The Ingredients of a Good Leader

 

The role of leadership is a crucial component in the success of any records management program. Leadership is even more important during the current transition from a paper-based records management program to one in which information is maintained in a digital, rather than tangible, format. During the next decade, the truly successful records management programs will be led by individuals who understand the tasks at hand, the capabilities of their staff, and the synergy necessary to achieve long-term objectives.

 

Alan A. Andolsen, CRM, CMC

One of the first objectives a leader must accomplish is achieving a true balance between individual effort and teamwork of the staff as a whole. The realization of this balance comes from a structured approach to the tasks that are an integral part of the program. When the interplay among the individual, the team, and the task is in harmony, a good leader is assured of success.

 

Analyzing the Tasks at Hand

 

There are several components involved in analyzing tasks:

  • Define. The first, most obvious, though often most overlooked, step is to define the tasks at hand. It is difficult to conceive how anyone can lead without having a clear idea of the work at hand and the goals being sought. A good leader can present, in simple terms and often with a compelling vision, the reasons why the team will be working together, the benefits that will be gained, the difficulties that may be faced, and the rewards to be gained.
  • Plan. The natural corollary to the definition of the tasks at hand is a structured plan on how to proceed. The good leader is also a good planner who is able to recognize the different steps in the task, how they fit together most effectively, and the most realistic time periods for their completion.
  • Assign Work and Resources. Probably the most crucial aspect of task analysis is assigning work to the appropriate staff member. Leaders must fully understand each staff member’s skill capacity to help their staff best achieve results. In addition, each staff member must receive adequate resources to be able to complete the task. Resources include an interdependent mix of people, money, and time.
  • Control Quality and Pace. Once the process is underway, a good leader is constantly analyzing what is occurring. For a records manager in particular, the focus must be on excellent quality as a result of the effort that the staff is expending. Quality is often affected by pace. A good leader does not allow external pressure to speed up the process, possibly reducing the quality of the result.
  • Compare “Should Be” and “Is.” As the task progresses, there should be a continual comparison between what is actually occurring and the original plan that was created. Many efforts fall apart because the leader and team lose sight of what was originally intended.
  • Recognize Changes in Plan. Finally, a good leader recognizes that no plan is perfect. If the proper attention has been paid to the quality of the effort, its pace, and the difficulties that have arisen, the adjustments to the overall plan can be made easily and quickly. A good leader is not afraid to change a plan in midstream, if that means a better chance to achieve the objectives efficiently and effectively.

Leading a Team

 

Leading a team properly requires several complementary efforts on the part of leaders:

  • Set Standards and Establish Discipline. Among the most important elements that help build a true team are communicating clear performance standards and establishing discipline. In the first instance, a good records management leader can reference industry standards for the specific tasks that must be carried out. By placing the work to be accomplished in the framework of accepted standards, it is then much easier to establish the discipline necessary to complete the work. In this case, discipline does not necessarily mean punitive measures or below-standard performance. Rather, it reflects the orderliness of the team’s approach. It also includes the team’s desire to meet industry standards because they reflect a professional approach.
  • Foster Team Spirit. A good leader develops what was once called, in the military, esprit de corps. It is the development of a solid belief that there is value in the work being done and that it can only be accomplished by a cooperative synergy among team members. Though it may be enhanced by activities outside the workplace, such as parties or picnics, true team spirit arises from the cooperative effort itself, experienced and appreciated by the participants.
  • Encourage and Motivate. The single most important element that a leader can contribute to the building of the team is constant, but critical, encouragement and motivation. This is not a “cheerleading” activity. Rather, it must be a sincere and honest effort to keep the team in balance, to develop within the team a drive to succeed, and to recognize both progress and problems in a manner that does not hinder the team’s efforts.
  • Delegate. One of the most important characteristics of a good leader is the ability to delegate. Since records managers tend to be detail-oriented individuals, this facet of leadership is often the most difficult for them to accept and to achieve. Yet, without the ability to delegate, a records management program will not succeed. No one individual, no matter how talented, can create and maintain a successful records management program alone.
  • Communicate. Clear and open communication helps a good leader create and maintain an excellent working atmosphere. The impetus of communication should be to help all members of the team to understand the nature of the tasks involved, the objectives to be achieved, and the difficulties that might be encountered. In addition, during the performance of tasks, constant communication among the team members helps increase the productivity of individual staff members and resolve problems that may arise during operations.
  • Train. The final focus of a good leader in preparing and managing team operations is excellent training. The leader must be someone who can demonstrate personally to the staff the tasks that must be completed. If the leader leaves training to others and does not understand all the components of the tasks that the team members must perform, there is a serious risk of misdirection on the part of the leader or misunderstanding on the part of team members. Full and competent training is the bedrock foundation of good performance.

