourth, there exists a coaching skill-set which, skillfully deployed, can support coachees through the coaching experience Traditional Coaching Processes Coaching Process 1. Identify the Need (TNA Skills GAP) 2. Recognise Opportunities (Stages of Competence) 3. Brief the Job Holder 4. Agree the Desired Outcome 5. Carry out the Activity 6. Review the Learning 7. Plan the next Step Stages of Competence GROW MODEL G- Goals What do you want? R-Reality What s happening now? O-Options What could you do? W-Wrap-up What are next steps? Transactional Analysis Kolb's Learning Styles model and Experiential Learning Theory (ELT) Thomas-Kilmann Conflict Mode McGregor s XY Theory Theory X ('authoritarian management' style) - The average person dislikes work and will avoid it he/she can. Theory y ('participative management' style) - People usually accept and often seek responsibility.

75 COACHING CONTRACT Consider 4 Agendas: Sponsor Manager Client Mentor/Coach This should cover: The various Stakeholders & their Maps Timescales Note taking Confidentiality Your role as the Coach Their role as the Client Expectations Your style Their/Your FOE Factor Feedback F.O.E. Factor: 1. Focus the attention the coach brings to the moment 2. Openness the receptivity of heart and mind the coach brings to the moment 3. Energy the physical and emotional vigour the coach brings to the moment

76 COACHING CONFUSION Hill, P. Concepts of Coaching. Origins from IBM in their development of the PS2 computer system when moving from mainframe to personal computer. PRINCIPLES OF EFFECTIVE LISTENING To All sounds: Albert Mehrabian Words Tone of voice Nonverbal behaviour (e.g. facial expression) Degree of Sensitivity Attachment / Old Habits / Behaviours Care (How Much) Emotional Content For Understanding Confirmation Contradiction How can I use this? LISTENING What s not said Assumptions Pre-Suppositions Hear vs Said From Head Heart Function/ Department / Translated Meaning Profession / Do we check? Agenda Barriers to Coaching

77 Coaching Model 1 - Outcome Thinking Asking Q s??? Away From Talks of what they don t want Uses words : need, must, got to, not, should, ought, but Tense. Shoulders, neck, back Frowns Looks for problems in past, present, future Argues Debates Circumstances and events are difficult Seeks to change external factors (not internal self) to improve situation Towards Open relaxed style Talks of what they really want Speaks from the heart as well as the head Has compelling vision of the future Can imagine already having it (acts as if) Self-motivated Committed to completion Looks for opportunity in everything Is at ease with themselves Towards Thinking DESIRED (Future) STATE Away From Thinking PROBLEM (Present) STATE What do you want? Where, when, and with whom do you want it? How will you know when you are there? What affect will this have on other aspects of you life? What resources do you have to help you achieve the desired outcome? What s wrong? Why do you have this problem? How long have you had this problem? How does this problem limit you? Whose fault is it that you have this problem?

78 Coaching Model 2 - Presuppositions & Beliefs When we are coaching someone, whatever we believe will be projected, even if we think we are doing a good job of masking it. If we hold beliefs about the person we are coaching that are less than resourceful, we will project that on to the other person, hindering their progress/ Everyone has their own map of the world Everyone has their own interpretation of events, their own map. This map or model of the world is based on each person s own set of filters. Take time to find out what their perception of the situation is and to recognise this is how they are getting their current results. Respect for the other person s model of the world Your job as a coach is to help a person move from their current model of the world to their desired model. It is not your job to change them to your model of the world. This means helping them work with their map and not imposing yours. Respect means having consideration of other people s maps, and accepting that people have a right to have a different map from you. This is one of the basic tenants of coaching. People will change and learn much easier if they are working with their model of the world, rather than attempting to take on someone else s. The meaning of your communication is the result you get When you have communicated with someone they will respond according to what they think you meant. Their response then is feedback to you about how effective your communication has been. If their response is not as you would have liked, then you will want to consider changing the way you communicate with them. This means that you have complete responsibility for the way you communicate and some would say the response you are eliciting. People are doing the best with the resources they have available People behave as they do because that is the best choice open to them with the internal and external resources they have available to them at the time. If they were able to do anything else at the time, they would do it If a coach does not hold this belief then they may find it difficult to help the person because of judgements about the person s actions This belief means that to move someone forward toward their outcomes, you will want to discover what they are doing at the moment, and help them find a more resourceful way of approaching the situation. People have all the resources that they need to make the changes they want People are not broken; they are whole and have all the resources they need. There is no internal resource, such as confidence, determination, strength etc. that they have not had and used at some time in their lives. It may be that sometimes they allow themselves to get into un-resourceful states in particular situations. A successful coach will help guide them to access those resources within the new situation. Everything is a result, learn from the feedback All that you do in coaching is a learning process. If you pay attention to feedback then you will be able to find different ways of achieving your outcome. Not only is the person you are coaching learning, but you are too. The more you pay attention to the person, the more you will learn about how to help this person.

