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Pathways Plus

Strategic Management
and Leadership
Level 7

Unit 7001V1
Personal Leadership Development as a Strategic
Manager

Supplied under licence by the Chartered Management Institute


Licence Number: C10311442 / Expiry Date: students registered up to 01/07/2018
Pathways Plus

Unit 7001V1: Personal Leadership Development as a Strategic Manager

Copyright © Chartered Management Institute, Management House, Cottingham Road, Corby, Northants NN17
1TT.

First edition 2009


Author: Ray Rowlings
Consultant: Bob Croson
Series consultants: Roger Merritt Associates
Project manager: Trevor Weston
Editor: Suzanne Pattinson
Page layout by: Decent Typesetting

Revised edition 2010


Author: John Lambert
Consultant: Ray Rowlings
Series consultants: Roger Merritt Associates
Project manager: Trevor Weston
Editor: Suzanne Pattinson
Page layout by: Decent Typesetting

Revised July 2013

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„ McGraw-Hill Publishing Company for Figure 1.3a on p.50 and chart on p.51 (adapted from Pedler,
Burgoyne and Boyden, A Manager’s Guide to Self-Development, 5th edition, 2007)
„ Health and Safety Executive for Figure 2.1b on p.88 (from Managing Health and Safety, 2008), the
chart on p.93 (from Five Steps to Risk Assessment, 1998) and Figure 3.2b on p.104 (adapted from A
Guide to Measuring Health and Safety Performance, 2001)
„ Institute of Occupational Safety and Health for Figure 3.3a on p.106 (from Promoting a Positive
Culture, 2004, originally from Step Change 2000, Changing Minds — a practical guide for behavioural
change in the oil and gas industry, free from www.stepchangeinsafety.net) and the extract on p.107
(from Setting Standards in Health and Safety, 2008)
„ Pearson Education for Career Anchor Table on p.53 in Section 2, Topic 1.4 (from Human Resource
Management, 5th edition, by Torrington, D., Hall, S., and Taylor, L., 2002)

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Contents

About Pathways Plus .....................................7 

Introduction ............................................. 11 

Section 1  Identifying personal skills ................ 13 


Topic 1:  Analysing the strategic direction of the
organisation ............................................... 15 
1.1  Strategy and the leader ............................................ 15 
1.2  Understanding your organisation’s purpose ..................... 21 
1.3  Aligning development with strategic direction ................. 23 
Topic 2:  Strategic skills ............................................ 27 
2.1  Strategic leadership competencies ............................... 27 
2.2  Strategic leadership roles .......................................... 28 
2.3  Conducting a personal gap analysis ............................... 34 
Section summary .................................................... 39 

Section 2  Personal leadership development ....... 41 


Topic 1:  Leadership development opportunities ............... 43 
1.1  Where am I as a leader? ............................................ 43 
1.2  Opportunities for development ................................... 46 
1.3  Career planning ...................................................... 50 
Topic 2:  Planning, implementation and evaluation............ 57 
2.1  Leadership development planning ................................ 57 
2.2  Implementing the development plan ............................. 61 
2.3  Evaluating the development plan ................................. 68 
Section summary .................................................... 73 

Section 3  Promoting an environment of staff


welfare ...................................... 75 
Topic 1:  Supporting staff welfare ................................ 77 
1.1  Business strategy and staff welfare............................... 77 
1.2  Beyond OH: promoting a state of contentment ................ 79 

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1.3  Gaining corporate commitment to staff welfare ............... 83 
Topic 2:  Understanding health and safety responsibilities ... 87 
2.1  Understanding the process ......................................... 87 
2.2  Implications for leadership ......................................... 90 
2.3  Plan the direction for health and safety ......................... 92 
2.4  Deliver health and safety........................................... 92 
2.5  Monitor health and safety .......................................... 94 
2.6  Review health and safety .......................................... 95 
Topic 3:  Promoting a health and safety quality culture ...... 99 
3.1  Creating a health and safety culture ............................. 99 
3.2  A continuous improvement approach ........................... 103 
3.3  Changing health and safety behaviour .......................... 105 
Section summary ................................................... 110 

Further reading ........................................ 113 

Before you move on ................................... 114 


Preparing for assessment ................................................ 114 
The Management and Leadership Standards .......................... 114 

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About Pathways Plus
Development guides
There are 15 development guides in the Pathways Plus series to
cover the 17 units of the qualifications at CMI Level 7: Strategic
Management and Leadership.
7001V1 Personal leadership development as a strategic
manager
(ISBN: 0-85946-572-1)
7002V1 Developing performance management strategies
(ISBN: 0-85946-577-2)
7003V1 Financial management
(ISBN: 0-85946-582-9)
7004V1 Strategic information management
(ISBN: 0-85946-587-X)
7005V1 Conducting a strategic management project
(ISBN: 0-85946-592-6)
7006V1/ Reviewing organisational strategy plans and
7011V1 performance/Strategic planning
(ISBN: 0-85946-597-7)
7007V1 Financial planning
(ISBN: 0-85946-503-9)
7008V1 Developing a marketing strategy
(ISBN: 0-85946-508-X)
7009V1 Strategic project management
(ISBN: 0-85946-513-6)
7010V1 Implementing organisational change strategies
(ISBN: 0-85946-518-7)
7012V1 Strategic human resource planning
(ISBN: 0-85946-523-3)
7013V1/ Strategic leadership/Strategic leadership practice
7014V1 (ISBN: 0-85946-528-4)
7021V1 Introduction to strategic management and leadership
(ISBN: 0-85946-533-0)
7022V1 Developing risk management strategies
(ISBN: 0-85946-538-1)
7023V1 Strategic corporate social responsibility
(ISBN: 0-85946-543-8)

For further details on the development guides:


„ Phone: (+44) (0)1536 207379
„ Fax: (+44) (0)1536 207384
„ Email: publications@managers.org.uk

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Personal Leadership Development as a Strategic Manager

How to use the development guide


The development guides provide a critical commentary to the
ideas of writers and thinkers in the management and leadership
field. They offer opportunities for you to investigate and apply
these ideas within your working environment and job role.

Structure
Each guide is divided into sections that together cover the
knowledge and understanding required for the equivalent unit or
units of the Chartered Management Institute Level 7 Strategic
Management and Leadership qualifications.
Each section starts with a clear set of objectives linked to the
learning outcomes of the qualification. You don’t have to
complete the sections in the order they appear in the guide (the
mind map at the beginning of each guide will help you decide
which sections and topics are of particular need or interest) but
you should try to cover all sections if you are aiming for a full
diploma qualification.

Activities
Throughout the guides there are activities for you to complete.
These activities are designed to help you reflect on your own
situation and apply your research to your organisation. Space and
tables are provided within the activities for you to enter your
own thoughts or findings, but in some cases you may choose to
copy out the table or make notes in a separate notebook.

Timings
Timings are suggested for each activity to give you a rough idea
of how long you should devote to them. They’re not hard and
fast, and you must decide whether you will benefit from
spending longer on some activities than stated.

SR Supporting resources
The text of the guides is designed to provide you with an
introduction to the subject and a commentary on some of the
key issues, models and thinkers in the field. The activities are
there to help provide a framework for your thinking. A key
component of Pathways Plus (Pathways Plus because the
development guides work together with the online supporting
resources to provide an overall learning journey) is the list of
references given throughout the text and at the end of each
topic guiding you to the most appropriate supporting resources
for you to explore yourself. These are marked with the symbol SR
(as shown above).
You have the opportunity to select those resources that are of
most interest or relevance to you and to use them as a source of
guided research on a particular topic. Many of the supporting
resources are immediately available by logging into CMI’s online

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About Pathways Plus

management and leadership portal, ManagementDirect (MDir)


(http://mde.managers.org.uk/members), or where you work for
an organisation that subscribes to this service use the specific
link for your organisation
(http://mde.managers.org.uk/(organisation name) . These
resources are marked in the reference list at the end of each
topic with P+ standing for Pathways Plus. Once logged into
P+ ManagementDirect click on More…. on the navigation bar and
select Senior Manager Resources, this will take you straight to
the list of supporting resources as listed in the Pathways Plus
topics. When there, click on the title of your development guide,
the section and the topic you’re interested in and then click
straight to the article, video, checklist, extract or report that
you want to find.
For those resources that are not available through the CMI site,
you will be directed to other sources (some also online) to reach
what you need.

Preparing for assessment


Further information on assessment is available in the Student
Guide produced as part of the Pathways Plus series. If you have
any further questions about assessment procedures, it’s
important that you resolve these with your tutor or centre
coordinator as soon as possible.

Further reading
Suggestions for further reading and links to management
information are available via ManagementDirect through the
Study Support section of the Institute's website at
http://mde.managers.org.uk/members. Alternatively, email
ask@managers.org.uk or telephone 01536 207400. You will also
find titles for further reading in the Bibliography at the end of
this workbook.
The CMI Management Library holds an extensive range of books
and pamphlets for loan to members. A postal loan service is
offered to members in the UK only. You will only pay your return
postal charges. Go to www.managers.org.uk/library to review
the collection and to place your requests.

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Personal Leadership Development as a Strategic Manager

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Introduction
Welcome to this development guide on personal development. It
focuses specifically on the content of the specification for Unit
7001V1 Personal Leadership Development as a Strategic
Manager.
This guide looks closely at the leadership skills that you need to
operate effectively at a strategic level. It’s split into three
sections:
„ Section 1 is about identifying what personal skills are
required as a strategic manager so that you can support the
strategic direction of the organisation. In doing this, you’ll
look at how to analyse the strategic direction of the
organisation to determine what personal and leadership
competencies are required. You’ll also evaluate what
strategic skills you require as a leader to achieve the
strategic ambitions of your organisation.
„ Section 2 focuses on personal leadership development and
considers how to manage this development to support the
achievement of the organisation’s strategic ambitions. You’ll
look at the opportunities to support leadership development,
construct leadership development plans and consider the
implementation process. You’ll also consider how to evaluate
the effectiveness of the plan.
„ Section 3 looks at how to promote an environment that
supports a culture of staff welfare in a quality way, including
health and safety. You’ll consider the strategic aspects of
staff welfare, as well as your responsibilities for managing
health and safety, and its implications for leadership. You’ll
also look at how you can promote a health and safety culture,
how you can best make improvements in this area and how
you can change other people’s behaviour.

Development guide mind map

Section 1:
Identifying
personal skills

Section 2: Personal
development Section 3:
Personal
as a strategic Promoting an
leadership
manager environment of
development
staff welfare

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Personal Leadership Development as a Strategic Manager

Assessment
If you’re studying for the Level 7 in Strategic Management and
Leadership qualifications you will be assessed by your approved
centre on your knowledge and understanding of the following
learning outcomes:

Unit 7001V1:
1 Be able to identify skills to achieve strategic ambitions
2 Be able to manage personal leadership development to
support achievement of strategic directions
3 Be able to evaluate the effectiveness of the leadership
development plan
4 Be able to advocate a staff welfare environment that
supports organisational values

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Section 1 Identifying personal skills
Introduction
In this section you’ll identify what personal skills a strategic
manager needs in order to support the strategic direction of an
organisation. You’ll first look at how to analyse the strategic
direction of an organisation so that you can determine what
personal competencies may be required.
You’ll also evaluate the strategic skills required of you to achieve
the organisation’s strategic ambitions.

SR 9 You’ll be following the personal development planning cycle


(discussed in the CMI checklist ‘Personal development planning’)
and in this section will be focusing on the following two stages:
„ establish the purpose/direction
„ identify development need.

Establish the
purpose/direction

Review and Identify


evaluate development

Look at
Record development
outcomes opportunities

Undertake Formulate
development action plan

Figure 1.0.a: The personal development planning cycle

Learning outcomes
This section covers the following learning outcome:
7001V1.1 Be able to identify skills to achieve strategic
ambitions

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Personal Leadership Development as a Strategic Manager

Section mind map


There are two topics in this section as shown below. Check the
subjects within each one and then continue with the areas you
need to explore.

Section 1:
Identifying
personal skills

Topic 1:
Analysing the
strategic
direction of the
organisation
Topic 2:
Strategic skills

1.1 Strategy
and the
leader
1.3 Aligning 2.1 Strategic
development leadership
with strategic competencies
2.3 Conducting
1.2 direction a personal gap
Understanding analysis
your
organisation’s 2.2 Strategic
purpose leadership
roles

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Section 1 Identifying personal skills

Topic 1: Analysing the strategic direction of


the organisation

Introduction
In order to identify what personal competencies are important to
an organisation, you have first to understand its strategic
direction. To do this you need to explore how strategy impacts
on different levels of the organisation and consider what strategy
means in terms of decision making and managing change.
Strategy also impacts on the behaviour of managers and leaders
within the organisation, which can sometimes cause problems.
You also need to be clear about your organisation’s purpose. A
good way to explore that is to look at the explicit statements
your organisation makes about its strategy. This can be in the
form of its mission and vision statements. These can be used as
tools for internal alignment — an approach which tries to match
personal competencies with the vision and values of the
organisation. This alignment with the strategic direction can be
used to answer the questions:
„ What does the organisation need?
„ Where am I at the moment?
This topic will help you address the stage of establishing purpose
and direction within the personal development planning cycle.

1.1 Strategy and the leader


Strategy impacts on three levels of an organisation.

SR 3
Johnson et al suggest that these three levels are as follows:
„ Corporate level: What business are we in? How should we be
structured? How should we finance the business?
„ Business level: What market or sector should we target?
What products or services should we offer? Who are our
customers?
„ Operational level: How should the various functions within
the organisation work together to ensure the business and
corporate strategy is achieved?
So, for example, at the corporate level, senior managers should
be undertaking strategic analysis to determine the strategic
direction of the organisation, asking themselves questions like
‘Should we be expanding our existing service to new markets and
customers?’
At the business level senior managers might determine a specific
sector to offer these services to, for example, the transportation
sector.

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Personal Leadership Development as a Strategic Manager

And at the operational level, this may involve senior managers


communicating these strategic plans to their teams via a series
of team briefings.

Activity Activity 1.1a 30 minutes


Think about your involvement in strategy-making at the three
levels described above, and in the table below list the activities
you carry out in these areas. Then consider what your strengths
and weaknesses are and how you could improve your
contribution.

