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LEADING CHANGE in Multiple Contexts

To my mother, Beatrice M. Price, who has led change in the military, in the medical profession, and in the lives of her family members

and friends throughout her life.

LEADING CHANGE in Multiple Contexts

Concepts and Practices in Organizational, Community, Political, Social, and Global

Change Settings

University of Richmond

Gill Robinson HICKMAN

Copyright © 2010 by SAGE Publications, Inc.

All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without permission in writing from the publisher.

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Library of Congress Cataloging-in-Publication Data

Hickman, Gill Robinson. Leading change in multiple contexts: concepts and practices in organizational, community, political, social, and global change settings/Gill Robinson Hickman.

p. cm. Includes bibliographical references and index. ISBN 978-1-4129-2677-5 (cloth) ISBN 978-1-4129-2678-2 (pbk.) 1. Leadership. 2. Social change. 3. Organizational change. I. Title.

HM1261.H53 2010 303.48′4—dc22 2009002579

This book is printed on acid-free paper.

09 10 11 12 13 10 9 8 7 6 5 4 3 2 1

Acquisitions Editor: Lisa Cuevas Shaw Editorial Assistant: MaryAnn Vail Production Editor: Catherine M. Chilton Copy Editor: Cheryl Duksta Typesetter: C&M Digitals (P) Ltd. Proofreader: Doris Hus Indexer: Diggs Publication Services Cover Designer: Gail Buschman Marketing Manager: Christy Guilbault

Brief Contents

Acknowledgments x

Introduction xi

PART I. CONCEPTUAL PERSPECTIVES ON LEADING CHANGE 1

Introduction

1. Causality, Change, and Leadership 3

PART II. LEADING CHANGE IN ORGANIZATIONAL CONTEXTS 33

Introduction

2. Concepts of Organizational Change 43

3. Concepts of Leadership in Organizational Change 55

4. Organizational Change Practices 79

PART III. LEADING COMMUNITY AND ORGANIZATIONAL CHANGE 119

5. Community Change Context 121

6. Crossing Organizational and Community Contexts 151

PART IV. LEADING POLITICAL AND SOCIAL CHANGE 161

7. Political Change Context 163

8. Social Change Context 197

9. Crossing Political and Social Contexts 221

PART V. LEADING GLOBAL CHANGE 229

10. Global Change Context 231

11. Crossing Global and Social Contexts: Virtual Activism in Transnational Dotcauses, E-Movements, and Internet Nongovernmental Organizations 281

12. Conclusion: Connecting Concepts and Practices in Multiple Contexts 299

Epilogue: Leading Intellectual Change: The Power of Ideas 304

Index 306

About the Author 313

About the Contributors 314

Detailed Contents

Acknowledgments x

Introduction The St. Luke Penny Savings Bank: A Change Vignette xi Purpose, Concepts, and Practices xi

PART I. CONCEPTUAL PERSPECTIVES ON LEADING CHANGE 1

Introduction

1. Causality, Change, and Leadership 3 Gill Robinson Hickman and Richard A. Couto

Barbara Rose Johns 3 Analytical Elements 8 Conclusion 27

PART II. LEADING CHANGE IN ORGANIZATIONAL CONTEXTS 33

Introduction The Environment of Organizational Change 33 Purpose of Organizational Change 35 Change Vignette: Technology Solutions Turns Disaster Into Dividends 38

2. Concepts of Organizational Change 43

What Kind of Organizational Change Do We Want or Need? 43

Conclusion 52

3. Concepts of Leadership in Organizational Change 55

What Type of Leadership Do We Want or Need to Accomplish Change? 55

Conclusion 75

4. Organizational Change Practices 79

Which Practices Do We Employ to Implement Change? 79 Conclusion 96 Applications and Reflections 99

PART III. LEADING COMMUNITY AND ORGANIZATIONAL CHANGE 119

5. Community Change Context 121 Richard A. Couto, Sarah Hippensteel Hall, and Marti Goetz

Introduction 121 Purpose of Community Change 121 Change Vignette: Citizens for the Responsible Destruction of Chemical Weapons 122

Concepts of Change 130 Concepts of Leadership 134 Change Practices 137 Conclusion 142 Application and Reflection 142

6. Crossing Organizational and Community Contexts 151

Introduction 151 Change Vignette: Microcredit to Rural Women 152 Concepts of Change Across Organizational and Community Contexts 155

