CMQ-OE Certification Preparation Leadership

CMQ-OE Certification Preparation
Module I
Leadership
BoK OBJECTIVE
I.A. Organizational Structures
Define and describe organizational

designs (e.g., matrix, flat, and parallel)
and the effect that a hierarchical
management structure can have on an
organization. (Apply)
Certified Manager of Quality/Organizational Excellence Certification Preparation v02.01 © 2019 ASQ. All Rights Reserved. 2
Organizational Structure
Organized interrelated groups of employees
Working together Goal
Achieving common goals
Supports overall strategy and
goals
Organizational Structure
No single "best" organizational structure.
Prime considerations:
 Speed to sustainable results
 Delegation of responsibility to employees closest to
the work
 Increasing employee's comfort level to make
decisions.
Organizational Design
3 example organizations:
n
it on tio
xity iza iz a
le l l
p m
a t ra
o m r e n
C Fo C
High
Organization A
Organization B
Organization C
Low
Vertical Structure
Horizontal Structure
 Addresses how work activities are organized
across the organization.
 Based on the division of labor
 Primary vehicle for division of labor is
departmentalization
 Add: Cannot inhibit cross-functional
collaboration (prevent silo behavior)
Departments generally grouped by:
 Work function or academic specialty
 Customer type
 Geographic region or territory
 Process segment
Basic Organizational Designs
Organizations combine vertical and horizontal dimensions in
many ways. Common examples of resulting designs include:
• Flat or Tall
• Product
• Customer or geographic (markets)
• Process
• Matrix
• Cellular
• Parallel structures (team based)
Flat Structure
President
Vice Vice
President President
Sales Production
Sales Rep Sales Rep Manufacturing Shipping
Matrix Structure
President
VP Functional VP
units Administration
Marketing
Human Resources
Finance
VP Project VP Project VP Project
Research and
A B C
Development
Designers
Engineers
Media Specialists
Project Manager
Parallel (Collateral) Structure
Improvement Team: Members from multiple
areas (stakeholders)
ABC Company
Marketing Research and

and Sales Development Manufacturing
Sales Market Production

Analysis
Marketing Shipping
Creative
Development
Organizational Design
The Organization Possible Structure Why?
Has a limited range of Functional No need to organize
products or services around product or
related to each other? customer segments
Provides a broad range Product To allocate resources
of products or services, based on product
unrelated to each other? segments of importance
Is geographically Geographic Leverage advantages of
dispersed? geographic presence and
focus
Is primarily focused on Matrix Agility in assigning
projects? resources based on
project size, priority and
overall project portfolio
Work sites across Virtual Align staff and tasks
multiple time zones? when co-location is not
possible
Types of Authority
Types of authority:
• Line authority - superior-subordinate relationship
• Staff authority - specific to managerial support
functions (e.g., administrative assistants or system
analysts)
Span of Control:
• Narrow span of control
• Wide span of control
• Span of control must be optimized between narrow
and wide
BoK OBJECTIVE
I.B.1 Roles and Responsibilities of
Leaders
Describe typical roles, responsibilities,

and competencies of people in
leadership positions and how those
attributes influence an organization’s
direction and purpose. (Analyze)
Leadership
Consider the following individuals…
• Henry Ford
• Susan B. Anthony
• Mahatma Gandhi
• Margaret Thatcher
What do they have in common?
Leader vs. Manager
A “manager” is granted authority from above, whereas a
“leader’s” role is earned by virtue of having followers.
Leader Manager
ction et
 Establish dire  Plan and budg
o r k f orce staff
 Alig n t h e w  Organize and
o tiv a te an d in spire n tr ol a n d pr ob lem-
 M  Co
t a l en t a n d teams solve
 Build
Competencies, Characteristics
Types of Leadership
Types of Leadership Characteristics
• Organization leader • Motivates people to a higher level of performance
through strong human relations
• Cause leader • Ability to communicate in a language to stimulate
emotion, sustain high level of personal energy, and
be seen as a fellow group member
• Transactional leader • Believes that people are motivated by self-interests
• Attempts to control behavior by offering rewards or
threating punishment
• Transformational • Makes people aware of their responsibilities
leadership • Induces others to transcend self-interest by
behaving professionally
• Other kinds of leaders • Educational, public, opinion, legislative
Situational Leadership
• Task (guidance) behavior
– level of work-related detail and Task Behavior
guidance provided
– extent to which direct action must Low High
be taken with the performer
Relationship Behavior
• Relationship (supportive) behavior
– extent of the communication High Participating Selling
required
– amount of interpersonal support
3 2
and time given
Low 4 1
• Employee maturity or readiness Delegating Telling
– ability to assume a task.
– willingness to assume the task
* Situational Leadership Theory, Paul Hersey and Ken Blanchard, Authors
Emotional Intelligence
Personal Competencies Social Competencies
Self-awareness Empathy
Self-regulation Social Skills
Motivation
*Emotional Intelligence Theory, Daniel Coleman, Author
BoK OBJECTIVE
I.B.2 Roles and Responsibilities of
Managers
Describe typical roles, responsibilities,