Level of Activities you Strengths and


strategy undertake weaknesses and how
to improve them
Corporate
level

Business
level

Operational
level

High-level decision making


SR 3
Strategy is often linked to high-level decision making within the
organisation. Johnson et al suggest that strategic decisions have
the following features:
„ They relate to the scope of an organisation’s activities.
„ They involve matching the activities of the organisation to
the environment in which it operates.
„ They involve matching activities to resources and in
particular the resource capacity.
„ They have major resource implications.
„ They affect the operational decisions that the organisation
takes.
„ They impact on the values and expectations of the
stakeholders in the organisation and will have a significant
effect.
„ They are likely to have longer-term implications.

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Section 1 Identifying personal skills

Activity Activity 1.1b 30 minutes


Review the Johnson et al list of strategic decisions above and
identify the ones that you feel you’re involved with currently.

How would you rate your competence in these areas? Which are
strengths or opportunities for development?

How could you make that development happen?

Strategy and high-level change

SR 4, 5
Mintzberg suggests that strategic formulation doesn’t take place
evenly. There are four patterns of strategic change related to
both the organisation and the individual. Murdock and Scutt
relate Mintzberg’s work to how these changes would impact on
an organisation and an individual.

Strategic change Organisational Personal


example example
Incremental Annual workload Improving
adjustments computer skills
Continuity where very Move to contract Learning a new
little changes over time staff language
Periods of flux and Major Changing job
uncertainty reorganisation
Major transformations Organisational Career change
closure/takeover

Understanding the impact of strategic change is important for


personal development as a strategic manager and leader.
Strategic change will have an impact on the organisation and it’s
your role to plan, implement, monitor and review any change
implementation resulting from this.

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Personal Leadership Development as a Strategic Manager

Strategic change is also likely to impact on you personally, and,


again, it’s important that you consider whether this strategic
change highlights the need for personal development.

Activity Activity 1.1c 30 minutes


Which aspects of Mintzberg’s strategic change do you recognise?

Which ones do you have the most involvement with?

How do you think you can improve in managing these change


areas?

Strategy, mission and values


SR 3
Johnson et al define a mission statement as ‘an overriding
premise in line with the values or expectations of the
stakeholders of the organisation’. Here are some examples.

Psion plc
Our mission is to grow rapidly and profitably through innovation
in mobile internet.
In pursuing this mission, we will deliver value:
„ to shareholders through superior returns
„ to customers through solutions and devices that enhance
their quality of life and personal effectiveness
„ to staff through a stimulating environment that encourages
innovation.

Sainsburys plc
Our mission is to be the consumer’s first choice for food,
delivering products of outstanding quality and great service at a
competitive cost through working ‘faster, simpler and
together’.

Churchill China
To be a leading provider to the tabletop market and deliver
value through excellence in design, quality and customer
service.

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Section 1 Identifying personal skills

SR 5
Murdock and Scutt discuss the issues that can occur when a new
set of values replaces a previously accepted set. This may have
come about by a major strategic transformational change. They
quote the example of public sector organisations which have had
to meet performance targets as a result of strategic change
initiatives, and how this approach has caused issues with
organisational and individual values about public service.

Activity Activity 1.1d 30 minutes


Using your own organisation’s mission statement, or one from an
organisation that you know well, answer the following questions.
„ What values are explicitly contained within this mission
statement?

„ What values are implicit in this mission statement?

„ What types of behaviours would reflect these values?

Problems in behaving strategically


This subject is covered in much greater depth in Development
Guide 7006V1/7011V1 and also appears in different contexts in
other units.

SR 4
Mintzberg suggests that there are two definitions of strategy that
can help us understand how it’s arrived at:
„ Deliberate strategy: This is based on precise intentions, set
out in some detail about what was intended, which must have
been held in common by members of the organisation. Events
must have worked out exactly as intended without any
surprises.
„ Emergent strategy: This requires that there must have been
no intention to achieve the actual consequence from the
actions taken.

SR 5
Murdock and Scutt challenge Mintzberg’s thinking and suggest
that this can be represented more accurately as a continuum.

Deliberate strategy Emergent strategy

Figure 1.1a: Strategy as a continuum

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Personal Leadership Development as a Strategic Manager

This illustrates the problem for managers in behaving


strategically. You can’t cover everything with strategic planning.
Sometimes things will happen that impact on a deliberate
strategic approach, and many events are outside the direct
control of a manager. Strategic managers need to be aware of
changing circumstances and be prepared to abandon a planned
strategy if a sudden opportunity occurs.
There can also be unexpected changes to the economic climate.
At the time of writing in late 2008, the economic effects of the
‘credit crunch’ are far reaching, with a global slowdown in the
flow of money and investment and many organisations focusing
on cost reduction. Your organisation may or may not have seen
this slowdown coming and you’ll most likely have had to make a
number of changes to existing strategic plans.
This competency of being flexible and adaptable is another key
competency as a strategic manager and leader.

Activity Activity 1.1e 30 minutes


What managerial and leadership behaviours would you recognise
in your organisation that support the following:
„ a deliberate strategy?

„ an emergent strategy?

List the personal skills you would have to develop to improve in


the delivery of these and note alongside how you would you do
that.

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Section 1 Identifying personal skills

1.2 Understanding your organisation’s purpose


These issues are covered in more detail in Development Guide
7006V1/7011V1.

Explicit mission and vision statements

SR 7
In CMI’s checklist ‘Producing a corporate mission’ a corporate
mission or vision is taken to mean ‘a description of the road
ahead. It describes the purpose of the organisation, identifies
how an organisation defines success, outlines the strategy that
will be followed to achieve success and incorporates the shared
values and behaviour that the organisation expects from
employees’.
In some organisations this may be written down as a vision
statement, a mission statement or some other title. It’s from this
statement that organisational goals and objectives are
developed.
A well-produced mission statement:
„ outlines clearly the way ahead for the organisation
„ provides information and inspiration to employees
„ identifies the business in which the organisation will be in the
future
„ provides a definition of success
„ provides a living statement which can be translated into goals
and objectives at each level of the organisation.
There can be some confusion over the terminology of what it’s
called, but the important thing is that it makes sense to the
organisation, employees, customers and other stakeholders.
A good mission statement also provides:
„ a description of the business
„ the mission of the organisation
„ the broad strategies to be pursued to fulfil the mission
„ a summary statement of the values to which the organisation
adheres.

SR 8
Developing a mission statement is only one aspect of the
strategic planning process. If you would like to explore this
further, refer to the CMI checklist ‘Strategic planning’.

Internal alignment
SR 1
John Burgoyne describes how organisations can use mission or
vision statements for internal alignment. In this approach
employees behave in ways that align with the organisational
purpose because they believe in this purpose and are internally
driven by these beliefs.
Burgoyne goes on to identify four ways in which individual beliefs
may have become aligned to an organisation’s purpose:

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Personal Leadership Development as a Strategic Manager

„ They may have a vocational interest, a ‘calling’ for what they


do.
„ They may be inspired by the leaders of the organisation.
„ They may have been involved in the forming of the
organisation’s mission and support it because of this
involvement.
„ They have been persuaded to the values of the organisation —
sometimes called socialisation, ‘bringing people on board’ or
‘brainwashing’ depending on your viewpoint.
An example of this would be people who work in the not-for-
profit sector, such as a charity. Many managers and leaders
choose to work for a charity because their own personal values
are aligned with the charity’s values.

Activity Activity 1.2a 30 minutes


Think about your own beliefs and how they align with your
organisation’s purpose. Using Burgoyne’s framework analyse how
those beliefs are aligned with your organisation’s purpose. Which
ones do you align to? Make notes in the spaces below.
„ Vocational interest?

„ Inspired by leaders?

„ Involvement in forming the mission, vision or statement of


strategic direction?

„ By socialisation?

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Section 1 Identifying personal skills

1.3 Aligning development with strategic direction


Having considered the strategic direction of the organisation, it’s
important to think about how you intend to align yourself with it.
What’s important to the organisation? What does that mean in
terms of needs? What values and behaviours does it expect of its
people and its managers?
This analysis is useful as a development tool and will help answer
the question: What does the organisation need?
This is often called a ‘top down’ approach. It can then be used in
conjunction with an audit of current knowledge, skills and
capabilities — a ‘bottom up’ approach. This will help answer the
question: Where am I at the moment?
Having these two areas mapped out, helps carry out an audit of
competencies often called a ‘gap analysis’. This can form the
basis of any development planning.

SR 2
The following figure shows this process visually.

What does the Mission or vision statement,


organisation values statement,
need? (top down) business plan

Current
Competency
Gap analysis knowledge, skills
requirements
and capabilities

Human resource What do staff


development have to offer?
plan (bottom up)

Figure 1.3a: Gap analysis


Source: Adapted from Thompson and Mabey, (1994)

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Activity Activity 1.3a 30 minutes


Consider the strategic direction of your organisation. What does
it tell you about which managerial competencies are required?
If you look back at the ideas discussed in this topic, the levels of
strategy a manager may be involved with are the following:
„ strategic decision making
„ strategic change
„ organisational values
„ strategic behaviours
„ belief alignment.
List in the table below the competencies you need to operate
successfully at these strategic levels and note how they would
help.

Competency How would these help?

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SR Supporting resources
Books
1 Burgoyne, J., 1999, Developing Yourself, Your Career and
Your Organisation, London, Lemos & Crane — helpful book for
considering management and leadership development tools
and techniques.
2 Thomson, R., and Mabey, C., 1994, Developing Human
Resources, The Institute of Management, Butterworth
Heinemann — good overview of managing people and
development.
3 Johnson, G., Scholes, K., and Whittington, R., 2008,
Exploring Corporate Strategy, 8th edition, Pearson Education
— the building blocks of studying strategy for managers and
leaders.
4 Mintzberg, H., 1994, The Rise and Fall of Strategic Planning,
The Free Press — renowned management guru exploring the
impact of strategic decision making.
5 Murdock, A., and Scutt, C., 2003, Personal Effectiveness,
Chartered Management Institute Series, Oxford, Elsevier
Butterworth-Heinemann — a good all-round overview of the
management and leadership role.

Articles
6 Barber, Steven, May 2005, ‘Political Approach to Strategy’,
Professional Manager — summarises a key CMI research paper
on political skills required for managers. P+

Checklists
7 Producing a corporate mission — some good tips on
developing mission and vision statements. P+
8 Strategic planning — ideas on the process, tools and
techniques of strategic planning. P+
9 Personal development planning — includes the development
cycle that’s referred to throughout this development guide.
P+

Leader videos
10 Ahuja, Sanjiv, ‘Communicate your strategy clearly’— some
good tips on getting your message across as senior manager or
leader. P+

Weblinks
11 www.mindtools.com/pages/article/leadership-mistakes.htm -
Common Leadership and Management Mistakes: Avoiding
Universal Pitfalls.
12 www.strategy-business.com/ — helpful area for exploring
strategy techniques.

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13 www.henrymintzberg.com/ — renowned management guru’s


website with interesting information and further links.
14 www.tutor2u.net — helpful website with examples of mission
statements.

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Section 1 Identifying personal skills

Topic 2: Strategic skills

Introduction
In this topic you’ll be looking at strategic skills and competencies
— a mix of knowledge, skills and behaviours. You may be asking
what makes up strategic leadership competencies? One approach
is to consider the responsibilities of a strategic leader and
explore those in order to identify personal competencies as
potential development needs.
As well as responsibilities, you’ll see that strategic leaders carry
out two key roles. There are competencies within these roles
that would be useful to consider for development purposes.
Strategic leadership style can also be a helpful framework. You’ll
explore six key styles and use these to identify competencies for
development.
There are a number of other leadership competencies, such as
political awareness and transformative leadership, that can be
useful frameworks and you’ll look at some of the key thinking in
these areas.
A helpful development process at this stage is to conduct a
personal gap analysis. This considers what performance outcomes
are required both now and in the future. These can determine
personal competencies that you can take forward into
development planning.
This topic will help address the stage of identifying development
needs within the personal development planning cycle.

2.1 Strategic leadership competencies


Responsibilities
SR 1
Thompson and Martin suggest that the strategic leader has the
following responsibilities:
„ To manage the business on behalf of all the stakeholders (or
interested parties).
„ To provide direction in the form of a mission or purpose.
„ To formulate and implement changes to corporate strategies.
„ To monitor and control operations with special reference to
financial results, productivity, quality, customer service,
innovation, new products and services and staff development.
„ To provide policies and guidelines for other managers to
facilitate both the management of operations and changes in
competitive and functional strategies.

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Activity Activity 2.1a 30 minutes


Consider the five responsibilities identified above. Rank them
from 1 to 5 in terms of importance to your current role (1 being
of the highest importance).
Then rank them from 1 to 5 in terms of current competency (5
being the highest competency).
Review your scores. Your priorities for development could be any
lower scores — usually higher importance but lower competency.
Make notes in the space below about what knowledge, skills or
behaviours might contribute to developing this competency.

Highlight those responsibilities that you need to work on. Think


about skills, knowledge and behaviour. Develop ideas about how
to improve your competence.

2.2 Strategic leadership roles


This subject is developed further in Development Guide
7013V1/7014V1 Strategic Leadership and Strategic Leadership
Practice.

SR 3
Kets de Vries suggests that strategic leaders undertake two key
roles:
„ a charismatic role — more about vision, empowerment and
energy
„ an architectural role — more about structure, control and
reward (see the figure below).
For example, you could suggest that people like Tony Blair,
Richard Branson and Anita Roddick are (or were) very strong in
the charismatic role, while people like Alan Sugar, Margaret
Thatcher and Alex Ferguson are (or were) very strong in the
architectural role associated with effective strategic leadership.

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Effective „ Strategies are owned


strategic „ Customers are satisfied
leadership „ People enjoy work
„ Things can happen and
change quickly

Charismatic Architectural
role role

„ Organisational
„ Vision and direction
structure
„ Empowered people
„ Management control
„ Energised people
and reward system

Figure 2.1a: Roles of a strategic leader


Source: Adapted from Thompson and Martin (2005)

This could be viewed as a simplistic view of strategic leadership,


but it does highlight the fact that effective strategic leaders do
have to carry out different roles at different times and therefore
need a wide range of competencies to draw on. It also might help
explain leadership behaviour as you may have a preference to
operate in just one area whenever possible, but it’s important to
at least be aware of the other and the benefits that go with it.

Activity Activity 2.1b 30 minutes


Think about your own role. How much time (percentage) would
you say you spend operating in a charismatic role and how much
in an architectural role?

What role do you think your organisation needs you to fulfil in


order to meet its strategic direction?

What is your plan for achieving this?