79 Coaching Model 3 - The Safety RAFT system Quantum Leap Impact Learning Fast change Conversational Coaching Telling someone to do something has limited effect and often only short-term. To change behavior and thus results in a person, we must act on the level above but to get there directly would lose the journey that the individual must make for themselves. Giving a dot-to-dot drawing with all the dots connected is no fun! When a person makes the connections themselves the learning is owned by that person and done in the language that has meaning for them. When we work backwards we achieve this smoothly with meaning achieved at each level and thus ownership and understanding. Follow the Safety RAFT system Coaching Process Thoughts Feelings Actions Results THOUGHTS...(Ideas, Conceptions) Lead To FEELINGS...(Our internal response to thoughts we create/hold/repeat) Lead To ACTIONS...(the motivation to act, comes from feeling, rather than just knowing) Which through law of physics leads to Cause & Effect RESULTS...(there is no right, wrong, good, bad, success or failure only our comparison to intention makes its so.) The Safety RAFT system Safety R = Results A = Actions F = Feeling T = Thinking Let Coachee know your positive belief in them Agreed and Clear Stated Outcome of Desire How do you achieve that? (change of behaviour?) What Beliefs exist around required behaviour? Which Priority of Values takes precedent? Reframe Values/Beliefs around new imagery to be congruent with desired outcome

80 The Safety RAFT system Safety Let Coachee know your positive belief in them R = Results Agreed and Clear Stated Outcome of Desire A = Actions How do you achieve that? (change of behaviour?) F = Feeling What Beliefs exist around required behaviour? Which Priority of Values takes precedent? T = Thinking Reframe Values/Beliefs around new imagery to be congruent with desired outcome

81 Coaching Model 4 GROW Model

82 Coaching Model 5 Skill / Will Matrix High Will / Low Skill High Will / High Skill Guide Delegate Level of Will To Engage Low Will / Low Skill Direct Excite Low will / High Skill Skill Level

83 Coaching Model 6 - The Drama Triangle The Drama Triangle model is a psychological and social model of human interaction in transactional analysis (TA) first described by Stephen Karpman, in his 1968 article Fairy Tales and Script Drama Analysis. It is seen as a game of unwitting innocent people. The person who pressures, coerces or persecutes the victim, may be unskilful in gaining rapport, or motivating, they may be innocent of malicious intent, just blinkered in their focus on their own desired outcomes irrespective of other s needs. They can avoid this game by developing the skill of engaging others. The person who plays the role of the victim achieves the evasion of dealing with their situation. Not necessarily being as helpless as they say, but often rather becoming skilful at finding others to help, rather than skilful at dealing with the situation. Tactful coaching is required to avoid all out cries of persecution, and engage in self-ownership of problems / situations. The person who plays the role of rescuer is not really helping. While it appears to all on the surface there is a motive of helping in an emergency, a hidden motive of achieving a sense of self-esteem by helping others is really satisfying, without recognising the negative impact. As the interaction actually perpetuates the victim remaining in the disassociated state of helplessness, and thus not improving the skills required to handle the situation now and in the future. The rescuer also gains by avoiding discomfort which they alone may feel at what they perceive as an awkward situation. Many coaches make rescuing statements because they have identified a possible solution rather than working with the coachee to uncover the coachee s shift in values, feelings and actions.

84 Coaching Model 7 - Clean Language Avoid putting your preference into your questions i.e What s that feel like; How do you see it. Does that sound good to you? Etc Use questions like: What was that like? What s [use their word back at them] like? Tell me more? What do you sense from that? David Grove: Penny Tompkins and James Lawley's Symbolic Modelling and the Clean Language, Clean Space and Emergent Knowledge processes of David Grove.