and competencies of people in
management positions and how those
attributes contribute to an
organization’s success. (Analyze)
Managers
Leaders and managers are both adept
communicators
and negotiators.
Leadership is more of an influencing function

while management is more thinking function.
Leadership usually combine art and skill;

management is grounded in process.
Basic Management Competencies
Planning
Define goals; set specific objectives,
identify actions to achieve them.
Organizing
Create work structure, bring resources
together effectively.
Leading (Staffing, Directing)

Instill enthusiasm, motivate, maintain
good interpersonal relationships.
Controlling
Monitor results, compare achievements
to plan, take corrective action as needed.
A Manager’s Role
Working with and through people and resources.
Roles may include:
Strategist
• Establishes direction for the enterprise through strategic
planning and deployment of the plan’s goals and objectives
Organizer
• Organizes, people, ideas, and things to achieve enterprise
objectives
Motivator
• Creates and sustains a work environment that stimulates others
Integrator
• Brings previously disassociated people and processes
together
How Leaders Lead
Great leaders share fundamental competencies
• Self-managed
• Administrative
• Energetic
• Analytical
• Steady performers
• Manage conflict
A wide variety of technical, business,

people, human resources, and
environmental competencies are also
necessary to success!
Reflection
What characteristics do you feel managers
should possess?
What characteristics do you feel leaders

should possess?
Do you see yourself as a

Leader? Manager? Both?
Neither?
BoK OBJECTIVE
I.B.3 Change Management
Use various change management

strategies to overcome organizational
roadblocks, assess impacts of global
changes, achieve desired change
levels, and review outcomes for
effectiveness. Define and describe
factors that contribute to an
organization’s culture. (Evaluate)
Change Management
Change management is the practice of planning
and directing changes that occur within an
organization to achieve an intended result.
Elements of change management:

• Create an environment of change
• Help facilitate change
• Check to see if desired results are achieved
• Communicate progress and results
• Facilitate an organizational culture that supports
positive change
Change Agents
Roles of change agents:
• Coach top management
• Provide support and advice
• Manage a specific project Note: Change
• Guide the development of a agents can be both
network internal and
• Guide the assessment of external
results of change
Can you think of an internal or external

change agent for your company?
Overcoming Roadblocks
• Understand the emotional impact
• Understand the systems view
• Communicate what will and what will not change
• Model desired behavior
• Provide effective feedback, rewards, and consequences
• Be consistent in responding to resistance
• Be flexible, patient, and supportive
Change Barriers
Barriers to organizational improvement or change are
defined as anything that blocks or filters the
implementation or realization of continual
improvement.
• Vertical Structure – Silo mentality

• Horizontal Structure – Communication barriers
• Cultural barriers – fear of change, distrust
The most significant barriers are often inherent in an

organization's very structure and culture.
Constraint Management
Deals with identifying a constraint and working to remove or
diminish the constraint while dealing with resistance to change.
Constraint Management steps:

Step 1: Identify the process constraint
Use affinity diagram, interrelationship digraph, FFA, logic tree
Step 2: Analyze and understand the constraint

Use affinity diagram, scatter diagram, FFA
Step 3: Remove or counteract the constraint

Use PDCA, DMAIC
Assess Impact of Global Change
Immediate term
• Perform internal analysis against an excellence model
• Complete external situation analysis
Short term
• Consider research studies that summarize trends,
challenges
• Analyze possible organizational responses to trends,
challenges and potential consequences
Long term
• Review the work of futurists
• Examine insights about the future (10-20-30 years)
BoK OBJECTIVE
I.B.4 Leadership Techniques