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Strategic leadership style

SR 1
Thompson and Martin also identified six styles that a strategic
leader could adopt. They suggest that every leader will have a
dominant style, but it’s important to ensure that the others are
not neglected as they all have something to contribute.

Strategic leadership style Contribution


Aspirational visionary style Provides direction
Public relations style Provides a high visible profile
Operational tactical style Provides hands-on involvement
Human resource style Provides supportive environment
with coaching
Financial engineering style Provides tight control systems
Analytical style Provides thoughts and plans
Source: Adapted from Thompson and Martin (2005)

This can be used as an analysis tool to recognise what styles are


being used within an organisation and to also highlight potential
development areas for individual leaders.

Activity Activity 2.1c 30 minutes


Think about your own strategic leadership style. Evaluate it
against the six styles identified above. What are your strengths?
What might be development opportunities?

Style Strength? Development area?


(evidence) (reason)
Aspirational
visionary style

Public relations
style

Operational
tactical style

Human resource
style

Financial
engineering
style

Analytical style

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What styles are valued in your organisation?

Why do you think this is?

What this analysis and activity show is that effective strategic


leadership is often a matter of style. It’s important to think
about your personal style, what styles are accepted or valued in
your organisation and whether you’ll need to develop or adapt
your personal style to align yourself with the organisation. This
can be an important step towards personal development as a
strategic manager or leader.

Some other approaches to strategic leadership skills


SR 4, 6
Michael Millar in his article ‘Politics at work’ highlighted a key
piece of research conducted by the Chartered Management
Institute. The findings appear in a report called Leading with
Political Awareness: Developing Leaders Skills to Manage the
Political Dimension Across All Sectors.
Millar identifies political awareness skills as being important for
strategic managers and leaders. His article suggests the following
as being other important skills:
„ strategic direction and scanning
„ building alignment and alliances
„ reading people and situations
„ interpersonal skills
„ personal skills.
These skills are identified within the report, the key findings of
which were as follows:
„ The most common understanding of ‘politics’ among
managers is of alliance-building to achieve organisational
objectives.
„ Far fewer managers view politics solely in terms of people
‘protecting their turf’ or pursuing personal advantage.
„ In the private sector individual advancement is reported to be
more of a priority than it is for either the public or the
voluntary sectors.

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„ Shaping key priorities within the organisation is currently


viewed as the most important activity requiring political
awareness skills.
„ In the future, managers predict a significant shift in the need
to use political skills to build external partnerships.
Six out of ten managers think their political awareness is ‘good’
but only one% rate themselves as ‘excellent’. As a strategic
management competency, political awareness can be very
valuable. The further you move up the management and
leadership ladder, the more valuable this competency becomes.
For example, a lot of organisational strategic direction is focused
on building partnerships with other organisations, which requires
a lot of political awareness.

SR 13
Rosabeth Moss Kanter in a 50 lessons video explains that a key
competency for strategic leaders is to prepare thoroughly and to
know the audience whenever they are asked to put their point of
view across.

Activity Activity 2.1d 20 minutes


How important is this competency within your role? Consider
when you would use it, how it adds value and what might be a
development area.

SR 9
Warren Bennis discussed the concept of a transformative leader
and identified four competencies:
„ attention through vision
„ meaning through communication
„ trust through positioning
„ the deployment of self through positive self-regard.
These competencies are linked to the following strategic
approaches:
„ the creation of a compelling vision
„ the translation of meaning into social architecture
„ the position of the organisation in the outside world
„ the development of organisational learning.
They go on to say that this creates an empowering environment
and the accompanying culture. It enables employees to generate
a sense of meaning in their work.

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Some key myths about leadership are also challenged, as follows:


„ That leadership is a rare skill — it is not.
„ That leaders are born — they are not.
„ That leaders are charismatic — most are ordinary (interesting
to compare this with the strategic leadership role identified
by Thompson and Martin earlier).
„ That leadership can exist only at the top — it is relevant at all
levels.
„ That leaders control, direct and manipulate — they do not.
„ Transformative leaders align the energies of others behind an
attractive goal — not everyone will always align themselves.
You could draw the conclusion that these key leadership
competencies can be developed in leaders.

Activity Activity 2.1e 30 minutes


Consider the four strategic leadership competencies identified
above. How important are they to your organisation? How would
you rate your current competence (1 = poor and 10 = role
model)?

Competency Importance to Current


organisation competence
(low/medium/high) (0—10)
Attention through vision

Meaning through
communication

Trust through positioning

The deployment of self


through positive self-
regard

Consider your scoring of current competence. Identify


opportunities for development where the importance to the
organisation is high and your current competence is less than 10.
How might you develop this competence?

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2.3 Conducting a personal gap analysis


An integrated competency model
SR 2
Michael Boyatzis developed a model based on competencies,
which he describes as ‘the underlying characteristics of a person
which results in effective and/or superior performance on the
job’. The model shows the links between the following:
„ An individual’s competencies — what an individual brings to
the job (knowledge, skills and behaviours).
„ Demands of the job — activities and tasks the individual has
to complete as part of their job role and responsibilities.
„ Organisational environment — the context in which the
individual works (vision, direction, values, culture, policies,
resources).
This interaction results in specific behaviours or actions and it’s
these that determine performance outcomes.

Individual’s
competencies

Actions or
behaviours

Demands of Organisation
the job environment

Figure 2.3a: Integrated competency model


Source: Adapted from Boyatzis (1982)

The Boyatzis model highlights the fact that strategic managers


and leaders need to combine these three aspects and
demonstrate effective actions and behaviours to achieve
outcomes. If you want to perform, there needs to be an
integration of the three other aspects.
You can use the integrated competency model as a basis for a
personal gap analysis. You can use it to assess the relationship
between your existing, required and future competencies to
achieve the strategic ambitions of your organisation.

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Section 1 Identifying personal skills

Activity Activity 2.3a 60 minutes


Review all the actions from the activities completed so far and
then do a gap analysis. It should be conducted in two stages:
„ Stage 1: Where am I now?
„ Stage 2: Where do I want to be?
By comparing these two stages you’ll arrive at a gap. You can
then use that gap as the basis for your personal development
planning.

Where am I now?

In terms of current demands


and organisation
environment, what do I
currently achieve?
(Outcomes)

In terms of current demands


and organisation
environment, how do I
achieve the outcomes?
(Behaviours)

In terms of current demands


and organisation
environment, what helps me
achieve the outcomes?
(Skills)

In terms of current demands


and organisation
environment, what do I
know that helps me achieve
the outcomes? (Knowledge
and understanding)

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Where do I want to be?

Considering the future


demands of the job and
the organisation
environment, what will I
need to achieve in terms
of future performance
outcomes (in one year,
three years or five years)?
(Outcomes)
Considering the future
demands of the job and
the organisation
environment, how will I
do it and what changes to
behaviour will I need to
develop? (Behaviours)

Considering the future


demands of the job and
the organisation
environment, what new
skills will I need to
develop? (Skills)

Considering the future


demands of the job and
the organisation
environment, what new
knowledge and
understanding will I need
to develop? (Knowledge
and understanding)

Having completed the two stages, compare your answers to both


the questions. From this you should be able to identify some
focus areas.
Start with the outcomes: what are the key differences? Will
these differences require development to behaviours, skills or
knowledge and understanding? It might be that all three will
need some form of development.

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Section 1 Identifying personal skills

From carrying out this activity you should be able to identify


some focus areas that can be used as potential development
areas. Later, you’ll reflect on these and potentially take them
forward as development opportunities.

SR
Supporting resources
Books
1 Thompson, J., and Martin, F., 2005, Strategic Management:
Awareness and Change, 5th edition, Thomson Learning —
explores all aspects of strategic management and leadership.
2 Boyatzis, M., 1982,The Competent Manager, Wiley —
fundamental reading for a discussion of management and
leadership competencies.
Articles
3 Kets de Vries, M., 1996, ‘Leaders who make a difference’,
European Management Journal, Vol 14 (5) — discusses a
helpful framework for strategic leadership competencies.
4 Millar, Michael, July 2007, ‘Politics at work’, Professional
Manager — summarises key research from CMI on political
skills for leaders paper. P+
Models
5 SWOT analysis personal — helpful tool for self-development
assessment. P+
Research summaries
6 Leading with political awareness: developing leaders skills to
manage the political dimension across all sectors — summary
of research highlighting what political skills leaders require.
P+
7 Leading change in the public sector: making the difference —
considers what public sector leadership is about and explores
leadership approaches. P+
Best practice
8 Code of professional conduct and practice — useful
benchmark for competency development. P+
Thinkers
9 Warren Bennis: Leadership guru — interesting research on
strategic skills. P+
10 Stephen R. Covey: The seven habits of highly effective people
— helpful starting point for any personal development
activities. P+
11 Daniel Goleman: Emotional intelligence — useful exploration
of interpersonal skills for managers and leaders. P+
12 Victor H. Vroom: Motivation and leadership decision making —
fundamental building block for leadership development. P+

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Leader videos
13 Moss Kanter, Rosabeth, ‘Prepare thoroughly and know your
audience’ — helpful tips on presenting your message. P+
Weblinks
14 Leadership Skills: Become an Exceptional Leader -
www.mindtools.com/pages/main/newMN_LDR.htm

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Section summary
In this section you’ve looked at personal skills, covering the
following:

Topic 1: Analysing the strategic direction of the


organisation
„ strategy impacts on three levels of an organisation —
corporate, business and operational level (1.1)
„ strategy is about high-level decision making (1.1)
„ strategy is about managing high-level change (1.1)
„ strategy is about behaviour: mission and values (1.1)
„ problems in behaving strategically (1.1)
„ explicit mission and vision statements (1.2)
„ Burgoyne’s framework for internal alignment (1.2)
„ aligning development with strategic direction (1.3)

Topic 2: Strategic skills


„ strategic leadership competencies (2.1)
„ five responsibilities (2.1)
„ two key roles to fulfil ( 2.2)
„ six strategic leadership styles that could be adopted (2.2)
„ some comparisons to approaches (2.2)
„ a personal gap analysis (2.3)
„ integrated competency (2.3)
„ a framework for the personal gap analysis (2.3)

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Activity Section summary activity 60 minutes


Consider the personal development planning process outlined in
the section introduction and look at the results of the various
activities you’ve carried out.
How would you summarise your organisation’s purpose/
direction?

What development needs have you identified that you would like
to take forward for development?

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Section 2 Personal leadership
development
Introduction
In this section you’ll consider how to manage personal leadership
development in order to support the achievement of your
organisation’s strategic ambitions. In doing this, you’ll look at
the opportunities to support leadership development, construct
personal leadership development plans and consider the
implementation process.
You’ll also consider how to evaluate the effectiveness of the
leadership development plan.
You’ll continue to look at the personal development cycle:
„ Look at development opportunities
„ Formulate action plan.
Again, this will be in the context of personal leadership
development.
Establish the
purpose/direction

Review and Identify


evaluate development need

Look at
Record development
outcomes opportunities

Undertake Formulate
development action plan

Figure 2.0a: Personal development planning cycle

Learning outcomes
This section covers the following learning outcomes:
7001V1.2 Be able to manage personal leadership development
to support achievement of strategic ambitions
7001V1.3 Be able to evaluate the effectiveness of the
leadership development plan

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Section mind map


There are two topics in this section as shown below. Check the
subjects within each one and then continue with the areas you
need to explore.

Section 2:
Personal
leadership
development
Topic 2:
Planning,
implementation
Topic 1: and evaluation
Leadership
development
opportunities

2.1
1.3 Career Leadership
planning development
planning

1.1 Where am I
as a leader? 2.2
1.2 Implementing 2.3 Evaluating
Opportunities the the
for development development
development plan plan

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Section 2 Personal leadership development

Topic 1: Leadership development


opportunities

Introduction
This topic will help you identify leadership development
opportunities. To begin with it will encourage you to consider
where you are as a leader and you’ll do this through self-
awareness. A mechanism for using feedback is discussed and
you’ll also consider how you learn best. You’ll then conduct a
personal SWOT analysis to collate the self-awareness
information.
Your next task is to explore opportunities. You’ll examine three
options for this — education, training and development — and
consider the relative strengths of each approach by reviewing
some articles that explore this area.
Finally, you’ll look at career planning as a longer-term
development issue and consider how your shorter-term
development plans should align with this. You’ll look at the
concept of career pipelines, how your organisation can support
career development and explore what you feel are your career
anchors and how these may shape any leadership development
opportunities.
This topic will help identify learning opportunities from the
personal development planning cycle.

1.1 Where am I as a leader?


SR 7
The Johari Window framework was developed by Joseph Luft and
Harry Ingham. It can be a helpful tool for self-awareness and
demonstrates how feedback from others enables us to learn what
others see in our behaviour.
Self
Solicits feedback
Things I
Things I know
don’t know

Arena Blind spot


Things
Gives feedback
Self-disclosure

they know
Group

or

Things
they don’t
know Facade Unknown

Unconscious

Figure 1.1a: Johari window

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For personal leadership development, it would be useful to


explore all four areas or windows. You should be aiming to
reduce the following:
„ façade
„ blind spot
„ unknown areas.
If you can do this, you’ll increase the size of the arena area or
window. You can do this by undertaking development activities
that facilitate the giving and receiving of feedback. This could
include:
„ being coached
„ being mentored
„ performance review or appraisal
„ 360 degree feedback analysis
„ psychometric assessment
„ undertaking an accredited development programme
„ group feedback or interaction sessions.
An example of how this might work is shown below.

Scenario Ben is a senior marketing manager in a mobile phone distribution


company. Ben is currently studying for a Level 7 Diploma in
Strategic Management and Leadership. As part of this study, he
considers how the Johari Window concept could be used to
highlight potential development areas. He then thinks about how
he might gain feedback on these.

Window area Development area How feedback obtained


Arena I know my Performance appraisal
strategic planning with my boss
skills need some
development
Blind spot Feedback from 360 degree feedback
staff highlighted analysis
my need to
communicate
strategic goals
more effectively
Facade I know that I have My sessions with the
to work on being executive coach
more patient with
people
Unknown Potential aspects Feedback from my OPQ
for development assessment and discussion
that relate to of results with my
personality or mentor. Do they identify
behaviour opportunities for
development?

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Section 2 Personal leadership development

Activity Activity 1.1a 30 minutes


Answer the following questions.
„ How might you gain some feedback on where you are as a
leader?

„ Who might you consult with?

„ How might you do it?

„ Do you have any current feedback that you could use as a


starting point?