Recognizing Individual Effort

 

While managing a team competently is an important part of leadership, a good leader must also pay attention to the individuals within the team.

  • Pay Attention to Personal Needs. The first focus on the individual is on personal needs. If a team member has personal problems or other specific needs, performance will be affected unless the leader helps the individual resolve the problems or provides the space to resolve the problems. In other instances, a good leader will identify ways to assist an individual to become a more productive team member (e.g., working with a reticent person to become more forceful).
  • Report on Personal Development. As one example of open communication, a good leader provides feedback to individuals on their personal development, noting progress in areas that contribute to the overall success of the team and identifying areas that require additional work.
  • Recognize and Use Abilities. Probably the most important component of the leader’s work with the individuals on a team is recognizing the range of abilities and skills that each individual possesses. The necessary corollary to this recognition is assigning the individual to tasks that make use of those abilities and, at times, stretching those abilities to encourage the individual to grow in his/her capabilities.
  • Train. Finally, it is important to note that individual training contributes just as much as team training to the success of operations – particularly to a records management operation. This last point is the natural outgrowth of the recognition of an individual’s abilities and the desire on the part of the leader to strengthen those abilities and to expand the individual’s horizons.

Management by …

 

There is no magic recipe to create a leader. Some parts of leadership may be innate to the individual. Others are gained in watching models of leadership in one’s experience. However, some elements can also be gained by the study of management theory. The following three approaches to management all provide guidance to burgeoning leaders:

  • Objectives. Management by objectives encourages the structured planning and clear communication noted above. Having a clear target that the leader and team work toward together can be a powerful tool, if the objectives are both realistic and properly supported with appropriate resources.
  • Delegation. Management by delegation recognizes that all members of the team, including the leader, can and should be self-starters. In this model, each has appropriate tasks and is expected to accomplish those tasks without undue reference to higher levels of supervision. For a records management program, this approach can be extremely productive, given the often marginal resources provided to records management operations.
  • Exception. The final model, management by exception, further emphasizes the ability of individuals within the team to accomplish their tasks without unduly interrupting the team or the leader with unnecessary reporting. As part of the overall operations planned, the leader and team agree on parameters within which all should operate without the need to report. Only events that fall outside those parameters would require a formal report. Even in these instances, the team may be empowered to resolve the issue without direction from upper-level supervisors.

Motivation

 

In Toward a Psychology of Being Human, Abraham Maslow outlined a set of human needs and arranged them into a hierarchy – from the most basic to the most fulfilling. To progress through the hierarchy, an individual must have satisfied the needs at the lower levels. The levels of the hierarchy, starting with the lowest, are:

  • Physiological – at the most basic, food, water, and a decent environment
  • Safety and Protection – freedom from threats of violence or attack
  • Social – the opportunity to interact with other human beings
  • Esteem and Self-Respect – the identification of oneself as a worthwhile person
  • Self-Fulfillment and Contribution – the will to grow and to offer something to others

 A careful examination of these needs reveal some important lessons for a leader to keep in mind while motivating a team. If an individual in the team feels threatened because of the environment in which he/she lives, then it will be very difficult to motivate that individual to be a productive team member. If the individual does not believe that he/she is a worthwhile person, the leader is faced with the difficulty of convincing the individual that they can truly make a contribution to the team. In records management programs, where managers often deal with a wide diversity of staff, careful attention to Maslow’s hierarchy can help determine what approach to take to motivate specific individuals and even to motivate the entire team.

 

A good leader motivates staff in many different ways from personal example, through team events to individual face-to face encounters. Among the latter, coaching and counseling are two of the most common and effective tools.