Concepts of Leadership Across Organizational and Community Contexts 156

Change Practices Across Organizational and Community Contexts 158

Conclusion 160

PART IV. LEADING POLITICAL AND SOCIAL CHANGE 161

7. Political Change Context 163 Richard A. Couto

Introduction 163 Purpose of Political Change 164 Change Vignette: Extraordinary Rendition 165 Concepts of Political Change 172 Concepts of Political Leadership 176 Change Practices 184 Conclusion 190 Application and Reflection 191

8. Social Change Context 197

Introduction 197 The Purpose of Social Change 197 Change Vignette: OASIS: An Initiative in the Mental Health Consumer Movement 198

Concepts of Social Change 200 Concepts of Social Change Leadership 203 Social Change Practices 207 Conclusion 213 Application and Reflection 213

9. Crossing Political and Social Contexts 221

Introduction 221 Vignette: The Sikh Coalition 221 Concepts of Political and Social Change 223 Concepts of Political and Social Leadership 225 Change Practices Across Political and Social Contexts 226 Conclusion 228

PART V. LEADING GLOBAL CHANGE 229

10. Global Change Context 231 Rebecca Todd Peters and Gill Robinson Hickman

Introduction 231 Purpose of Global Change 232 Change Vignette: Chad-Cameroon Pipeline 233 Concepts of Global Change 236 Concepts of Global Leadership 242 Global Change Practices 257 Conclusion 264 Application and Reflection 265

11. Crossing Global and Social Contexts: Virtual Activism in Transnational Dotcauses, E-Movements, and Internet Nongovernmental Organizations 281

Introduction 281 Change Vignette: Is Global Civil Society a Good Thing? 282 Concepts of Virtual Change 286 Concepts of Virtual Leadership 288 Virtual Change Practices 291 Conclusion 296

12. Conclusion: Connecting Concepts and Practices in Multiple Contexts 299

Epilogue: Leading Intellectual Change: The Power of Ideas 304 James MacGregor Burns

Index 306

About the Author 313

About the Contributors 314

x

Acknowledgments

Iwish to thank the many colleagues, students, and family members who have con-tributed to the completion of this book. Specifically, I would like to thank thestudents in my Leading Change classes at the Jepson School of Leadership Studies who helped to shape the content and format of this text through their use of and comments on the initial draft manuscripts; the current Dean of the Jepson School, Sandra Peart, and former interim Provost of the University of Richmond, Joseph Kent, for granting me time to complete Leading Change; and former Dean of the Jepson School, Howard Prince, for giving me the opportunity to develop and teach the course that led to this book. I am forever grateful to the two academic coordinators of the Jepson School, Cassie Price and her successor, Tammy Tripp, for their many months of reference checking and technical editing, their endless patience, and their consistently congenial dispositions. My deep appreciation goes to my longtime colleague and friend Richard (Dick)

Couto, an eminent scholar and cocontributor to Chapters 1 and 5 and sole con- tributor to Chapter 7; to Sarah Hippensteel Hall and Marti Goetz for their experi- ence, insight, and scholarship as cocontributors to Chapter 5; and to Rebecca Todd Peters for her superb scholarship, global perspective, and creativity as cocontributor to Chapter 10. A most special thank you to James MacGregor Burns, my mentor, colleague, friend, and role model, for writing the epilogue: “Leading Intellectual Change: The Power of Ideas.” Your intellectual leadership has inspired me and numerous scholars and students of leadership studies all over the world, and for that we are exceedingly appreciative. I am most thankful to the editors and staff of Sage Publications for their exper-

tise, support, and care during the writing and publication of this book, especially Lisa Cuevas Shaw, MaryAnn Vail, and the late Al Bruckner. You serve as exemplars of the best in publisher-author relationships. I am grateful to Wang Fang, a wonderful colleague and friend, whose intellect

and sage advice about the book I fully respect and appreciate. Finally, I owe a special debt of gratitude to my husband, Garrison Michael Hickman, who provided infi- nite support and laughter; kept me motivated, fed, and supplied with coffee; and graciously read every word of the manuscript.

xi

Introduction

Leadership brings about real change that leaders intend.