Kolb’s learning cycle


SR 9
An important aspect of self-awareness is to understand how you
learn and how you can learn more effectively. This model
developed by David Kolb identifies a four-stage cycle of learning.
Experience

Reflection
Experimentation

Conceptualisation
Source: Kolb (1981)

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Activity Activity 1.1b 30 minutes


Consider the stage of reflection within the learning cycle.
Follow-up research often highlights the value of this stage for
senior managers and their development.
How might you develop the skill of reflective learning?

Personal SWOT analysis


Another helpful tool for self-awareness is to carry out a personal
SWOT analysis. The SWOT analysis tool is used extensively in
strategic planning but can be applied very effectively to a
personal development context.

SR 8
Your aim should be to identify development needs, reach
decisions on the next steps to take and enable yourself to plan to
take advantage of any talents and opportunities. Gaining some
input and feedback from others can help make the evaluation
more valid. These findings can provide useful input to any
development planning.

1.2 Opportunities for development


Three options for development
Having undertaken as many self-assessment activities as possible,
you should now be in a position to identify what you need to
develop. These may be any of the following:
„ One or more strategic leadership competencies that will
enable you to achieve performance outcomes and meet your
organisation’s strategic ambitions.
„ A knowledge gap or relevant skill improvement area — this
may have come to your attention by undertaking a feedback
activity such as 360 degree feedback.
„ A behavioural preference that may need development — this
may have been highlighted by undertaking psychometric
assessment.
It’s now time to consider how these development gaps may be
closed. Some options for activities for a senior manager and
leader would be as follows.

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Section 2 Personal leadership development

Options Example activity


Education Undertake a senior management and leadership
qualification such as the Level 7 Diploma in
Strategic Management and Leadership
Training Undertake specific training to help develop a
specific skill or close a knowledge gap, such as
presentation skills for senior managers (two-day
workshop with video replay and feedback)
Development These could be work-based:
„ work shadowing
„ job rotation
„ secondment
„ coaching or being coached
„ mentoring or being mentored
„ counselling or being counselled.
Or they could be personal-based:
„ reading
„ authorship
„ presenting papers
„ networking
„ community involvement.

The personal-based development opportunities are often


neglected in favour of work-based routes. From the above
examples, a senior manager wanting to undertake this type of
development could do the following:
„ read a book on a specific subject area, such as strategic
direction and planning
„ write an article for a journal or magazine, such as
Professional Manager, on how a manager needs the right
competencies for strategic direction activities at work
„ present a paper on how their organisation had trained
managers to be more effective at strategic planning
„ get involved in a local Chartered Management Institute
branch group and attend quarterly meetings
„ get involved with a local school and speak to sixth form
students about a career in their industry.

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Activity Activity 1.2a 30 minutes


Which development options seem to offer you the best route
forward? Fill in the table below.

Development Education Training Development


need Yes/No? Yes/No? (work or
personal)
How? How?
Yes/No?
How?

The education option


The education option takes place over a sustained but finite
period of time and usually leads to a qualification. It may also
result in leading you to a new career direction.

SR 5, 6
Erika Lucas discusses the fact that less than 20% of the UK’s 4.6
million managers have a management qualification. This is based
on research carried out by the Chartered Management Institute,
and the key findings were as follows:
„ Improved business performance when development is linked
to business strategy.
„ A significant shift in the priority given to management
development by employers.
„ A change in attitude towards what makes a good manager and
how development should be delivered.
„ Trends among organisations towards active talent
management and fast-tracking high potential managers.

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The training option


The training option is carried out at a specific time and place and
is usually vocationally relevant and limited to specific,
measurable aims and objectives.

The development option


The development option encompasses a large number of
activities with learning potential that are either work-based or
personal or a combination of both.

SR 4
Paul Brown explores the potential that management
development programmes designed for senior managers have in
contributing to the strategic management capabilities of
organisations.
Brown’s research found that these programmes are able to
contribute to strategy formulation and implementation, including
the management of change. They also help develop strategic
management competencies in participants.
The research identified that the most challenging areas for these
programmes were as follows:
„ developing abilities in strategic management
„ developing leadership ability
„ encouraging innovation and creativity.
Brown also concludes that there are often personal barriers that
make senior managers and directors reluctant to engage with
these programmes. In addition, there are organisational barriers
that make it difficult for senior managers to implement their
strategic role. Some quite simply lack the opportunities to
become involved in strategic direction and planning.

Activity Activity 1.2b 30 minutes


Consider your own experiences of any management or leadership
development programmes you’ve been involved with.

What worked and why?

What didn’t work and why?

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What lessons does that bring for you as you work through this
programme?

1.3 Career planning


As well as considering shorter-term development needs, it’s
important to consider leadership development on a longer-term
basis. This sort of planning is often called ‘career planning’. It
might relate to a timeframe of three to five years. In this
timeframe you have to ensure any short-term development is
aligned with and contributing to longer-term career development
goals or aspirations.
Career pipelines

SR 3
The model below considers the various levels of management and
relates these to a career plan or pipeline.
Enterprise
manager
Group
manager

Business
Passage 6
manager

Functional Passage 5
manager

Manage
Passage 4
managers

Manage Passage 3
others

Manage
Passage 2
self

Passage 1

Start

Figure 1.3a: The leadership pipeline


Source: Adapted from Pedler, Burgoyne and Boydell (2007), A Manager’s Guide
to Self-Development, 5th edition, reproduced with the kind permission of
McGraw-Hill Publishing Company

The model represents the seven levels of managing, from


managing yourself to managing an enterprise. Each progression
(or passage) up to the next level of management requires the
development of new abilities.

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For organisations the challenge is to have the right numbers of


people at each level so that a number of these can be developed
up the ‘pipeline’ to the next stage. Another challenge for
organisations is to help people manage the transitions and not
just rely on learning from experience.
The seven levels can be summarised as follows.

Level Definition
Managing Manage ourselves and our work
self
Managing Managing other people in small teams
others
Manage Managing individuals and teams through their
managers managers
Functional Manage a business function at operational level
manager and contribute to overall business goals
Business Manage groups of functions, managing a business
manager unit, part of the general management team
Group Manage a group of business units, coordinating
manager activities
Enterprise Manages the strategic direction of the whole
manager business concern
Source: Adapted from Pedler et al. (2007), A Manager’s Guide to Self-
Development, 5th edition, reproduced with the kind permission of McGraw-Hill
Publishing Company

Activity Activity 1.3a 30 minutes


Where would you position yourself on the leadership pipeline?

What would you need to do in terms of development to make the


transition to the next level?

Reviewing where you are on this leadership pipeline should help


you with your development planning. Have you just entered the
level? Have you been at this level for a while? Are you close to
moving up to the next level? Are you clear about what you need
to do in order to reach this in terms of development?

The organisation’s role in career development


SR 1
Burgoyne identified seven levels of effective management
development within an organisation. These are shown in the
table below.

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Level Activity
Level 0 No systematic learning or career development. The
natural and informal processes are not working
either.
Level 1 No deliberate assistance with learning or career
development but the organisation keeps going on
natural and informal processes.
Level 2 Uncoordinated tactics used — assisted learning
and/or career development but not linked.
Level 3 Coordinated tactics used — learning assistance and
career development processes that are linked to
each other.
Level 4 Implementation of corporate strategy through
coordinated tactics of learning assistance and career
structuring.
Level 5 Improvement as well as implementation of corporate
strategy through input on managerial competence
and potential for decision making.
Level 6 Improving the quality of the strategy process through
learning as well as informing and implementing it.

Burgoyne suggests that these levels represent what’s going on


behind the scenes of organisation development and career
management.

Activity Activity 1.3b 30 minutes


Using the above framework, where would you position the
management of your organisation?

How would this level affect any development planning you would
undertake?

Career anchors

SR 2
Torrington, Hall and Taylor discussed the concept of ‘career
anchors’. In their words these ‘represent the self-perceived
talents, values and needs of individuals. They help to explain
past career choices and have a bearing on future choices.
Individual people usually have a combination of anchors’.
The career anchor concept was developed by Edgar Schein, who
initially identified five career anchors and then added another
four.

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Career anchor Summary


Technical/functional Interested in technical content of their
competence work. Like to exercise technical skills.
Will accept managerial responsibilities
within their area.
Managerial Focused on managerial responsibility,
competence possess three key competences:
analytical, interpersonal and emotional
resilience.
Security and Focused on maintaining job security.
stability More likely to integrate career with
home life.
Creativity Often feel the need to build something
new. Driven by new projects and an
entrepreneurial spirit.
Autonomy and Have a desire to be free of organisational
independence constraints in their own technical or
functional competence.
Basic identity Driven by the need to achieve an
occupational identity.
Service to others Driven by a need to help others, often
using interpersonal competences.
Power, influence Could be a part of the managerial anchor
and control but often separate. Like the opportunity
to exercise influence and control over
others.
Variety Often relevant for people with a wide
range of talents. Like flexibility and
could get bored easily.
Source: Adapted from Torrington, Hall and Taylor (2002)

Here are some examples of how this might work: the


technical/functional anchor may suit a chartered engineer or
accountant; the service to others may suit a counsellor working
for a not-for-profit organisation; and the variety anchor may suit
a freelance training consultant.

Activity Activity 1.3c 30 minutes


Using the above framework, how would you define your career
anchors?

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What evidence would support this?

How would this shape any career development planning you


would undertake?

Torrington et al go on to discuss the fact that in the current


climate there are other important considerations that may shape
career planning and development:
„ career balance (work/life balance)
„ parenting and caring
„ partner’s career choices
„ changing lifestyle values.
Whatever path is chosen, the individual needs to take ownership
and manage their careers. Organisations can provide help and
support and opportunities but the overall responsibility rests with
the individual.

Activity Activity 1.3d 60 minutes


Consider all the areas discussed in this topic so far. Which seem
to be the key leadership development opportunities for you?

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Why are these important to you or your organisation?

How might you develop these opportunities?

SR Supporting resources
Books
1 Burgoyne, J., 1999, Developing Yourself, Your Career and
Your Organisation, Lemos & Crane — management and
leadership development tools and techniques.
2 Torrington, D., Hall, S., and Taylor, L., 2002, Human
Resource Management, 5th edition, Pearson Education —
reference book for human resource management with a good
section on development.
3 Pedler, M., Burgoyne, J., and Boydell, T., 2007, A Manager’s
Guide to Self-Development, 5th edition, McGraw-Hill —
practical book with management and leadership development
activities.
Articles
4 Brown, Paul, 2006, ‘Do senior management development
programmes enhance strategic management capabilities?’,
Strategic Change, Jan—Feb, pp. 37—45 — looks at
effectiveness of strategic management development
programmes. P+
5 Lucas, Erika, 2006, ‘Good Managers born or made?’,
Professional Manager, pp. 26—9 — highlights the fact that less
than 20% of UK managers have a management qualification.
P+
Research summaries
6 ‘Value of management qualifications: the perspectives of UK
employers and managers’ — summary of relevant research

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into management and leadership qualifications in the UK and


how they are perceived and valued. P+
Models
7 Johari window — useful framework for considering how to use
feedback for leadership development purposes. P+
8 SWOT analysis personal — tool to evaluate where you are and
where you might need to develop. P+
9 Kolb’s learning cycle — model to consider the processes
involved with effective learning. P+
Checklists
10 Testing for personal effectiveness — a self-assessment
activity to highlight potential development areas. P+
11 Personal development planning — summary of the key
components of personal development planning. P+
Thinkers
12 Edgar Schein: Careers, culture and organisational learning —
formulated the initial research into the career anchor model,
plus some valuable work on organisational culture. P+
Multimedia
13 Bennis, Warren, ‘Human capital is the basis for competitive
advantage’ — explores the value people add to an
organisation. P+
14 CMI Management and Leadership Scenario No. 11, Effective
Leadership, MoVo Tech PLC, available on licence from CMI —
an interactive opportunity to shadow a senior manager
dealing with strategic leadership issues in an organisation.
Weblinks
15 http://worldwork.biz/legacy/www/downloads/Personal_Dev
elopment_Plan.pdf - An example of a Personal Development
Plan

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Section 2 Personal leadership development

Topic 2: Planning, implementation and


evaluation

Introduction
This topic will help you with leadership development planning,
implementation and evaluation. To do this you’ll look first at the
development planning process and use a recognised assessment
tool to help you understand your learning styles and preferences.
After this comprehensive exercise, you’ll look at how you could
construct a SMART-based objective development plan. This is a
simple but effective approach and is helpful in initially setting
out development goals.
You’ll then look at implementing the leadership development
plan and explore the concept of development logs. These are
multi-part tools that record and monitor a number of key aspects
of the development process.
After examining the development log approach you’ll then look
at evaluating the development plan, by assessing the outcomes
of the development plan against original objectives. That’s
followed by evaluating the impact of the objectives on the
strategic ambitions. For both, you’ll reflect on key learning
points.
To finish, you’ll explore how you can review and update the
leadership development plan.

SR 4
This topic will help with the following stages from the personal
development planning cycle:
„ formulate an action plan from PDP
„ undertake the development
„ record the outcomes
„ evaluate and review.

2.1 Leadership development planning


Understanding your learning styles and preferences

SR 5, 6
According to Honey and Mumford, and following on from the
work of David Kolb, there are a number of different styles that
adults can adopt to promote their learning. These styles are:
„ activist
„ reflector
„ theorist
„ pragmatist.
Your preference has implications for your approach to learning.
However, before looking at the descriptions of each style, you’re

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first going to complete a short inventory to help discover your


own learning style preferences.
You may have recently completed the Honey and Mumford
learning styles assessment, in which case you may not feel it
necessary to do the assessment again. But, on the other hand,
you may find it useful to review past experiences of this process
to see if there are any changes and why.

SR 5, 10
If you’d like to undertake the learning styles assessment, you
need to go to Peter Honey’s website (www.peterhoney.com)
where you can undertake this. Your tutor or sponsor organisation
may be able to help with obtaining this assessment and with
interpreting the results.

Activity Activity 2.1a 30 minutes


If you carried out the learning styles assessment, review your
results. How might this information shape any development
planning you undertake?

Formulating a SMART objective action plan

SR 7
One option for planning development is to use a SMART
objective-based plan.
For each of the development areas you’ve identified, you’ll need
to set yourself SMART objectives. As a reminder, SMART means:
„ Specific
„ Measurable
„ Achievable or Agreed
„ Realistic
„ Time-bound.
You’ll also need to identify how the objectives will have
adequate resources, and to set a review date to check progress.
An example template would be as follows.