 

When to Coach

 

For coaching to be effective, several circumstances need to be present:

  • The person being coached must be open to suggestion. If the individual is resistant to suggestions, then coaching is not an appropriate approach.
  • The individual being coached should not take offense at the suggestions made during the coaching process. Defensiveness is counterproductive in a coaching situation.
  • Finally, the individual must consciously know and accept that coaching is necessary.

How to Coach

 

The coaching process is most successful when:

  • Instructions are positive. The focus of the coaching should be to build skills and abilities – not to criticize those that might be problematic.
  • The contents of coaching reflect the reality of the situation. This is best done through documented procedures or processes, rather than personal approaches created on the spot during the coaching process.
  • Coaching pinpoints specific areas for improvement and stays within those parameters. Coaching is ineffective when it strays from the matter at hand, even though the other material may have some relevance to improving the individual’s skills.
  • Correct coaching provides a solid basis for evaluation. The coach must be able to decide whether the coaching was successful and what further assistance the individual may need.

When to Counsel

 

Counseling, on the other hand, must be used when an individual:

  • Is Not Open to Advice. The individual has a closed mind and believes that external advice is not necessary.
  • Defensive. The individual tries to justify behavior in opposition to attempts to modify current actions.
  • Denies the Need. The individual does not recognize that current behavior is not productive or is not in harmony with standard operating procedures.

How to Counsel

 

A good counselor combines the following four steps:

  • Views Staff Positively. All counseling must be founded on the belief that the individual being counseled is both worthwhile and capable of the improvement. If a counselor has a negative attitude toward the individual being counseled, there is little chance for success.
  • Recognizes Different Characters. The successful counselor also recognizes that all characters are not identical. The aim of the counseling should not be to form individuals into a character different than what they are, but rather to build on the individuals’ character and capabilities so they will be more productive members of the team.
  • Combine Feelings and Understanding. It is important for the counselor to understand the feelings of the individual being counseled and to be able to empathize with the individual. In addition, the counselor must be able to show that there is understanding of the individual’s situation, problems, and potential.
  • Agreement for Change. The most crucial element in a counseling exchange is an agreement on the part of the individual counseled to make an honest effort at changing the practice or behavior that is the subject of the counseling session.

Leadership and Motivation

 

A highly motivated team is an important part of any leader’s success. Thus, it is important that a leader or manager work to motivate a team as a whole, but more important, the individuals that make up the team. There are many different techniques that have proven successful to enhance a staff’s motivation. One in particular that is both simple to do and often very successful is a monthly face-to-face meeting. For the meeting to be a motivating, rather than a disappointing, event, it should be limited in time (20 minutes) and clearly structured:

  • Praise and Recognition. The meeting should begin with a statement recognizing the contributions of the individual as well as praise for work well done or progress made in learning new skills or improving existing skills.
  • Performance Problems. Only after discussing the individual’s contribution should the subject turn to any performance problems that may have been observed. The description of the problems should be factual and coupled with suggestions for improvement or, where necessary, warnings about discipline.
  • Feedback about Leadership. A crucial element of the motivation process is when the team leader asks for feedback on his/her performance over the past month. If the leader reacts to this feedback with understanding and actually modifies behavior where appropriate, the motivation of the individual providing the feedback and that of the team as a hole will be substantially enhanced.
  • Ideas for Improvement. The final element in the monthly face-to-face meeting should be a request for specific ideas that would improve the team’s performance, specific processes, or the team’s products or outputs.

For such face-to-face meetings to be successful requires substantial observation on the part of the leader. In other words, leadership must take place by being involved with the individuals of the team – either by working beside them on tasks or visiting them as they perform their tasks. Each day the leader should take about five minutes to record the day’s observations. These observations then become a source for the praise or comments during the face-to-face meeting. In keeping with good records management practice, these observations should be retained only until the next formal evaluation.

 

The interplay among leadership, motivation, and career planning are challenges for all records managers. In the coming decade, those who pay attention to all three elements and integrate them deeply into their lives will not only be successful, but also will contribute greatly to their organizations and the records management profession. In the final analysis, leaders and careers do not just happen, they are created.

 

Alan A. Andolsen, CRM, CMC can be reached at alandolsen@naremco.com.

 

From November - December 2008