—Burns (1978, p. 414)

The St. Luke Penny Savings Bank: A Change Vignette

The first female bank founder and president in the United States, Maggie L.Walker, led an unprecedented change to establish an African American–owned bank where people could combine their economic power to purchase homes, start businesses, and educate future leaders. Virginia banks owned byWhites in the early 1900s were unwilling to accept deposits from African American organizations or accept the pennies and nickels saved from the meager incomes of African American workers. Inadvertently, the discrimination by White bankers spurred Walker to study Virginia’s banking and financial laws and enroll in a business course with the aim of opening a bank (Stanley, 1996). In a 1901 speech before the African American fraternal organization the Independent Order of St. Luke, she said, “Let us have a bank that will take the nickels and turn them into dollars” (Walker, 1901). Walker and her associates formed the St. Luke Penny Savings Bank in 1903, with

opening-day receipts totaling $9,430.44. By 1913, the bank’s holdings had grown to more than $300,000 in assets. The Penny Savings Bank survived the Great Depression, whereas many other banks across the United States failed. It merged with two other banks in 1930 and was renamed Consolidated Bank & Trust. The bank still exists today and continues to pursue the founder’s purpose of economic self-reliance for African Americans.

Purpose, Concepts, and Practices

The story of Maggie Walker and the founding of the St. Luke Penny Savings Bank provide a focus for examining the concepts involved in leading change in multiple contexts. Leading change is a collective effort by participants to intentionally mod- ify, alter, or transform human social systems. Certainly, Walker and her colleagues were involved in an intentional, goal-focused change effort. Research and publications

on leading change typically center on how to lead change successfully in organiza- tions, often with an emphasis on practices. The establishment of an African American–owned bank in the early 1900s conforms to the typical focus of change. Yet the focus on the practices of leading organizational change is only one part of the story. Figure I.1 illustrates the connections among key factors involved in lead- ing change and identifies several change contexts, including organizational, com- munity, political, global, and social action. Leading change is ignited by purpose, influenced by context, and linked by concepts and practices of both leadership and change, which function jointly to create new outcomes. The founding of St. Luke Penny Savings Bank provides an introduction to how

the factors in Figure I.1 work together. Moving from the inside of Figure I.1 out- ward, it is apparent that the Penny Savings Bank came about because of a steadfast commitment to a compelling purpose. Most often, the purpose of leadership is change—change in human conditions, social structure, dominant ideas, or prevail- ing practices in one context or several. Walker articulated the purpose most elo- quently: “Let us put our moneys together; let us use our moneys; let us put our money out at usury [interest] among ourselves, and reap the benefit ourselves” (Miller & Rice, 1997, pp. 66–68). Several concepts and practices of change apply to the Penny Savings Bank

example. The founding and operation of the bank involved strategic change (actions to achieve a competitively superior fit between the organization and its environment; Rajagopalan & Spreitzer, 1997). Its long history of sustained opera- tion illustrates theories of change, such as life cycle—stages in the bank’s function- ing from initiation to growth to maturity to decline to revitalization) and teleological (step-by-step change based on goals and purpose) and dialectical change (conflict, negotiation, compromise, and resolution; Van de Ven & Poole, 1995), such as the firing of its officers in 2003. In the area of community change, the purpose and focus of the bank demon-

strate concepts of community empowerment or social power (i.e., actions by a community to control its own destiny; Speer & Hughley, 1995) using practices of community development (i.e., mobilization of resources by the community; Kretzmann & McKnight, 1996), social capital development (i.e., social networks and the associated norms of reciprocity; Putnam, 2000), and economic develop- ment. Walker’s stature in the business community and her personal convictions allowed her to become involved in social change or social movements. She cofounded civil rights organizations to fight racial injustice in the South, including the Richmond branch of the National Association for the Advancement of Colored People (NAACP) and the Richmond Council of Colored Women, and she became an active member of the National Urban League and the Virginia Interracial Committee, among others. Through these organizations, Walker was able to par- ticipate in social change that illustrates theoretical concepts of rational choice (strategies to transform social structures) and resource mobilization (actions taken by social movement organizations) (Garner & Tenuto, 1997). Walker exhibited several concepts of leadership in action during her quest to

bring about organizational, community, and social change. Her speeches clearly

xii LEADING CHANGE IN MULTIPLE CONTEXTS

exemplified her charismatic leadership style through strong rhetorical skills and the ability to create an uplifting vision in the hearts and minds of followers (Hughes, Ginnett, & Curphy, 2009, p. 637). She was a capable transactional leader (Burns, 1978) who, as president of the Penny Savings Bank, provided an exchange of valued things between the bank and the community. For example, the bank accepted small deposits of hard-earned cash from customers in exchange for providing a source of consolidated funds to build homes and businesses.Walker’s initiative intended “real change” in the sense that James MacGregor Burns’s (1978) concept of transforming leadership connotes. By 1920, the Penny Savings Bank had helped members of the community purchase 600 homes. Walker made loans to African American–owned businesses and started a department store and weekly newspaper, the St. Luke Herald. These businesses employed many members of the Jackson Ward area who, in turn, were able to support themselves, their families, and their community.