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Development SMART objectives Resources Review dates


area required
Aspirational I will develop a Attend the Review learning
visionary new vision ‘Developing a from workshop
style statement for the strategic direction’ with MD, three
organisation by workshop in one days after the
consulting with month’s time event.
stakeholders and (£1,000 from Review the
present this at the training budget) feedback from the
general meeting in presentation with
three months’ board a week after
time. the general
meeting.

There are other approaches such as development logs and you’ll


explore these later. However, the SMART objective action plan
can provide a useful starting point. And you can always transfer
the details of this plan to other development tools depending on
your needs.

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Activity Activity 2.1b 60 minutes


Use the blank template to develop your own leadership
development plan. You’ll see that we’ve added another column:
‘Help needed from’.

Help needed from


Resources required
SMART objectives
Development areas

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2.2 Implementing the development plan


Using a development log
As well as the SMART objective-based action plan, there are
other tools available to both plan and implement development.
You’re now going to look at the development log tool which is
one way to plan and pursue leadership development ambitions.
While the principles underpinning the use and design of
development logs are relatively standard, you’ll find it occurring
in many guises — and this is just one of them.
This particular development log allows you to:
„ identify your personal development goals and performance
requirements
„ capture feedback on your leadership capabilities
„ plan steps to achieve your development goals and deliver
enhanced performance
„ monitor your progress and achievements against your
development goals
„ continuously review your effectiveness as a leader, refining
your approach to deliver superior performance.
It provides you with a number of different page formats for your
use. Based upon your requirements, you can choose from and use
different page formats to help you manage and progress your
development. You can then return to each of these formats to
add new information, refine plans and record your progress. The
four formats are as follows:
„ Format 1: Identifying your key development goals: to help
record leadership development goals and track progress.
„ Format 2: Capturing leadership feedback: to capture any
feedback received.
„ Format 3: Goal planning worksheet: to plan in detail and
progress the achievement of a development goal/area.
„ Format 4: Reaction planning worksheet: to identify ways to
learn and enhance performance capabilities by reviewing
outcomes of and possible enhancements to day-to-day
activities.

Format 1: Identifying your key development goals


Purpose: To identify key leadership capabilities or skills that
you’d like to develop further.
Method: Note the development goals that are important for you
in your current role and for the future. You should add to this list
as you go, and as you progress your development you’ll be able
to note when you’ve achieved the required development against
each goal.

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Development log format 1: Identifying your key development


goals

Development goal Progress made and Achievement date


outcomes

Development log format 2: Capturing leadership feedback


Purpose: To capture any feedback that you’ve received.
Method: You should record key feedback about your strengths
and areas for further development as you progress. Regarding
strengths, you may want to consider how you can use them more
to boost your contribution. Regarding areas for further
development, you may wish to use other development log
formats to construct plans to build increased leadership
capabilities.

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Development log format 2: Capturing leadership feedback

Leadership strengths Opportunities for use

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Development log format 3: Goal planning worksheet


Purpose: To plan and progress the achievement of one of your
development goals or areas.
Method: Identify one of your development goals as a leader. It
may be something complex like ‘promoting and gaining
commitment to a new change initiative within my department’.
The log will help you to look at what you want to achieve, what
might get in the way, what you may need to sacrifice or accept
and what resources are available or will be required in order for
you to be successful.
The table below provides you with an example.

What might I need


Development goal What might get in What resources are
to sacrifice or
and outcome the way? available/required?
accept?
„ To conduct more „ Work pressures „ May need to „ Coaching on
effective may get in the spend extra time handling
appraisals way of me outside of work appraisals.
sessions that preparing to prepare. „ Appraisal
result in staff sufficiently for „ May need to documentation.
being more appraisal arrange
prepared to sessions or appraisal
develop investing meeting for
enhanced sufficient time longer time and
performance. when conducting catch up on daily
them for full tasks by staying
discussion. later on.

Steps: What must be done to achieve the Completion dates


Progress measures
development goal? for each step
„ Get coaching/advice on conducting „ By mid- „ Feedback from
appraisals to promote enhanced November 2009 coach
performance, including providing „ By late „ Meeting
feedback). November 2009 scheduled:
„ Schedule a meeting: prepare „ By early documentation
information and approach. December 2009 completed: fully
„ Conduct appraisal session: ask for prepared
„ Immediately
feedback on approach. „ Reaction/
„ Revise approach to take on board feedback from
feedback. employee

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Development goal and What might I need to sacrifice What resources are
What might get in the way?
outcome or accept? available/required?

Completion dates for each


Steps: What must be done to achieve the development goal? Progress measures
step

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Development log format 4: Reaction planning worksheet


Purpose: To identify ways to learn and enhance your
performance capabilities by reviewing outcomes of and possible
enhancements to day-to-day work activities.
Method: This format recognises that new challenges for you as a
leader arise on a daily basis. When new situations arise, you have
to react. Sometimes the outcomes are very positive, while at
other times the results are unsatisfactory.
Using this format, you can note down and reflect upon situations
that you handle. According to the outcome, you can analyse the
situation and either plan to do the same thing again if the
situation arises or try something different. The very act of
reviewing and noting comments and ideas aid your thinking and
your memory.
Write out key situations that you encounter as soon as possible
after the event. Review which situations were handled
effectively and which ones you would like to handle more
effectively by trying different approaches. Try out new
approaches, noting the results and continuing to refine your
approach. The description that follows and the table below
provides you with an example.
Description of situation (who, what, where, when, impact):
Met with colleague X in the corridor on Friday lunchtime on the
way to prepare for management review meeting. He needed a
few minutes to update me on progress with project N and the
implications for my department. Update took quite a while to
complete and I had to cut him off in order to get to the next
meeting on time. Arrived rushed and not as composed as usual.

(Likely) outcome
Your approach/behaviour Plan outline
description
Thought briefing would Probably appeared „ Check critically/priority
only take a few minutes: uninterested in the for info. Exchange now:
probably appeared information: may have fix meeting for update
increasingly inattentive appeared rude. Others in later if not required for
and short: cut X off before meeting probably saw me next meeting
finishing and hurried away. as flustered and not fully „ Explain conflicting time
Attended management organised. Didn’t gain as pressures and assure
review but did not much as required from continued interest
contribute as fully or as either meeting: need to go
„ Prepare for key
fluently as required. back on some points.
meetings earlier to
allow last-minute
updates if required

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Development log format 4: Reaction planning worksheet

Plan outline
(Likely) outcome description
Description of situation (Who, what, where, when, impact):

Your approach/behaviour

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2.3 Evaluating the development plan


At the end of this process you need to assess the outcomes of the
development plan against your original objectives to see if
you’ve achieved what you set out to do.
You may find it helpful to revisit the development need and
objectives prepared during the planning stage, and to record
both the outcomes and any supporting evidence.
Here’s an example.

Development Objectives Outcomes Need met


need Yes/No?
Evidence
Aspirational I will develop Workshop Yes
visionary a new vision attended. New vision
style statement for New vision statement was
the statement well received
organisation designed after by both
by consulting consultation stakeholders
with with during the
stakeholders, stakeholders. consultation
and present process and by
Presented to
this at the the board who
the board at
general approved its
the general
meeting in use for all
meeting.
three months’ future strategy
time. statements.
After this
experience I
now feel more
confident
about
translating
strategic
intents into
meaningful
communication
tools for the
organisation.

Key learning from assessing the outcomes


It may be also helpful to reflect on the following:
„ What went well?
„ What didn’t?
„ What would I do differently next time?
Here’s an example.

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Outcomes What went well? What didn’t? What would I do


differently next
time?
New vision Focus group with Would run more
statement designed different than one focus
after consultation stakeholders was group.
with stakeholders. really helpful in
gathering initial
data and feedback.
Presented to the Presentation to the Perhaps give them
board at the board overran by an a draft before the
general meeting. hour as they presentation so
wanted to discuss that they could
my proposal in have chance to
depth. read it and
understand it
before the
presentation.

Evaluating the impact of the objectives on strategic


ambitions
As well as considering the outcomes of the development plan
against the objectives, it’s helpful to go back a stage or so
further and consider how these objectives aligned with the
strategic ambitions of the organisation.
As explored in Section 1, the identification of the strategic
leadership competencies that are important to the strategic
ambitions of the organisation is an important first step.
What impact has the achievement of these objectives had?
Here’s an example.

Development Objectives Relevant Impact achieved?


need strategic Yes/no? Evidence
ambition
Aspirational I will develop a Organisation Yes. New vision statement
visionary style new vision needed a has been integrated into
statement for the refreshed vision corporate marketing
organisation by statement before material, including
consulting with launching new promotional material and
stakeholders and strategic the website.
present this at marketing plans New customers have
the general to promote its commented on how
meeting in three existing services impressed they have been
months’ time. into new markets with the organisation’s
vision and values
statement.
New business from this
campaign has resulted in
£100K new business and
£30k net profit increase.

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Key learning from evaluating the impact


It would also be helpful to reflect on the following again:
„ What went well?
„ What didn’t? Why?
„ What still needs to be done?
These could be captured in the following format.

Impact achieved What went well? What didn’t? Why? What still needs to
be done?
New vision Delays with getting
statement has been the corporate
integrated into material printed
corporate and distributed
marketing material
including
promotional
material and the
website.
New customers Including a
have commented prospective
on how impressed customer in the
they have been focus group helped
with the shape the wording
organisation’s of the vision and
vision and values values statement
statement.
New business from Revisit profit
this campaign has figures at the end
resulted in £100K of the financial
new business and year
£30k net profit
increase.

A key aspect of personal development is quantifying what the


development has delivered.

Reviewing and updating the leadership development plan


Having assessed the outcomes of the development plan and
evaluated the impact, it’s then helpful to review where you are
in terms of progress:
„ Are all the development needs met?
„ Have all the development objectives been achieved?
„ Have all the outcomes been assessed?
„ Has the impact on strategic ambitions been evaluated?

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It may be that one or more of the above points are still


outstanding, or there may have been new development needs
identified or development objectives formulated.
It’s useful at this stage to capture these review and update
actions. You could use the following table.

Existing Existing New development New development


development need development need identified objective
still to be actioned objectives still to identified
be actioned

The above activity is useful as it reinforces the fact that personal


development is never really completed. It’s an ongoing process
that relates to continuous improvement. As one development
activity is completed or signed off, you should be reviewing
needs and identifying potential new development opportunities.

Effective continuing professional development


Effective continuing professional development (CPD) is a
commitment to professionalism. It shows that you’ve taken
personal responsibility for ensuring that you have the skills and
knowledge necessary to meet the challenges of an ever-changing
world.

The Chartered Management Institute has an online CPD system


which encourages you to think about your professional
development in a structured way. It enables you to:
„ assess your needs against the National Occupational Standards
for management and leadership
„ plan your development, setting specific objectives and
identifying activities to help you achieve them
„ record your CPD activities, what you have learnt from them
and the impact they have had on your work
„ create a report to demonstrate your commitment and
achievements.

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SR Supporting resources
Books
1 Burgoyne, J., 1999. Developing Yourself, Your Career and
Your Organisation, Lemos & Crane — management and
leadership development tools and techniques.
2 Pedler, M., Burgoyne, J., and Boydell, T., 2007, A Manager’s
Guide to Self-Development, 5th edition, McGraw-Hill —
management and leadership development activities.
Research summaries
3 ‘Realising value from online learning in management
development’— how online management development can
add value. P+
Checklists
4 Personal development planning — discusses the process of
personal development planning. P+
Models
5 Honey and Mumford’s learning styles — summary of the
learning styles assessment tool. P+
6 Kolb’s learning cycle — summary of the research into people’s
learning processes. P+
7 SMART objectives — overview of a basic building block for
personal development planning. P+
Thinkers
8 Chris Argyris: The manager’s academic — overview of the
theory of double loop learning. P+
Leader videos
9 Conger, Jay, ‘Take ownership of your own development’ —
interesting perspective on the process of personal
development. P+
Weblinks
10 www.peterhoney.com — includes learning styles assessment
and information and tools for personal development
activities.
11 www.palgrave.com/skills4study/pdp — tools and techniques
for development planning.

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Section summary
In this section you’ve looked at leadership development planning,
implementation and evaluation and covered the following:

Topic 1: Leadership development opportunities


„ using the Johari window framework (1.1)
„ Kolb’s learning cycle (1.1)
„ personal SWOT analysis (1.1)
„ three options for development: education, training and
development (1.2)
„ career pipelines and seven levels of application (1.3)
„ the organisation’s role in career development and Burgoyne’s
seven levels (1.3)
„ Schein’s career anchors (1.3)

Topic 2: Planning, implementation and evaluation


„ understanding your learning styles and preferences — Honey
and Mumford (2.1)
„ formulating a SMART objective action plan (2.1)
„ using a development log (2.2)
„ assessing the outcomes of the development plan (2.3)
„ key learning from assessing the outcomes (2.3)
„ evaluating the impact of the objectives on strategic
ambitions (2.3)
„ key learning from evaluating the impact (2.3)
„ reviewing and updating the leadership development plan
(2.3)

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Activity Section summary activity 2 hours


Having completed the first two sections, now would be a good
point to draw together your learning and your understanding of
the learning outcomes.
Which personal skills have you identified that are important to
achieve strategic ambitions? Why are these important to you?
And to your organisation?

Which seem to be the most effective development activities to


help you develop these personal skills? Why are these the most
effective methods?

How are you going to evaluate the success of these development


activities? How would you demonstrate development in terms of
achieving strategic ambitions?

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Section 3 Promoting an environment of
staff welfare
Introduction
This section aims to take a holistic approach to staff welfare, which
moves beyond mere health and safety compliance. This approach is
set out in Topic 1, where the links between business strategy and
staff welfare/well-being are emphasised. You’ll find out why it’s
strategically important to promote staff welfare as well as what
initiatives you can take as a leader to make staff welfare/well-being
an organisational commitment.
In Topic 2, you’ll consider further strategic aspects of staff welfare
by looking at the key processes for managing health and safety. This
includes a four-stage leadership process of plan, deliver, monitor
and review and what the implications are of effective health and
safety leadership.
Topic 3 continues the health and safety theme as you examine your
role in promoting an environment where health and safety is taken
seriously. This necessitates changing employee behaviour and
instilling a culture of continuous improvement.