Develop and implement techniques that
motivate employees and sustain their
enthusiasm. Use negotiation techniques
to enable parties with different or
opposing outlooks to recognize common
goals and work together to achieve them.
Determine when and how to use
influence, critical thinking skills or
Socratic questioning to resolve a problem
or move a project forward. (Create)
Hawthorne’s Experiment
The Hawthorne experiments - improved human relations
atmosphere and management involvement in productivity
and quality.
ask for people’s input on
things that matter to them
In today’s workplace,
here are some ways to take action on what they tell
use these principles: you
acknowledge their
contributions
wandering around, saying “good work” or

“nice job,” have little or no context.
Theories of Motivation
Intrinsic Motivation: Qualities

of work itself or relationships,
events, or situations; self-
rewarding
Extrinsic Motivation:
Satisfaction of material or
psychological needs applied by
others
Maslow’s Hierarchy of Needs
Self Actualization
Achieve one’s best
Esteem
Held in high regard; status, confidence
Social
Accepted by family/friends/co-workers
Safety
Economic and physical safety
Physiological
Eat, sleep, have shelter
Satisfy lower level needs first (food, water, housing, social)

Maslow’s Needs Theory
Freedom from job loss
Welcoming and open work environment
Measurement of progress
Recognition for a job well done
The opportunity for personal growth.

Acquired Needs Theory
Need for achievement – achievers prefer individual
responsibilities and challenges.
Need for affiliation – desire for harmonious

relationships and communication with other people.
Need for power – desire to control and influence other

people to achieve individual goals.
Theory offers a different view which can help managers

be more effective: understand your people and their
needs, whether for achievement, affiliation or power.
Operant Conditioning
The type and timing of feedback are used to sustain or
modify behavior:
• Positive reinforcement – stimulus resulting in
positive behavior
• Negative reinforcement – behavior to avoid
undesirable outcome
• Punishment – conditioning to prevent negative
behavior
• Extinction – withdrawal of reinforcing behaviors in
order to eliminate undesirable behavior
Negotiating Approaches
You and I can work together to ensure that

Win/win we both benefit from the negotiation.
Only one person will come out on top of

Win/lose this negotiation—me.
I’ve been set up to lose this negotiation,

Lose/win but I’ll go down fighting.
Neither of us will benefit from negotiating,

Lose/lose but I’ll still put up a fight.
Positional Bargaining Approach
People engaged in positional bargaining approach
negotiations with a win/lose, lose/win, or lose/lose
mentality.
Principled negotiation principles (win/win):

• Separating the people from the problem
• Focusing on interests, not position
• Understanding what both sides want to achieve
• Inventing options for mutual gain
• Insisting on objective criteria
Conflict Management
Conflict Resolution; interest-based + Collaborating
Competing
bargaining* (principled negotiation):
 Define the problem
Assertiveness
 Clarify the interests and perceptions
 Review common ground Compromising
 Identify new and creative options for
win-win
 Determine objective criteria and means
to achieve options
Avoiding Accommodating
-- +
Cooperativeness
*Conflict Mode Instrument, Kenneth Thomas and Ralph Kilmann, Authors
Critical Thinking Skills
Critical thinking: Wide range of cognitive skills and
intellectual attributes that enable us to…
• Evaluate arguments and truth claims
• Overcome personal preconceptions and bias
• Formulate and present convincing reasons in support of
conclusions
• Make reasonable and intelligent (data-driven) decisions
Be wary of traps like anchoring, status quo, sunk costs,

and confirming evidence!
Socratic Questioning
Socratic Questioning: Form of disciplined questioning that
can be used to pursue thoughts in many directions and for
many purposes
Socratic Question Type Example
 What do you mean by…?
Clarification
 Why do you say that?
 Could you explain why?
Assumption
 What would happen if…?
 What is an example?
Reason and Evidence
 What evidence do you have?
 What is another way to look at this?
Viewpoints and Perspectives
 Why is this the best?
 How does…affect…?
Implication and Consequence
 What are the consequences of…?
 What is the point of this question?
Question
 Why do you think I asked this question?
BoK OBJECTIVE
I.B.5 Empowerment
Apply various techniques to empower

individuals and teams. Identify typical
obstacles to empowerment and
appropriate strategies for overcoming
them. Describe and distinguish
between job enrichment and job
enlargement, job design and job tasks.
(Analyze)
Empowerment and Involvement
Results from an annual employee survey indicate that
employees are dissatisfied with their jobs and continuous
improvement initiatives. The chief operating officer decides
to implement an employee suggestion system, then appoints
a team to review the submissions and present the ones they
believe have merit at a monthly meeting of department
managers.
Does this exemplify empowerment?
Employee Involvement: a practice within an
organization whereby employees regularly
participate in making decisions about how their work
areas operate
Employee Empowerment: a condition whereby

