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Stop the revolving door: the influence of emotionally intelligent leadership practices on employee retention in non‐profit human service organizations

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Stop the revolving door: the influence of emotionally intelligent leadership practices on employee retention in non‐profit human service organizations

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Content Running head: EFFECTIVE LEADERSHIP IN HSOS

STOP THE REVOLVING DOOR: THE INFLUENCE OF EMOTIONALLY INTELLIGENT
LEADERSHIP PRACTICES ON EMPLOYEE RETENTION IN NON-PROFIT HUMAN
SERVICE ORGANIZATIONS

by

Andrekka J. Lanier

A Dissertation Presented to the
FACULTY OF THE USC ROSSIER SCHOOL OF EDUCATION
UNIVERSITY OF SOUTHERN CALIFORNIA
In Partial Fulfillment of the
Requirements for the Degree
DOCTOR OF EDUCATION

May 2018

Copyright 2017 Andrekka J. Lanier

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DEDICATION
This is a journey, an endeavor that is not traversed alone.
I am grateful to so many people and thankful for all things. I’d first like to thank my God
for giving me the grace, strength, and ancestral guides to complete this pursuit and for setting a
path in motion long ago that continues to be fulfilled with this part of my walk in Faith.
To my husband, Jermaine, who was my high school sweetheart and has been a source of
strength and encouragement and a great sounding board. Thank you for loving me with all my
quirks and letting me know that humanity is okay. You are Strength.
To my boys, Jr., Alex, Ariston, and Jamisyn who have given up so many moments that I
wish could be taken back to allow me to become “Dr. Mom.” Your hugs around computer
screens, insisting on snuggle time while mommy was doing “super important work,” having a
giggle break, asking when mommy would sleep, trying to be quiet, sharing our school work
stories, and the mommy impressions have meant EVERYTHING to me. You, my beautiful boys,
are the fuel to my life force. You are Love.
To my Mama, for encouraging me to strive for better than what I could see in our small
town. In a place where time moved slowly and racial constraints abounded, you gave me the grit
to utilize what others saw as a negative into a positive mantra by telling me that I’m not “just a
little Black girl” but I’m a young, gifted, and talented woman. You have always told me that I
have never been and should never want to be ordinary or average. I thought you would be taken
away from us mid-way through this journey, but I’m so glad you’re still on this side with us. You
are Magic.

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ACKNOWLEDGEMENTS
To Dr. Seli, thank you for your patient guidance and kindness in this process. When my
family’s health and my own health faltered and presented obstacles, you were always there with
gentle encouragement and wisdom to clarify and propel me through this process. You are Light.
To my Rams in the bush, Pauletta and Neil, I am so thankful for you unwavering
encouragement and strength. I’m so glad that you took kindly to this stranger and showed me so
much love.
To my life’s Motley Crew and Trojan network, I appreciate all of your supports. Thank
you, for coming to visit me on my island and encouraging me to take a dip in the waters.
For anyone who is reading this, please know that journeys unfold the more you persist
and your destiny may very well “open at the close.” Be what you are—GREAT.