Learning outcome
This section covers the following learning outcome:
7001V1.4 Be able to advocate a staff welfare environment that
supports organisational values

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Section mind map


There are three topics in this section as shown below. Check the
subjects within each one and then continue with the areas you need
to explore.

Section 3:
Promoting an
environment 3.1 Creating a
of staff health and
1.1 Business safety culture
welfare
strategy and
staff welfare

Topic 3:
Topic 1: Promoting a
Supporting staff health and
welfare safety quality
culture
1.2 Beyond
OH: promoting
a state of 3.2 A
contentment continuous
improvement
1.3 Gaining approach
corporate
commitment
to staff
welfare 3.3 Changing
health and
safety
Topic 2: behaviour
2.1 Understanding
Understanding health and
the process safety
responsibilities
2.6 Review
health and
safety

2.2
Implications
for leadership
2.5 Monitor
health and
2.3 Plan the safety
direction for 2.4 Deliver
health and health and
safety safety

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Topic 1: Supporting staff welfare

Introduction
Staff welfare, or well-being, is a holistic approach to managing
SR 10 health and safety at work. The Chartered Institute of Personnel and
Development (CIPD) defines ’well-being’ as:
creating an environment to promote a state of
contentment which allows an employee to flourish and
achieve their full potential for the benefit of themselves
and their organisation.
The definition expresses the point of promoting staff welfare/well-
being: it’s an ethical choice for the benefit of others, but it’s also a
choice that can benefit the organisation.

1.1 Business strategy and staff welfare


The old chestnut that coal is West Virginia’s greatest
natural resource deserves revision. I believe that our
people are West Virginia’s most valuable resource.
Senator Robert Byrd, 5 May 2010, following the Upper Big
Branch mine explosion in West Virginia, which killed 29 people

So are people your greatest asset?


Organisations are accustomed to say, somewhat anecdotally, that
people are their greatest asset. If this were true, you would expect
the welfare of this asset to be at the forefront of the business
strategy. However, most organisational strategy is focused on
product and looks outwards rather than inwards. Take Marks &
Spencer, for example.

Our vision:
To be the standard against which all others are measured
Our mission:
To make aspirational quality accessible to all
Our values:
Quality, value, service, innovation and trust

It isn’t that M&S doesn’t look after its people (see the case study in
SR 11 the Supporting resources list), but is its concern strategic? For
example, the M&S website continues the product theme into its
strategic planning.
Throughout the year we have prudently managed costs and
continued our investment in our systems and supply chain
so we can improve efficiency across the business. We also
responded to the changing needs of our customers by
improving our values without compromising on quality;
something we view as short-term pain for long-term gain.

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As well as helping us through these tough conditions, these


steps will enable us to take advantage of the opportunities
that lie ahead and maximise value for our shareholders.
With a strong brand, the right products and an experienced
management team, we are now:
„ increasing the pace of change and operational
execution in the business;
„ leveraging M&S Direct by building more channels to
market;
„ building our international portfolio to grow our
global customer base; and
„ reinvigorating our brand communications.
All the product buzz words are in this statement — investment,
efficiency, costs, value, brand, leverage and grow. Assets do get a
mention, but these are products, systems and supply chain. And, as
for people, its customers, the management team and shareholders
who are singled out. (It may be that employees are hidden in the
strategic planning — somewhere between efficiency, costs and
short-term pain perhaps?)

Activity Activity 1.1a 20 minutes


Look at your:
„ mission
„ vision
„ values
„ strategic objectives.
Assess how far your people management is strategic.
Specifically, does the welfare of your people figure in your
business strategic planning, and, if so, to what extent?

Why should staff welfare be strategic?


A decisive link between promoting employee well-being
and boosting shareholder return has been made in a new
research project to be revealed today.

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Section 3 Promoting an environment of staff welfare

An analysis of FTSE 100 employers by Business in the


Community (BITC) found that companies which took active
steps to improve health and well-being at work enhanced
financial performance by 10% on average in 2009.
‘Boosting staff well-being can improve financial performance,
research reveals’, www.personneltoday.com, 11 May 2010

There is a business case for advocating staff welfare. If you have a


strategic objective on reducing costs and making ‘efficiencies’, then
think about the impact on the bottom line of reducing high rates of
absenteeism caused by poor health or, perhaps, poor attitude. Do
you have a strategic objective on improving productivity? Then think
about the improvements that can be made by a fit and healthy,
well-motivated workforce as opposed to one that’s not in a ‘state of
contentment’, as the CIPD puts it. Do you have a strategic objective
on stakeholder relations? How much better this can be achieved if it
works at all levels of the organisation and is not just expected of
the employee to the customer. Do you have an objective on change
or flexibility? How flexible are you with your staff and ready to
change your welfare policies? (More about the business case later.)

1.2 Beyond OH: promoting a state of contentment


The traditional approach to staff welfare is embodied in the
occupational health (OH) department. Typically, it may be involved
in the following initiatives:
„ providing basic medical facilities and first aid
„ offering health assessment and making health surveys
„ advising on epidemics or diseases such as HIV/AIDS
„ dealing with substance and alcohol abuse
„ advising on sickness absence
„ advising on ergonomic issues and workplace design
„ promoting good health education including fitness and healthy
eating
„ dealing with stress-related cases
„ providing counselling services.
However, well-being goes beyond this. CIPD sees it in five parts or
SR 10 ‘domains’.

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Physical Emotional

Organisation/
work

Personal
Values
development

Figure 1.2a Five domains of well-being

The diagram highlights the overlap and interaction between the


domains. The domains may be further explained by the table below.

Positive Negative well-


Domains well-being being Elements
descriptors descriptors
Physical health, mental health, working
Physical Healthy Sick environment, physical safety,
accommodation
Positive relationships, resilience,
Emotional Committed Disengaged emotional intelligence, social
responsibility
Ethical standards, diversity,
Values Contented Distressed psychological contract, spiritual
expression
Personal Autonomy, career development,
Flourishing Demotivated
development lifelong learning
Organisation/ Change management, work demands,
Prospering Failing
work autonomy, job security
Table 1.2a Well-being domains, descriptors and elements
Source: CIPD (adapted)

Developing well-being initiatives


The scope of staff welfare in the context of well-being is well
illustrated by CIPD’s table below of examples of well-being
activities and initiatives. These are set against the various domains
and their elements.

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Section 3 Promoting an environment of staff welfare

Domains Elements Examples of well-being activities and initiatives


Exercise programmes, healthy menu options, health
Physical health
education and awareness, health checks
Work-life balance targets, conflict resolution training,
Mental health
relaxation techniques
Physical Chill-out areas, ergonomically designed working
Working environment
areas, ecologically sound design
Personal safety training, safe equipment, safe working
Physical safety
practices
Accommodation Homeworking, health and safety

Positive relationships Respect agenda, assertiveness, team-building

Resilience-building groups, self-awareness training,


Resilience
compassion/mindfulness groups
Emotional
Emotional intelligence assessment and training, anger
Emotional intelligence
management, emotional labour
Community activity, recycling, energy-saving,
Social responsibility
pollution prevention, public transport
Value-based leadership, corporate governance,
Ethical standards
ethical investment, probity (e.g. gifts and hospitality)
Equal opportunities, valuing difference, cultural
Diversity
engagement, negotiating change
Values
Job satisfaction, employee commitment, negotiating
Psychological contract
change
Recognition of employees' religious and spiritual
Spiritual expression
values and beliefs
Team consultation and decision-making, management
Autonomy
by targets
Resilience-building groups, self-awareness, mid-career
Personal Career development
audits, career breaks and sabbaticals, coaching
development
Access to learning, technical and vocational learning,
Lifelong learning
Investors in people, learning accounts
Creativity Innovation and creativity workshops and awards
Change management Consultation, involvement, change-readiness training

Organisation/ Work demands Risk assessments, person/job fit


work Autonomy Control, whistle blowing, risk-taking
Job security Working hours, shift-working, redundancy policy
Table 1.2b Well-being and well-being activities/initiatives
Source: CIPD (adapted)

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Activity Activity 1.2a 45 minutes


Evaluate your own welfare and well-being initiatives in the light
of the examples given in this topic so far. Comment on:
„ any traditional OH initiatives that you are currently not using
and you think could be useful to your organisation
„ any well-being initiatives that you are currently not using
and you think could be useful to your organisation.
Explain your reasoning. You may want to comment on welfare
and well-being initiatives you employ which you think are not
useful to the organisation.

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Section 3 Promoting an environment of staff welfare

1.3 Gaining corporate commitment to staff welfare


Looking at welfare initiatives for your organisation is perhaps
putting the cart before the horse. An initiative has to be more than
just flavour of the month: it must embody a strategic commitment
to staff welfare. This commitment has a number of ingredients:
„ A robust and number-crunching analysis is carried out to identify
the costs and benefits of staff welfare initiatives — where’s the
value? How do you, as a leader, sell it to the organisation? What
about the ethical aspects as well, a key issue for any leader?
Could you not sell it but advocate it because it’s the right thing
to do!
„ The initiatives must align with organisational values. Do the
values mention stakeholders, not just customers and
shareholders? Are there team values? Is ethics mentioned or
something like stewardship or respect?
„ There should be an alignment with mission and vision. Is it ‘we’
and ‘the team’ and not just profits and customers?
At Virgin Atlantic, our mission is simple … To grow a
profitable airline, where people love to fly, and
where people love to work.
www.virgin-atlantic.com/en/gb/allaboutus/missionstatement/
index.jsp

„ There must be a commitment in the strategic objectives to


people. They shouldn’t just be about cost-savings, efficiency,
value for money, alignment, leverage, synergies and external
partnerships. For example, something along the line of
developing people, unlocking their creativity (how else can you
innovate?) and nurturing talent.
In other words, the approach to staff welfare should fit with the
business strategy. Therefore, one has to adapt to the other —
something’s got to give!

Making the business case


This isn’t easy. The Personnel Today headline at the front of this
topic reported that ‘companies which took active steps to improve
health and well-being at work enhanced financial performance by
10% on average in 2009’. This doesn’t actually prove that this
increased performance was caused by the initiatives in question
unless you tie the initiatives to the performance and measure it
quantitatively. For example, although 37 of the 100 FTSE companies
who had well-being initiatives enhanced financial performance, only
four actually reported on the financial impact of addressing health
issues. In other words, the evidence is anecdotal and the link may
be fortuitous. Too many organisations say, ‘Whee, profits are up
and team spirit is better’ without actually measuring it properly.
(The CIPD 2006 absence survey showed that only 7% evaluated their
well-being initiatives.)
So, find out how much it will cost, find out how much it did cost,
and see if it was worth it. Was the workforce more productive as a

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result of a well-being approach or did you just have more work in


since you started the initiative?

Developing a staff welfare policy


Another aspect of showing commitment to welfare and well-being is
to develop a policy on it. This can form part of the overall health
SR 13
and safety policy. (You’ll find a link to such a policy for Aberystwyth
University in the Supporting resources.)
CMI’s best practice guide ‘Healthy workplace healthy workforce’
SR 8 makes the following points about developing such a policy. Steps
that should be considered include:
„ Gain commitment from senior management.
„ Find out and assess what could cause harm to health within the
workplace.
„ Identify who might be harmed — public, visitors, employees.
„ Consult with employees on solutions to highlighted problems.
„ Decide what action should occur to prevent or lessen the chance
of harm.
„ Determine the responsibilities of managers and contact officers.
„ Communicate the policies to employees through effective
channels.
„ Make available training for managers, health and safety
representatives and staff.
„ Implement, monitor and review policy.
The culture of an organisation, the type of business and the
personality and management style of those in positions of authority
are all factors that must be taken into consideration when
developing a welfare policy.

Activity Activity 1.3a 30 minutes


In the previous activity, you highlighted some staff welfare
initiatives that could be useful to your organisation. So, if you
haven’t put the cart before the horse, now prove it. How would
you go about making a business case for these initiatives, or
perhaps a new approach to staff welfare, bearing in mind not
just costs and benefits but strategic fit? (Don’t forget the ethical
case as well.) Draw up a brief outline for a presentation on the
matter.

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SR Supporting resources
Books
1 ACAS, 2006, Health and employment — an advisory booklet,
available at www.acas.org.uk
2 Donaldson-Feilder, E., 2007, Well-Being and Performance, CIPD
3 Incomes Data Services, 2006, Employee Health and Well-Being,
IDS
4 Kloss, D.M., 2005, Occupational Health Law, 4th edition,
Blackwell Science
Articles
5 Gates, E., Apr 2007, ‘Well@work’, Occupational Safety and
Health Journal, Vol 37, No 4, pp. 30—4.
6 Silcox, S., 2 Feb 2007, ‘Making occupational health pay’, IRS
Employment Review, No. 864, pp. 26—30.
7 Silcox, S., 1 Dec 2006, ‘Obesity as a workplace issue’, IRS
Employment Review, No. 860, pp. 18—21.
Websites
8 www.managers.org.uk/page/best-practice-healthy-workplace-
healthy-workforce-guidance-managers — for CMI’s best practice
guide ‘Healthy workplace healthy workforce’
9 www.rospa.com/occupationalsafety/adviceandinformation/occu
pationalhealth - Occupational health guidance from the Royal
Society for the Prevention of Accidents (RoSPA).
10 www.cipd.co.uk/hr-resources/factsheets/occupational-
health.aspx - CIPD occupational health factsheet includes
information on; what is occupational health, the benefits of
using occupational health, confidentiality and occupational

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health and making occupational health effective in the


workplace.
11 www.cipd.co.uk/publicpolicy/_mntlcptl.htm?IsSrchRes=1 — CIPD
guidance on employee well-being and mental health.
12 www.cipd.co.uk/NR/rdonlyres/DCCE94D7-781A-485A-A702-
6DAAB5EA7B27/0/whthapwbwrk.pd - CIPD report ‘What’s
happening with well-being at work?’ includes case studies.
13 www.iosh.co.uk/information_and_resources.aspx — Institute of
Occupational Safety and Health (IOSH) resources on staff
welfare.
14 http://corporate.marksandspencer.com/aboutus/Our_plan -
Marks & Spencer - the M&S website page focusing on ‘Our plan’.
15 www.aber.ac.uk/en/hr/employment-information/wellbeing/ -
Aberystywth University’s policy on well-being - – Aberystywth
University’s policy on well-being.
16 www.thelearningarchitect.com — for information and guidance
on workplace wellness.