employees have the authority to make decisions and
take action in their work areas without prior
approval.
What do you feel are some

of the most significant
benefits to employee
empowerment?
Empowerment Techniques
Restructuring the organization - organizational
structure affects how employees approach their
work and their customers.
Transferring authority – Assign employees

important work and allow them to make decisions
(within boundaries).
Training personnel - Managers need to

understand how to implement employee
empowerment. Non-management employees must
be trained in the managerial and administrative
aspects of their new roles.
Empowerment Barriers
• Lack of a clear commitment
• Structural barriers
• Failure to define empowerment
• Failure to implement appropriate incentives
• Lack of an implementation plan
• Inability to modify organizational culture
What empowerment barriers have you

experienced?
What are possible solutions?

BoK OBJECTIVE
I.C.1.Types of Teams
Identify and describe different types of

teams and their purpose, including
process improvement, self-managed,
temporary or ad hoc (special project),
virtual, and work groups. (Understand)
Types of Teams
Process improvement teams
A structured environment where members work
together to improve a process or processes
Self-managed teams
A type of team structure in which much of the
decision making regarding how to handle the
team’s activities is controlled by the team
members themselves.
Temporary/ad hoc teams

A temporary grouping of personnel or
resources for the accomplishment of
a specific objective
Types of Teams
Virtual teams
Composed of remotely situated individuals
affiliated with a common organization, purpose,
or project who conduct their joint effort via
electronic communication
Work groups
A team composed of members from one work
unit
Combinations
A combination of two or more team types
BoK OBJECTIVE
I.C.2 Stages of Team

Development
Describe how the stages of team

development (forming, storming,
norming, performing) affect leadership
style. (Apply)
Team Development
Stages of growth:
Forming Storming Norming Performing
The start up. Team members may not yet share a

complete understanding of the group’s mission.
Leadership Style: Organizing and Directing
Team Development
Stages of growth:
Honeymoon over; also referred to as start up. Team

members may recognize that tasks are different or more
difficult than they originally thought. This generates a general
sense of resentment and irritation among team members.
Leadership Style: Empathy and Analyzer
Team Development
Stages of growth:
Fine-tuning phase. Team members reconcile competing

loyalties and responsibilities, and accept the team and its
collective purpose.
Leadership Style: Coaching and Problem Solver
Team Development
Stages of growth:
Cohesion. Team members feel relationship cohesion and

recognize that individuals have differing talents
Leadership Style: Motivator and Controller
Team Development
Stages of growth:
Adjourning refers to breaking up the team when the

job is done
Transforming refers to building on synergies
Leadership Style: Integrator and Evaluator
BoK OBJECTIVE
I.C.3 Team-building
Techniques
Apply basic team-building steps such
as using ice-breaker activities to
enhance team introductions and
membership, developing a common
vision and agreement on team
objectives, and identifying and
assigning specific roles on the team.
(Apply)
Team-Building Techniques
Components of team processes
• Introductions
• Key Tasks
– Team objective
– Meeting agenda
– Technical process
– Decision-making techniques
– Action items, responsibilities, and timing
• Assigning roles and responsibilities
BoK OBJECTIVE
I.C.4. Team Roles and

Responsibilities
Define and describe typical roles related to
team support and effectiveness such as
facilitator, leader, process owner, champion,
project manager, and contributor. Describe
member and leader responsibilities with
regard to group dynamics, including keeping
the team on task, recognizing hidden
agendas, handling disruptive behavior, and
resolving conflict. (Analyze)
Team Roles and Responsibilities
• Champion • Sponsor • Team leader • Member
• Facilitator • Timekeeper • Scribe
Group Dynamics
A stated agenda is essential to an effective team meeting.
It helps keep team members on task.
Hidden agendas typically represent individual interests

that may or may not complement the team’s purpose and
goals.
Techniques:
• Discuss hopes and concerns
• Discuss “what I want for myself out of this”
• Use a neutral facilitator to help resolve differences
among team members
Disruptive Behavior
• Dominating participants: Participants who talk too much
• Reluctant participants: Participants who rarely speak
• Latecomers, early leavers, “flitters”: People who
apparently have more important things to do
• Digression or over-discussion: Eats up team time and
makes getting to action harder
• Unquestioned acceptance of opinion or ideas:
Groupthink
• Technology distractions: People responding to texts or
emails while team discussion is going on
BoK OBJECTIVE
I.C.5. Team Performance
and Evaluation
Evaluate team performance in relation

to established metrics to meet goals
and objectives. Determine when and
how to reward teams and celebrate
their success. (Evaluate)
Evaluating Team Performance
A common technique for assessing behavior is to
compile a short list of questions, along with a rating
scale, and distribute it directly after a team meeting.
Team Effectiveness Profile