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Table of Contents
Dedication 2
Acknowledgements 3
Chapter One: Introduction 15
Introduction of the Problem of Practice 15
Organizational Context and Mission 17
Importance of the Evaluation 18
Organizational Performance Goal 19
Description of Stakeholder Groups 20
Stakeholder Group for the Study 22
Purpose of the Project and Questions 22
Methodological Framework 23
Definitions 24
Organization of the Project 24
Chapter Two: Review of the Literature 26
Influence of Leadership Styles on Employee Retention in Non-Profit Human Service
Organizations 26
Related Literature 27
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Influence of Leadership Styles 27
Intra-organization Components 30
Emotional intelligence 31
Effective communication in emotional intelligence 33
Emotional intelligence and employee retention 34
Theoretical application of similarity-attraction paradigm 35
Leadership and values 36
Systemic Influence of Leadership on Employee Performance Outcomes 38
Shared vision and clash of beliefs 40
Accountability 40
Evolution of Leadership with Society 42
Leaders’ Knowledge, Motivation and Organizational Influences 43
Knowledge and Skills 43
Knowledge Influences 44
Declarative knowledge influence of effective communication and collaboration 45
Self-reflection in leadership 46
Motivation Influences 49
Expectancy Value Theory 50
Attributions 51
Goal Orientation Theory 51
Organizational Influences 53
Leadership and values 54
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Shared vision and clash of beliefs 55
Accountability 56
Conclusion 59
Conceptual Framework: The Influence of Leadership Styles in Non-Profit Human Service
Organizations on Employee Performance and Retention 60
Knowledge, Motivation, and Organizational Influences 66
Knowledge influences 66
Motivational influences 67
Organizational influences 67
Chapter Three: Methods 69
Purpose of the Project and Questions 69
Participating Stakeholders 70
Survey Sampling Criterion and Rationale 72
Criterion 1 72
Criterion 2 72
Criterion 3 72
Survey Sampling (Recruitment) Strategy and Rationale 73
Interview Criterion and Rationale 74
Criterion 1 74
Criterion 2 74
Criterion 3 75
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Interview sampling (recruitment) strategy and rationale 74
Observation Sampling Criterion and Rationale 75
Criterion 1 75
Criterion 2 75
Criterion 3 76
Observation Sampling (Access) Strategy and Rationale 76
Data Collection and Instrumentation 77
Surveys 77
Interviews 80
Observations 81
Documents and Artifacts 82
Data Analysis 83
Credibility and Trustworthiness 83
Validity and Reliability 84
Ethics 84
Limitations and Delimitations 87
Limitations 88
Delimitations 88
Chapter Four: Results and Findings 89
Observations, Interview, and Survey Participants 90
Observations 90
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Interviews 91
Surveys 91
Interview and Observation Results and Findings for Research Question 1: 92
Knowledge Results 92
Declarative conceptual knowledge: Understanding the impact of effective
communication and team collaboration 93
Declarative factual knowledge: Details of investing in human capital 96
Procedural knowledge: Systemic application of EI communication practices via
professional development opportunities 99
Metacognitive knowledge: Self-awareness of communicative abilities 101
Motivational Influences 103
Expectancy-Value 104
Leadership’s high value for communication adds value to employee relationships 105
Organizational Influences on EI Communication Practices Linked to Employee
Retention 108
Cultural Model Influences 109
Promoting accountability: Taking onus and developing corrective plans of action 109
Cultural Setting Influences 111
Universal buy-in of strategic planning to improve employee performance 111
Effective communication practices: Organizational mission alignment and role
modeling 113
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Historical Document Analysis and Survey Findings 116
Communication Practices Outlined in the Strategic Plan 117
Analysis of documented leadership effectiveness initiatives for employee retention 119
MLQ 5x Short Form for evaluation of transformational leadership factors 119
Transformational leadership style traits and categories in the MLQ 5x Short Form 120
Staff Retention 123
Synthesis of Knowledge Motivation and Organizational Findings 126
Chapter Five: Recommendations for Success 128
Knowledge Recommendations 129
Declarative knowledge solutions: Investing in human capital 129
Recommendation 1: Professional development that supports EI communication
practices 129
Recommendation 2: Reinforce professional development training with job aids 130
Procedural knowledge solutions: Systemic application of emotional intelligence (EI) 131
Recommendation 3: Research and plan for ongoing professional development 131
Metacognitive knowledge solutions: Self-awareness of EI communication abilities 133
Recommendation 4: Research ways to improve metacognition 132
Motivation Recommendations 133
Recommendation 5: Employee liaison to promote EI conflict resolution 133
Organization Recommendations 135
Recommendation 6: Embedded departmental supports foster cultural accountability 135
Recommendation 7: Accountability via policies and procedures 136
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Recommendation 8: Utilize strategic planning to improve performance 138
Integrated Implementation and Evaluation Plan 137
Implementation and Evaluation Framework 137
Organizational Purpose, Need and Expectations 139
Level 4: Results and Leading Indicators 140
Level 3: Behavior 142
Critical behaviors 142
Required drivers 143
Organizational support 147
Level 2: Learning 147
Learning goals 147
Program 148
Components of learning 149
Level 1: Reaction 153
Evaluation Tools 154
Immediately following the program implementation 154
Delayed for a period after the program implementation 155
Data Analysis and Reporting 156
Summary 156
Kirkpatrick’s three key questions 156
Conclusion 158
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References 160

Appendix A 169
Post Training Survey Scale Items and Open Ended Questions 169
Open Ended Questions Immediately Following Training 170
Open Ended Questions for Delayed Use After Training 171
Appendix B 172
Survey Items 172
Appendix C 174
Interview Protocol 174
Appendix D 179
Observation Protocol (abbreviated) 179
Appendix E 180
Informed Consent/Information Sheet 180
Appendix F 182
Recruitment Letter 182

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List of Tables
Table A. Knowledge Worksheet 47

Table B. Motivational Influences 52

Table C. Organizational Influences 57

Table D. MLQ Leadership Constructs and Sample Measurements 78

Table E. Interview Questions and Responses for Declarative Conceptual
Knowledge Influences 92

Table F. Observations and Interviewee Responses for Metacognition 97

Table G. Interviewee Comments Regarding the Value of Effective Communication 102

Table H. MLQ 5x Short Form Rater Results for Transformational Leadership Qualities 104