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Topic 2: Understanding health and safety


responsibilities

Introduction
In this topic you’ll look at the health and safety responsibilities
faced by leaders and their organisations. You’ll do this by
considering the health and safety processes involved.
You’ll begin by looking at some typical health and safety processes
and consider how these need to be managed. You’ll then consider
leadership responsibilities and look at the legal implications
involved.
You’ll explore a best practice framework for leadership of the
health and safety process and consider four stages: plan, deliver,
monitor and review.
Much of the best practice ideas in this topic stem from the Health
and Safety Executive’s information and guidance.

2.1 Understanding the process


Health and safety: Managing the process
SR 6
According to the Chartered Management Institute, health and safety
process management involves the following stages:
„ the setting of a policy
„ the creation of a suitable organisational culture
„ development and implementation of a health and safety plan
„ evaluation of the plan’s performance.

Create a
positive
Get the
health and
policy right
safety
culture

Review Develop a
performance plan

Measure
performance

Figure 2.1a: Health and safety process management

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Managers should avoid doing the following:


„ Assuming that health and safety is only for high-risk or
hazardous environments.
„ Assuming that health and safety is just common sense and is
understood by everyone.
„ Forgetting to include temporary staff, home workers and
contractors in planning.

Managing health and safety


SR 1, 3
The Health and Safety Executive (HSE) promotes a similar process
approach in its publication Successful Health and Safety
Management. It’s used as a benchmark by many organisations in
managing health and safety and is a useful reference document for
senior managers involved with formulating health and safety policy.

Information link
Control link

Policy
Policy development

Organisational
Organising
development

Planning and
Auditing
implementing

Developing
techniques of
Measuring planning,
performance measuring and
reviewing

Reviewing
performance
Feedback loop to
improve performance

Figure 2.1b: Key elements of successful health and safety management


Source: HSE (2008)

HSE highlights that every working day at least one person is killed
and over 6,000 are injured. Furthermore, every year 750,000 people
take time off work because of work-related illness, and about 30
million working days are lost as a result.
Directors and managers can be held personally responsible for
failures to control health and safety.

SR 10
Here’s an example of an incident that was prosecuted by the HSE.

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Scenario Rosekey Limited (trading as Atwal Builders) and its director Kashmir
Singh Atwal of Bexleyheath, Kent were fined after both pleaded
guilty to breaches of Section 3(1) of the Health and Safety at Work,
etc. Act 1974, at Croydon Crown Court on Friday 8 December.
The prosecution arose following an incident on 10 December 2004 at
49 Tower Bridge Road, London SE1, when a bookshop and the two
flats above it partially collapsed in the middle of the night. Rosekey
Limited had been contracted to build a new shop and flats next
door, and over the previous few days excavations had taken place
on the site to form the foundations of the new building. A trench
was dug alongside the bookshop wall, at a depth that undermined
its foundations. There was no suitable support provided for the
excavation or the shop.
During the evening the resident of the top floor flat above the shop
saw cracks appearing and widening across the internal walls of his
property. When he called the fire brigade he was given just a few
minutes to grab some belongings before having to evacuate the
premises. The owner of the first floor flat arrived back and they
both saw their homes collapse in ruins. The residents of the flats
were rendered homeless and lost all their belongings, while the
bookshop lost its stock and was forced to relocate.
Rosekey Limited was fined £90,000 and K S Atwal as director was
also fined £90,000. They were ordered to pay the HSE’s costs of
£14,444, as well as an interim award of compensation of £3,000 to
each of the three displaced residents of the flats.
His Honour Judge Tanzer was particularly critical of Mr Atwal. He
stated that Mr Atwal was ‘incompetent and ignorant’. He added
that over previous years at other sites Mr Atwal had ‘failed to heed
warnings from the Health and Safety Executive, and endeavoured to
evade the consequences with feeble excuse after excuse’. The
judge commended the top floor resident Stephen Cheney, who
noticed cracks opening up on the walls of his flat, and contacted his
neighbours to make sure they were safe.
The investigating HSE inspector, Alec Ferguson, commented after
the hearing, ‘This was an utterly needless and preventable incident
caused by a company with a poor health and safety record. Mr Atwal
was in everyday control of the site, but failed to ensure that
construction work was carried out safely, due to his neglect.
Although it’s fortunate that nobody was injured or killed, he has
caused untold hardship, misery and distress to those affected by his
ill-managed enterprise. I would remind all contractors of the
dangers associated with excavating near to existing structures, and
to take every necessary precaution to provide adequate support to
prevent a similar incident’.
Source: HSE website www.hse.gov.uk

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Activity Activity 2.1a 30 minutes


Consider your own experiences of managing health and safety at
work.
What has worked? Why was this?

What has been difficult or challenging? Why was this?

2.2 Implications for leadership


SR 4
The HSE document discussed above outlines a generic process for
managing health and safety in organisations. The Institute of
Directors (IOD) and the Health and Safety Commission (HSC) have
produced a guidance report specifically aimed at senior managers
and directors called Leading Health and Safety at Work. It’s based
on collaboration with organisations and sets out an agenda for the
effective leadership of health and safety. It highlights some
essential principles that lead to good health and safety
performance:
„ strong and active leadership from the top
„ worker involvement
„ assessment and review.
The benefits of good health and safety are stated as:
„ reduced costs and reduced risks
„ less employee absence and turnover rates
„ fewer accidents
„ reduced threat of legal action
„ improved standing amongst supplier and partners
„ better corporate reputation
„ increased productivity.

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The report also highlights the legal responsibilities of employers,


which states that organisations must do the following:
„ provide a written health and safety policy (if they employ more
than five people)
„ assess risks to employees, customers, partners and any other
people who could be affected by their activities
„ arrange for the effective planning, organisation, control,
monitoring and review of preventive and protective measures
„ ensure they have access to competent health and safety advice
„ consult employees about their risks at work and current
preventive and protective measures.

SR 9
Failure to comply with these requirements can have serious
consequences for both organisations and individuals. Sanctions
include fines, imprisonment and disqualification.
Here’s an example of a fine.

Scenario A demolition firm was ordered to pay £15,000 in fines and


compensation after a lorry driver suffered serious head injuries
falling almost seven metres from the first floor of a building. The
driver was collecting bricks from the first floor of the building when
he fell. There were no protective barriers in place and the bricks
had been stored on the first floor despite a risk assessment
recommending they were stored on the ground floor.

Corporate Manslaughter and Corporate Homicide Act 2007


Under this Act, an offence is committed where failings by an
organisation’s senior management are a substantial element in any
gross breach of the duty of care owed to the organisation’s
employees or members of the public, which results in death. The
maximum penalty is an unlimited fine and the court can additionally
make a publicity order requiring the organisation to publish details
of its conviction and fine. The Act removes the need to find an
individual responsible and prosecutions are of the corporate body:
however the liability of directors, board members and other
individuals still fall under existing health and safety or criminal law
and can still mean individual conviction and imprisonment.

Activity Activity 2.2a 30 minutes


Consider the legal responsibilities discussed so far. How many of
these have you had some involvement with or responsibility for?
Give brief examples.

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2.3 Plan the direction for health and safety


Health and safety policy
SR 3
HSE suggests you start by asking yourself the following questions
regarding policy.

Question Your answer


Do you have a clear policy for
health and safety? Is it written
down?

What did you achieve in health


and safety last year?

How much are you spending on


health and safety and are you
getting value for money?

How much money are you losing


by not managing health and
safety?

Does your policy prevent


injuries, reduce losses and really
affect the way you work? Be
honest!

According to the HSE, your health and safety policy ‘should


influence all your activities, including the selection of people,
equipment and materials, the way work is done and how you design
and provide goods and services’.

SR 11
The policy should be written down and updated on a regular basis.
It should indicate that your organisation has identified hazards and
that risks have been assessed, removed or are controlled. Some
guidance on developing a health and safety policy can be found on
the HSE website.

2.4 Deliver health and safety


Risk assessments
One of the key aspects of delivering is to ensure there are effective
management systems and practices in place to protect people and
to ensure risks are dealt with in a responsible way. An effective way
of doing this is to carry out risk assessments.

SR 5
In its guidance document Five Steps to Risk Assessment, HSE
outlines the following approach.

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Step Action
1 Identify the hazards — work out how people could be
harmed
2 Decide you might be harmed and how — do this for each
hazard identified
3 Evaluate the risks and decide on precautions — consider
what to do about the risks, the law says you have to do
everything ‘reasonably practicable’
4 Record your findings and implement them — write down
the results and share with your staff
5 Review your risk assessment and update if necessary —
consider any changes since the last time it was
undertaken
Source: HSE (1998)

SR 6
The Chartered Management Institute suggests a helpful template for
recording the assessments using a 3 x 3 matrix as shown in the
tables below.

Risk = Severity x Likelihood


Likelihood Severity
Slight 1 Serious 2 Major 3
Low 1 Low 1 Low 2 Medium 3
Medium 2 Low 2 Medium 4 High 6
High 3 Medium 3 High 6 High 9

Thus:
„ 6—9 High risk
„ 3—4 Medium risk
„ 1—2 Low risk

Likelihood of occurrence Likelihood level


Harm is certain or near certain to occur High 3
Harm will often occur Medium 2
Harm will seldom occur Low 1

Severity of harm Severity level


Death or major injury (as defined by RIDDOR) Major 3
3-day injury or illness (as defined by RIDDOR) Serious 2
All other injuries or illnesses Slight 1

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2.5 Monitor health and safety


SR 4
The Leading Health and Safety at Work report suggests that
monitoring and reporting are key components of a successful
management system for health and safety. It suggests that both
specific-incident led and routine information are used. It highlights
the following as being important sources of information that need to
be monitored and reported:
„ preventative information such as progress of training
„ incident data such as accident and sickness absence rates
„ periodic audits of management structure and risk controls
„ information about changes such as new procedures or any major
health and safety failure.

SR 3
HSE discusses monitoring in terms of:
„ active monitoring (before things go wrong)
„ reactive monitoring (after things go wrong) such as investigating
injuries.
Information from monitoring should be used to help manage risks. It
suggests you ask yourself the following questions.

Question Your answer


Do you know how well you
perform in health and safety?
How do you know if you’re
meeting your own objectives
and standards for health and
safety? Are your controls for
risks good enough?
How do you know you are
complying with the health
and safety laws that affect
your business?
Do your accident
investigations get to all the
underlying causes or do they
stop when you find the first
person who has made a
mistake?
Do you have accurate records
of injuries, ill health and
accidental loss?

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Activity Activity 2.5a 30 minutes


Consider the current ways health and safety information is
monitored and reported. What works well?

What would you improve?

2.6 Review health and safety


SR 6
The Chartered Management Institute states that performance
evaluation will help you in checking that health and safety policy
and plans are working and continue to meet legal requirements,
corporate objectives and changing circumstances. The review
process might include the following:
„ comparing your findings to your objectives and standards
„ validating your findings by talking to staff
„ benchmarking against similar organisations in your area
„ giving feedback to staff and seeking commitment to
improvements
„ changing your policy, plan and procedures to reflect your
findings (ensure that high risk areas are given priority
attention).

The review should be a continuous process, but you should set a


timetable for formally revising your health and safety policy and
plans or when new legislation or regulations require it.

SR 3
HSE suggests that this activity is split into two parts: audit and
review. Audits can be conducted internally or by an external
organisation. Audits support the monitoring process and indicate
what’s working and what needs to be improved. If you combine
audit information with information gathered from monitoring, this
will improve your overall management of health and safety.

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This information should be helpful in reviewing the effectiveness of


your health and safety policy. HSE recommends the following as
being important focus areas for the policy review:
„ the degree of compliance with health and safety performance
standards (including legislation)
„ areas where standards are absent or inadequate
„ achievement of stated objectives within given timescales
„ injury, illness and incident data — analyses of immediate and
underlying causes, trends and common features.

SR 12
Here’s an example of an audit and review.

Scenario Auditing and review: BT Ltd


There are formalised safety management and environmental
management systems at BT which encompass auditing and review of
all policies, including occupational road safety.
The following are specifically included in the review and audit
arrangements:
„ Accident statistics are reviewed on a quarterly basis.
„ Areas of high risk are identified to ensure that appropriate
remedial action is implemented.
„ Action plans to deal with problem areas constitute part of the
divisional safety plans and are monitored through to completion
in the same way that other health and safety issues are
monitored.
„ An overall performance report is completed for the Motor Risk
Forum on a quarterly basis.
During Safety Forums with the lines of business, internal costs and
incident reports are issued with a list of drivers, their age, vehicle
registration, amount paid by insurance and details of the incident.
Driver training is appraised during the annual review process.
Driving licences are also checked during this annual review.
Source: Adapted from HSE website

Activity Activity 2.6a 10 minutes


Consider the current ways health and safety information is
audited and reviewed. What would you do differently?

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SR Supporting resources
Books
1 HSE, 1997, Successful Health and Safety Management, HSE
Books — provides guidance for managers, directors, health and
safety professionals and employee representatives.
Guidance booklets
2 HSE, 2001, A Guide to Measuring Health and Safety Performance
— detailed guidance on improving health and safety
performance by looking at the measurement process.
3 HSE, 2008, Managing Health and Safety: Five Steps to Success —
summary report of the Successful Health and Safety
Management book (mentioned above) outlining five key steps to
manage health and safety.
4 Institute of Directors and Health and Safety Commission, 2007,
Leading Health and Safety at Work: Leadership Actions for
Directors and Board Members — report outlining health and
safety leadership responsibilities for senior managers, leaders
and directors.
5 HSE, 1998, Five Steps to Risk Assessment — overview of the risk
assessment process with helpful hints and tips.
Checklists
6 Health and safety: managing the process — outlines the five key
steps in managing health and safety processes. P+
7 Health and safety: undertaking a risk assessment — outlines the
steps involved in undertaking a health and safety risk
assessment. P+
Weblinks
8 www.hse.gov.uk/leadership/whyleadership.htm— dedicated
area for the leadership of health and safety in the organisation
with downloads and links to other relevant information.
9 www.hse.gov.uk/leadership/casestudies-failures.htm - —
examples of case studies where organisations have been fined as
a result of health and safety issues.
10 www.hse.gov.uk/press/2013/rnn-ne-02713.htm - case study
highlighting director responsibilities and consequences of
breaching health and safety legislation.
11 www.hse.gov.uk/contact/faqs/policy.htm — information and
guidance on developing a health and safety policy.
12 www.hse.gov.uk/roadsafety/experience/traffic1.pdf— example
of H&S policy and how it is reviewed.