1. Mission, planning, and goal setting
2. Group roles
3. Group operating processes
4. Interpersonal relationships
5. Intergroup relations
Self-Evaluation
Self evaluation (questionnaires, interviews); establish
objectives against which to measure performance at
the beginning of a project.
Task Behavior
Reduce costs Communicate effectively
Decrease cycle time Keep team commitments
Increase yields Make constructive comments
Improve customer Participate in discussions
satisfaction Come prepared to team meetings
Improve process efficiency
Types of Evaluation
Internal External
Who is People external to the
The team itself,
team. I.e., management,
including leader and Involved external stakeholders
facilitator
Tasks such as timeliness,
meeting and objectives Evaluation Results delivered
money, time, sustainability,
Behaviors such as Criteria application elsewhere
communication and
participation,
Objective
Assess potential problems
First-hand knowledge Benefits faced by other team
members
May be biased May not know enough

Will be based on the Drawbacks detail about the problems
work of just this team the team encountered
Performance and Evaluation
Team recognition – Intrinsic and Extrinsic rewards
Intrinsic rewards examples: recognition

certificate, lunch with executives, project
success in newsletter
Extrinsic rewards examples: cash, stock

options
What intrinsic and extrinsic rewards
have you experienced in your career?
BoK OBJECTIVE
I.D. ASQ Code of Ethics

Identify and apply behaviors and
actions that comply with this code.
(Apply)
ASQ Code of Ethics
Be honest and impartial in serving the public.
Strive to increase the competence and

prestige of the quality profession.
Use your knowledge and skill for the

enhancement of human welfare.
Leadership Summary
Organizational structures and designs
Leadership challenges
roles and responsibilities
change management
techniques
employee empowerment
Teams and teams processes
ASQ Code of Ethics

Reflection
What are two ways you can use or apply

something you’ve learned from Module I?
What questions do you have from

Module I?

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CMQ-OE Certification Preparation

I.A. Organizational Structures

Define and describe organizational

Sales Rep Sales Rep Manufacturing Shipping

Marketing Research and

Sales Market Production

Describe typical roles, responsibilities,

What do they have in common?

* Situational Leadership Theory, Paul Hersey and Ken Blanchard, Authors

Self-regulation Social Skills

*Emotional Intelligence Theory, Daniel Coleman, Author

Describe typical roles, responsibilities,

Leadership is more of an influencing function

Leadership usually combine art and skill;

Leading (Staffing, Directing)

A wide variety of technical, business,

What characteristics do you feel leaders

Do you see yourself as a

I.B.3 Change Management

Use various change management

Elements of change management:

Can you think of an internal or external

• Vertical Structure – Silo mentality

The most significant barriers are often inherent in an

Constraint Management steps:

Step 2: Analyze and understand the constraint

Step 3: Remove or counteract the constraint

I.B.4 Leadership Techniques

wandering around, saying “good work” or

Intrinsic Motivation: Qualities

Satisfy lower level needs first (food, water, housing, social)

Welcoming and open work environment

Recognition for a job well done

The opportunity for personal growth.

Need for affiliation – desire for harmonious

Need for power – desire to control and influence other

Theory offers a different view which can help managers

You and I can work together to ensure that

Only one person will come out on top of

I’ve been set up to lose this negotiation,

Neither of us will benefit from negotiating,

Principled negotiation principles (win/win):

*Conflict Mode Instrument, Kenneth Thomas and Ralph Kilmann, Authors

Be wary of traps like anchoring, status quo, sunk costs,

Apply various techniques to empower

Does this exemplify empowerment?

Employee Empowerment: a condition whereby

What do you feel are some

Transferring authority – Assign employees

Training personnel - Managers need to

What empowerment barriers have you

What are possible solutions?

Identify and describe different types of

Temporary/ad hoc teams

I.C.2 Stages of Team

Describe how the stages of team

The start up. Team members may not yet share a

Honeymoon over; also referred to as start up. Team

Fine-tuning phase. Team members reconcile competing

Cohesion. Team members feel relationship cohesion and

Adjourning refers to breaking up the team when the

Transforming refers to building on synergies

Leadership Style: Integrator and Evaluator