Introduction xiii

CONCEPTS OF CHANGE

CONCEPTS OF LEADERSHIP

P U R P O S E

CHANGE PRACTICES

CONTEXTS

• Organizational • Community • Political • Social Action • Global

FIGURE I .1 Leading Change in Multiple Contexts

Context, the setting or environment in which change takes place, matters a great deal, along with larger contextual elements of history, culture, and society. Wren (1995) explained the significance of larger contextual elements to leadership:

Leaders and followers do not act in a vacuum. They are propelled, constrained, and buffeted by their environment. The effective leader must understand the nature of the leadership context, and how it affects the leadership process. Only then can he or she operate effectively in seeking to achieve the group’s objectives. . . . First—beginning at the most macro level—are the long-term forces of history (social, economic, political, and intellectual); the second sphere of the leadership context is colored by the values and beliefs of the con- temporary culture; and finally, at the most micro level, leadership is shaped by such “immediate” aspects of the context as the nature of the organization, its mission, and the nature of the task. (p. 243)

Many historical and cultural elements are evident in the St. Luke Penny Savings Bank vignette. Long-term forces of history—from slavery, to the Civil War, to Reconstruction, and then Jim Crow segregation—led to the context that generated the leadership of Maggie Walker and many others, who in turn helped create a self- sufficient society for African Americans that paralleled European American society in the South. In addition to long-term forces, immediate contexts—organizational, commu-

nity, political, social change, and global—affect leading change in significant ways. The purpose and focus of leading change in each context varies, as indicated in Table I.1, even though change in one context (social or community) may lead to or call for change in another (political). The way in which authority is granted to con- stituted leaders to bring about change in organizations is different from the author- ity of elected officials to affect change in local, state, or federal government. Leaders in each context are chosen by different means (elected vs. appointed) and they serve different constituencies (the electorate/public vs. boards and stockholders). Context also influences concepts and practices of leadership, even though

leadership concepts and practices tend to be adaptable and effective in different set- tings. For example, Maggie Walker was able to use charismatic, transactional, and transforming leadership to bring about change successfully in organizational, com- munity, and social action contexts. The same concept or form of leadership may be used in different contexts but affect very different groups and bring about different outcomes. Charismatic, servant, transactional, and invisible leadership, for example, can be used in organizational, political, social change, and community contexts. Yet these forms of leadership affect different groups (employees, constituents, under- represented groups, or local citizens/community members), and they are intended for different purposes. Leading global change may require transcending boundaries (by identifying what makes us all human), whereas some new social movement leadership may entail creating new identities (the new Right or Left) that separate groups. Although the Penny Savings Bank provides an illustration of leading change in an organizational context, this example also demonstrates the interde- pendent nature of change and its impact across several contexts—organizations, community, and social activism (social movement).