85 Coaching Model 8 - Logical Levels What questions the model helps us address Within environment an individual can either view the world through the lens of opportunities or through the lens of constraints. An opportunities based person sees what might be possible and explores that actively and positively. Constraints based individuals will see what might go wrong and will express those observations in a more risk adverse style. In behaviours an individual can either operate in a manner which denotes action or can operate in a manner which requires someone else to act first - thus creating a reaction. An action based person simply does what they believe needs to be done. A reaction based person knows what needs to be done but usually waits until something happens before declaring their view and taking action. In capability, skills and knowledge an individual can either use their capabilities in a directed way or they can store up their capabilities and have a perceived sense of their new skills. A directed person learns something new and begins to integrate it into their way of operating almost immediately. A perception based person gathers up the knowledge and uses the information as knowledge rather than translating it into shifts in behaviour or attitude. In values and beliefs an individual can either be motivated by what they believe or they can wait for permission (from someone else or themselves) to operate within their beliefs and values, A motivated person declares and demonstrates their beliefs and values in almost everything they do and say. A permission based person holds back on declaring their beliefs and values until a situation develops where they feel as if they have been given permission to declare their feelings. In identity an individual can be either engaged in a mission or they can be engaged in a role. A mission based person articulates what they are trying to achieve or accomplish. A role based person tends to talk about and do what is described within their role or task.

86 In purpose an individual can either be engaged in a visionary view of what they are trying to achieve or they can be engaged in a more purposeful view of their desire to achieve outside of themselves. A vision based person would describe something dramatic and extraordinary. A purpose based person would describe their objective in a more factual way, eg. using the language of a project plan - describing the steps and the milestones along the way. There is no value judgment within this model. As a leader coaching others it is important to be aware of where we are on the model and mindful of where other people may be in order that we can use ourselves in such a way that we maximise our impact. Who do you know operating from these Logical Levels and frames of reference:

87 Organisational Change This requires people to change their behaviour. Whether it be strategic change, IT business system led change, or cultural change perhaps through merger-acquisition; the business needs people to do things differently. Leaders need to change their communication and their leadership style in order to inspire and lead change. Managers need to devise and implement new policies, processes and procedures and measure results in different ways. And employees have to change their work activities; use more (or less) initiative, stop old ways of doing and find new ways of being. As human beings we have brains that are programmed for maximum efficiency. This means that we are efficiently wired into patterns and habits of behaviour. Hence it takes significant effort to get people to change at a behavioural level. (Think about the pattern you are wired into for driving your car. How difficult would it be to change that in a radical way??). Use the Logical Levels of Change as an underpinning model in our change management work. The function of each level is to synthesise, organise and direct interactions on the level below it. Put simply, if you work with people at a couple of levels above that of behaviour, you tap into deeper levels of motivation and influence. At the highest level, by getting people to create a vision for change, perhaps expressed as a metaphor or symbol (picture) it will give them a sense of the wider system in which they are working. It will help them see the interconnectedness and gain a sense of purpose which can help them to connect to their role in the larger system. The next level down, identity, is highly influential. In getting employees to connect to their identity, which may be very different in the new order of things, can help to build a strong sense of self and shape their beliefs and values. Beliefs and values are the unconscious, deep level influences on our behaviour. Beliefs and values determine why we think what we think. Influencing how people think will determine what they will do (i.e. their behaviour) in a particular situation. Our beliefs and values are therefore shaped by our sense of purpose. In any programme of change, consideration should be given to the level of capabilities (skills). Training has its place, but only after everything else has been considered. Our capabilities, mental and intellectual, are shaped by our beliefs and values. In addition, when it comes to learning people have different motivational traits, ways of absorbing information and learning styles; so this variety should be taken into account in both communications and training programmes. Finally a word of warning: whilst the environment level is the lowest level it acts rather like Herzberg s hygiene factors. It won t necessarily motivate people to change but it can be a dominating factor and a hell of a block. If you have a large team of remote workers who don t have access to the right channels of communication or a noisy, unpleasant office environment, change will be far less likely.