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Section 3 Promoting an environment of staff welfare

Topic 3: Promoting a health and safety quality


culture

Introduction
In this topic you’ll look at how to promote a health and safety
quality culture. You’ll do this by first looking at how to create a
health and safety culture, exploring what makes a positive culture,
the implications for leadership and then examining a best practice
framework, called ‘The four Cs’.
You’ll then consider how to implement a continuous improvement
approach. You’ll do this by looking at the measurement of health
and safety performance. In doing this you’ll look at how some well-
known quality management principles can be applied to health and
safety cultural situations.
Finally, you’ll consider changing health and safety behaviour as a
method for implementing health and safety cultural development.
In doing this you’ll consider a safety culture change process, using a
best practice model, and finish off by looking at changing behaviour
through training and competence development.
Much of the best practice ideas in this topic stems from the HSE’s
information and guidance but we also include some best practice
ideas from the Institute of Occupational Safety and Health.

3.1 Creating a health and safety culture


SR 8
The Chartered Management Institute places emphasis on the
creation of a positive health and safety culture. It states that the
creation of a culture which motivates and involves all staff members
in health and safety is critical. All employees need to think ‘Safety
first’ and consider health and safety as a natural part of their
working life.

SR 12
Here’s an example of how one organisation is changing its health
and safety culture.

Scenario Devonport Royal Dockyard changed its health and safety culture by
using a number of initiatives to get the whole workforce involved in
managing health and safety issues, ranging from working at height
to radiation.
In an industry with an established culture, the real challenge was
making a commitment to develop a health and safety culture where
the workforce is engaged and involved.
In 2006 a Safety Culture Team was formed and this included an
industrial health and safety representative on secondment from
production. The trade union guidance group, involving proactive
members from each union, looked at groundroot safety, personal
protective equipment and better practice in risk assessments. They
coordinated weekly safety meetings and also visited other

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companies to keep improving communication and joint-working with


the health and safety representatives.
Staff take part in a ‘Time Out for Safety’ session every Monday at
11am for thirty minutes. They are encouraged to bring any safety
matters to the attention of the team leader and to discuss any ideas
they have for safer working.
The Accident Prevention Team of middle managers and health and
safety representatives from each area meet once a month and deal
with anything that can’t be dealt with at the Time Out for Safety
sessions.
The Safety Improving Team, including the chair of the Accident
Prevention Team and two senior health and safety representatives
(both union and non-industrial representatives), then look at issues
that the Accident Prevention Team can’t deal with — this group also
meet on a monthly basis.
The highest tier is at director level, the Executive Safety
Improvement Group, which controls the budget to make the
changes in all health and safety matters. The meetings involve the
top management and directors, but also involve the trade unions.
They also liaise with the unions on policy changes.
It was a particular challenge to get workers to accept this culture
change after 300 years of people believing they were working
safely. And there are still those who believe the company is not
seriously committed — but we are getting there!
The big stick approach does not work. Only by working together can
we succeed — we all have nothing to lose and everything to gain.'
Benefits so far:
„ Accidents have been reduced by 35%.
„ Profits are up by 8%.
„ Sickness absence is below 3%.
Source: Adapted from HSE website

As you can see from the case study above, emphasis needs to be
placed on leadership — it needs to ensure that the right climate for
these attitudes and behaviours exist.

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Activity Activity 3.1a 30 minutes


Consider the following list. How many do you recognise as being
in place in your organisation?

Positive health and safety climate Present in my


activities organisation?
Yes/No/Don’t
know?
Appoint health and safety champions to raise
its profile and drive the project
Set health and safety objectives and
performance standards for all staff —
remember that prevention is better than
cure
Involve employees and safety
representatives at all stages — from planning
through implementation to monitoring and
review
Provide adequate information to health and
safety to all staff and keep them up to date
Implement refresher training for all staff at
regular intervals
Reward employees for good health and
safety practice
Include health and safety as an agenda item
at top management meetings and team
briefings

Review your answers. Where you’ve answered No, what would be


your priorities for improvement?

Where you’ve answered ‘Don’t know’, how could you find out
this information?

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Leadership and a health and safety culture

SR 5
HSE in its report Leadership for the Major Hazard Industries:
Effective Health and Safety Management outlines what’s required
by a leader in developing a health and safety culture. The report
suggests the following statement as being a starting point for
leadership behaviour:
‘Achieving a positive health and safety culture in our organisation is
fundamental to managing health and safety effectively. I know and
understand what influences the health and safety culture of our
organisation.’
It then goes on to suggest five key points for leadership:
„ I will develop a personal understanding of the influence
different levels of management have on the organisational
climate of an organisation.
„ I will make sure that all managers are committed to promoting
health and safety.
„ I will develop an open and honest organisation, which is as
receptive to bad news as it is good news.
„ I know that improving ‘worker health and safety motivation’ is
fundamental to improving safety. I must ensure this phrase is
understood and we all take action to ensure it happened. I must
convince key groups such as supervisors of their importance to
our safety culture.
„ Corporate social responsibility principles tell me that it makes
sound business sense to manage all business risks effectively.
Health and safety is not an operational extra.
There are an additional 25 behaviours suggested in the report that
cover health and safety culture, leading by example, systems and
workforce.

The four Cs of positive health and safety culture

SR 3
HSE in its report Managing Health and Safety: Five Steps to Success
suggests that to make a health and safety policy effective there’s a
need to gain staff involvement and commitment. They refer to this
as ‘positive health and safety culture’ and promote the concept of
four ‘Cs’:
„ Competence: recruitment, training and adviser support
„ Control: allocating responsibilities, securing commitment,
instruction and supervision
„ Cooperation: between individuals and groups
„ Communication: spoken, written and visible.

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The HSE suggests you use the following questions.

Question Your answer


Have you allocated responsibilities
for health and safety to specified
people — are they clear on what they
have to do and are they held
accountable?
Do you consult and involve your staff
and their representatives effectively?
Do your staff have sufficient
information about the risks they run
and the preventative measures?
Do you have the right levels of
expertise? Are your people properly
trained?
Do you need specialist advice from
outside and have you arranged to
obtain it?

3.2 A continuous improvement approach


Measuring health and safety performance
SR 2
A fundamental concept in quality management and continuous
improvement is the Plan, Do, Check, Act principle (PDCA) proposed
by Deming.

Act Plan

Check Do
Figure 3.2a: Plan, Do, Check, Act principle

Measurement is seen as a key step — Check. If you can promote a


climate of measurement, then you can influence the health and
safety culture.

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The HSE in its report A Guide to Measuring Health and Safety


Performance highlights that organisations find health and safety
performance management difficult and have problems working with
health and safety performance measures. This is mainly because a
number of them are based on injury or illness statistics.
The report highlights a number of key steps in developing a
performance measurement system, as shown below.

1 Identify the
key processes

2 Produce
9 Review the
process maps
measures
or flow charts

8 Decide on 3 Identify
corrective critical
action measures
Performance
measurement

7 Compare 4 Establish
actual baselines for
performance
each measure
against target

6 Assign
5 Establish
responsibility
goals or
for collecting
targets for
and analysing
each measure
the data

Figure 3.2b: Performance measurement system


Source: Adapted from HSE (2001)

HSE suggests that the first aim should be to develop a management


system that provides information to comply with relevant legal
requirements as a minimum.

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Activity Activity 3.2a 30 minutes


Answer the following questions.

Where is your organisation in terms of health and safety


continuous improvement?

How effective is your organisation’s performance measurement


system?

How does it compare with the HSE best practice suggestions?

3.3 Changing health and safety behaviour


A safety culture change process
SR 6
The Institute of Occupational Safety and Health (IOSH) in its report
Promoting a Positive Culture discusses a total quality management
(TQM) approach to help build a safety culture change process.

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Act Plan
Level 5
Continually
improving
Check Do

Act Plan
Level 4
Cooperating

Check Do

Improving safety culture


Act Plan
Level 3
Involving

Check Do

Act Plan
Level 2
Managing

Check Do

Act Plan
Level 1
Emerging

Check Do

Figure 3.3a: Total quality management approach


Source: Adapted from IOSH (2004)

The five levels correspond to the following behaviours that can be


implemented.

Level Behaviours
1 Emerging Nothing implemented
2 Managing Develop management commitment
3 Involving Realise the importance of frontline staff and
develop personal responsibility
4 Cooperating Engage all staff to develop cooperation and
commitment to improving safety
5 Continually Develop consistency and fight complacency
improving

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The process is based on the following:


„ assessing the current level of maturity (Level 1)
„ developing a plan to move to the next level
„ implementing the plan
„ monitoring the implementation
„ reassessing the level of maturity to evaluate success and identify
further actions.

Activity Activity 3.3a 30 minutes


Consider the above framework. Where would you assess the
current level of your organisation? Why?

What would you need to do in terms of changing behaviours to


move it to the next level?

Training and competence

SR 7
IOSH in its report Setting Standards in Health and Safety highlights
how performance can be improved by training and competence
development. This is another example of changing health and safety
behaviour. The report highlights what training and competence
various levels of people within an organisation should have. For
senior managers this is defined as follows:
‘Senior managers need to know their responsibilities and
accountability within the law, especially their duties under
the Health and Safety at Work Act and any specific
regulations that apply to their sector. They should be able
to recognise key health and safety risks related to the work
their organisation carries out, understand how these
impact on the business, be able to provide leadership and
plan strategically to minimise those risks.’
Source: IOSH (2008)

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Activity Activity 3.3b 30 minutes


Consider the above definition. How comfortable do you feel with
your own competence in these areas?

What might be some development points for you?

SR Supporting resources
Books
1 HSE, 1997, Successful Health and Safety Management, HSE
Books — provides guidance for managers, directors, health and
safety professionals and employee representatives who want to
improve health and safety.
Guidance booklets
2 HSE, 2001, A Guide to Measuring Health and Safety Performance
— detailed guidance on improving health and safety
performance by looking at the measurement process.
3 HSE, 2008, Managing Health and Safety: Five Steps to Success —
summary report of the Successful Health and Safety
Management book (mentioned above) outlining five key steps to
manage health and safety.
4 Institute of Directors and Health and Safety Commission, 2007,
Leading Health and Safety at Work: Leadership Actions for
Directors and Board Members — report outlining health and
safety leadership responsibilities for senior managers, leaders
and directors.
5 HSE, 2004, Leadership for the Major Hazard Industries:
Effective Health and Safety Management — outlines four key
stages and 25 activities for developing a health and safety
culture.
6 Institute of Occupational Safety and Health, 2004, Promoting a
Positive Culture — A Guide to Health and Safety Culture —
overview of managing health and safety quality and culture.

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7 Institute of Occupational Safety and Health, 2008, Setting


Standards in Health and Safety — Raising Performance Through
Training and Competence Development — summary of training
and competence requirements for managing and leading health
and safety.
Checklists
8 Health and safety: managing the process — outlines five key
steps in managing health and safety processes. P+
Weblinks
9 www.hse.gov.uk/leadership/whyleadership.htm — dedicated
area for the leadership of health and safety in the organisation
with downloads and links to other relevant information.
10 www.iosh.co.uk — information and guidance on health and
safety issues.
11 www.rospa.com — information and guidance on injury and
accident prevention, plus some relevant information and
downloads on health and safety issues in general.
12 www.hse.gov.uk/involvement/casestudies/devonport.htm —
case study on Devonport docks- changing health and safety
culture.

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Section summary
In this section you have looked at supporting staff welfare,
understanding health and safety responsibilities, considered how to
promote a health and safety quality culture and covered the
following:

Topic 1: Supporting staff welfare


„ the relationship between staff welfare and business strategy,
including the importance of making such a connection (1.1)
„ the range of initiatives available within both an occupational
health framework and well-being one (1.2)
„ how to gain corporate commitment to staff welfare by making a
business case for it and developing a welfare/well-being policy
(1.3)

Topic 2: Understanding health and safety responsibilities


„ health and safety managing the process (2.1)
„ managing health and safety (2.1)
„ leadership responsibilities (2.2)
„ legal responsibilities (2.2)
„ health and safety policy (2.3)
„ risk assessments (2.4)
„ monitoring health and safety (2.5)
„ reviewing health and safety (2.6)

Topic 3: Promoting a health and safety quality culture


„ a positive health and safety culture (3.1)
„ leadership and a health and safety culture (3.1)
„ the four Cs of positive health and safety culture (3.1)
„ measuring health and safety performance (3.2)
„ a safety culture change process (3.3)
„ training and competence (3.3)

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Activity Section summary activity 2 hours


1 Identify the key leadership qualities you need to be able to
advocate a staff welfare environment that supports
organisational values. This should take into account gaining
commitment to staff welfare and promoting a continuously
improving health and safety culture.
2 What are your strategic management development needs as
an advocate of staff welfare and well-being?
3 Taking into account your organisation's current approach to
staff welfare and health and safety, what are the key things
as a leader you would want to change — not just specific
approaches and initiatives, but also policies and strategies?
How would you justify these changes?

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Further reading
Boydell T., Pedler M., 2007, Management Self-Development, 5th
ed., McGraw-Hill
Byham, W.C., and Thornton, G., 1997, Assessment Centers and
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and the Ugly –
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Lessons of Experience: How Successful Executives Develop on the
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Excellence, Kendal/Hunt

113
Supplied under licence by the Chartered Management Institute
Licence Number: C10311442 / Expiry Date: students registered up to 01/07/2018
Before you move on
Preparing for assessment
You may now be interested in completing the assessment for this
unit. The Student Guide for the Pathways Plus series contains all
the necessary information about assessment procedures, or you
can contact your centre coordinator.

The Management and Leadership Standards


In addition to covering the core and optional units for the Level 7
Management and Leadership qualifications, the content of these
development guides also relates to the National Occupational
Standards for Management and Leadership. These standards
describe in detail the activities, behaviours and knowledge that
define effectiveness in the management field. You can find full
details about the standards at www.skillscfa.org
The National Occupational Standards for Management and
Leadership don’t correspond exactly with the Institute’s
specification, as they provide competency statements that are
not defined by level, but are focused towards the needs of
organisations. Each development guide therefore draws on
components from one or more areas of the National Standards.

How this development guide relates to the National


Occupational Standards
The material in this development guide relates to the National
Occupational Standards unit as listed in the table below.

Unit Unit title NOS units


Unit Personal Leadership AA3, BA2, BA3, BA5, BA6
7001V1 Development as a
Strategic Manager

114
Supplied under licence by the Chartered Management Institute
Licence Number: C10311442 / Expiry Date: students registered up to 01/07/2018