xiv LEADING CHANGE IN MULTIPLE CONTEXTS

xv

C o n te xt s

O rg an iz at io n al

C o m m u n it y

Po lit ic al

So ci al C h an g e

G lo b al

Pu rp os e of

ch an ge

To al te r th e fo rm , qu al ity , or

st at e of an

or ga ni za tio n

to m ee t ch al le ng es an d

op po rt un iti es in th e in te rn al or

ex te rn al en vi ro nm

en t

To ad va nc e or pr ot ec t

rig ht s, he al th , an d w el l-

be in g of ci vi l

so ci et y/ m em be rs in

co m m un iti es

To co nf ro nt

si tu at io ns in

w hi ch po lic y

m us t be

fo rm ul at ed ,

pr om

ul ga te d, an d

ex ec ut ed

To gi ve vo ic e to sp ec ifi c

ca us es in or de r to

co rr ec t in ju st ic es ,

co un te r or re si st so ci al

co nd iti on s, or pu rs ue

an d cr ea te ne w

po ss ib ili tie s fo r so ci et y

To ad dr es s la rg e- sc al e

tr an sn at io na lo r

tr an sc ul tu ra lp ro bl em s,

cr ea te ne w op po rt un iti es ,

de ve lo p or al te r gl ob al

go ve rn an ce st ru ct ur es

Pa rt ic ip an ts

in ch an ge

pr oc es s

Po si tio na ll ea de rs (p riv at e, pu bl ic ,

N G O se ct or s) , in fo rm al le ad er s,

m em be rs /e m pl oy ee s of th e

or ga ni za tio n

C om

m un ity /c iti ze n

le ad er s, co m m un ity

m em be rs , N G O le ad er s

an d m em be rs

El ec te d of fic ia ls ,

ad vo ca cy gr ou ps ,

th e pu bl ic

N on co ns tit ut ed

le ad er s,

ac tiv is ts , N G O le ad er s

an d m em be rs

Po si tio na ll ea de rs

(in te rn at io na la ge nc ie s, an d

co rp or at io ns ), go ve rn m en t

of fic ia ls , N G O le ad er s an d

m em be rs

So ur ce of

au th or ity to

le ad

ch an ge

Le gi tim

at e/ po si tio na la ut ho rit y,

sh ar ed

au th or ity , in fo rm al or

re fe re nt po w er

Se lf- ag en cy or so ci al

po w er

C on st itu te d/

le ga la ut ho rit y

(e le ct ed

of fic ia ls ),

so ci al po w er

(a dv oc ac y gr ou ps )

So ci al po w er an d

le gi tim

at e au th or ity

(N G O s, m ov em en t

or ga ni za tio ns )

N eg ot ia te d ag re em en ts or

co nt ra ct s (p riv at e se ct or ),

le ga la ut ho rit y (g ov er ni ng

bo di es ), so ci al po w er

(N G O s)

A ff ec te d

gr ou ps

St ak eh ol de rs : em pl oy ee s,

cu st om

er s, in ve st or s, an d

co m m un ity m em be rs

C om

m un ity m em be rs /

ci tiz en s

C on st itu en ts ,

sp ec ifi c in du st rie s

an d or ga ni za tio ns

G ro up s se ek in g ju st ic e

or hu m an e tr ea tm en t

Tr an sn at io na ls oc ie ty

(n at io n- st at es , ci vi ls oc ie ty ,

co rp or at io ns , in te rn at io na l

ag en ci es )

TA B L E I. 1

C on te xt ua lI nf lu en ce s on

Le ad in g C ha ng e

The efforts of Maggie Walker and her colleagues to lead change in the Jackson Ward community led to many significant outcomes. In addition to establishing a bank to serve the financial needs of the African American community, Walker and her associates helped to create a self-reliant and thriving community with its own banks, businesses, jobs, homes, and social and economic capital. Members of the community were able to use these resources to establish civil rights organizations, which contributed to the ultimate downfall of segregation in the South. The intent of this book is to bring together many concepts and practices of

change and leadership from various disciplines and connect them to leading change in the five different contexts. The introduction to each context begins with a vignette about actual circumstances, like the founding of St. Luke Penny Savings Bank, to help illustrate concepts and practices in each context, and concludes with an application and reflection that allows readers to analyze other real-life situations using information from the chapter. These vignettes and applications provide examples of each context featured in the text and give readers a sense of how lead- ing change differs in every setting. The book is divided into five parts. Part I, which has only a single chapter, deals with conceptual views of leadership. Part II consists of three chapters devoted to the organizational change context, given that more research and publications have been generated about leading change in organiza- tions than in the other contexts. Part II includes five applications and reflections that represent several types of organizations. In Parts III–V, community, political, social, and global change contexts are examined separately for analytical purposes. Three chapters examine situations in which leading change in one context involves advocating or initiating change in another context because, in reality, change in one context almost invariably generates some form of change in at least one other con- text. These interactions across contexts commonly produce change in both settings. It is difficult to bring about long-term community or social change, for instance, without ultimately generating public-policy change that authorizes or inhibits spe- cific actions. Few long-term gains in civil rights or environmental protections would be possible without significant policy changes in these areas. Leading change is almost always a complex, long-term, and challenging

endeavor. Yet it is one of the most central processes to the study and practice of leadership. I hope that this book will help its readers understand concepts and prac- tices involved in leading change and inspire each reader to make a meaningful dif- ference in some aspect of life in communities, organizations, politics/public policy, society, or the world.

References

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Hughes, R. L., Ginnett, R. C., & Curphy, G. J. (2009). Leadership: Enhancing the lessons of

experience (6th ed.). Boston: McGraw-Hill.

xvi LEADING CHANGE IN MULTIPLE CONTEXTS

Kretzmann, J., & McKnight, J. P. (1996). Assets-based community development. National

Civic Review, 85(4), 23–29.

Miller,M.M., & Rice, D.M. (1997). Pennies to dollars: The story of Maggie LenaWalker.North

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Walker, M. L. (1901). An address to the 34th annual session of the right worthy grand council of

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