Table I. Outcomes, Metrics, and Methods for External and Internal Outcomes 121

Table J. Critical Behaviors, Metrics, Methods, and Timing for New Reviewers 142

Table K. Required Drivers to Support New Reviewers’ Critical Behaviors 144

Table L. Components of Learning for the Program 150

Table M. Components to Measure Reactions to the Program 152

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List of Figures
Figure 1. Relationship between EI, effective communication and employee retention 16
Figure 2. Gap analysis process 61
Figure 3. KMO Conceptual Framework 63
Figure 4. Participant Responses Related to Top Organizational Goals 111
Figure 5. NYAC Leadership Areas of Focus for Efficacy in Communication 113
Figure 6. Key Communication Strategies 117
Figure 7. Communication Items from Annual Survey 118
Figure 8. Action Steps from the NYAC Strategic Plan Initiative “Invest in Human Capital” 123
Figure 9. NYAC Turnover and Employee Satisfaction Percentages 124
Figure 10. Length of Employment for NYAC Staff 125
Figure 11. Data Analysis of Communication Training 157

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Chapter One: Introduction
Introduction of the Problem of Practice
Employee turnover in non-profit HSOs is a problem because it directly effects services
provided to the client population and has a circular, negative effect on funding and future staffing
efforts for a non-profit HSO. Non-profit HSOs are often taxed with the pressure to maintain
talented employees in their workforce with limited funding and resources and a high rate of
turnover due to the nature of the job (Renard & Snelgar, 2016). According to Siddiqui and
Hassan (2013), the level of emotional intelligence in HSO leadership is correlated with the
quality of employee performance and this has a resulting impact on employee turnover.
Specifically, low emotional intelligence in leadership is a determinant of high employee
turnover; therefore, it is critical for managers to understand that hiring and training new
employees is a greater cost that retaining current staff (Longenecker, 2006). Research indicates
that annual turnover rates range from 45% to 400% in non-profit HSOs with an estimated $4.1
billion in related costs (Harris-Kojetin, Lipson, Fielding, Kiefer, & Stone, 2004; Pennington et
al., 2003 as cited in Brown, Redfern, Bressler, Swicegood, & Molnar, 2013). While there is little
research available on employee satisfaction (Brown et al, 2013), sources indicate that the high
turnover rate is likely more dependent on the employee’s environment (leadership, social
supports, etc.) than the job tasks (Arnetz & Hasson, 2007; Lapane & Hughes, 2007; Pennington
et al., 2003 as cited in Brown et al, 2013).
In order to facilitate an effective environment in non-profit human service organizations
(HSOs) and improve employee retention rates it is important to understand the impact of
emotionally intelligent leadership practices. In doing so, it is important to break down the
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components of leadership styles that yield successful outcomes such as effective communication,
empathetic work leader/supervisee relationships, and a diverse work environment. Each of the
aforementioned traits are indicators of emotional intelligence (EI), the crux of a transformational
approach; therefore, emotional intelligence (EI) will be used throughout the body of this study to
reference effective communication practices in leadership.
This research supports the contention that emotional intelligence accounts for much of
the variation in HSO employee retention. Organizations are constantly seeking effective methods
to promote optimal employee performance and maintain employee retention. Investing in the
personal, emotionally intelligent side of employees engaged in professional practice for the
organization will create the potential for better gains within the organization as emotional
intelligence has been directly correlated to higher employee performance outcomes (Siddiqui &
Hassan, 2013).
This research focuses on the tenets of emotional intelligence (EI) in leadership in non-
profit Human Service Organizations (HSOs) and the relational impact on employee retention.
Figure 1 depicts the working relationship that EI and effective communication have as tenets (or
smaller cogs) of the transformational leadership style. Figure 1 shows how emotional
intelligence (EI) and effective communication are working components of transformational
leadership, all of which have an impact on employee retention and work performance.

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Figure 1. Relationship between EI, effective communication and employee retention.
Organizational Context and Mission
The organization used for this study, New York Autism Center (NYAC), is a non-profit
human service organization that provides residential treatment, day treatment programs, special
schooling, therapeutic services, transitional and independent living programs for children and
adults with autism utilizing an inter/multidisciplinary team approach. The organization mission
states that organization is committed to providing a high quality of life for consumers and an
ongoing integrated support network for families through the provision of quality programs and
community partnerships. NYAC is dedicated to providing an environment that promotes growth,
independence, social interaction, self-advocacy and creation of opportunity for individual
enhancement. In addition to the tagline summarizing the mission statement, a bulleted list of the
Transformational
Leadership
Emotional
Intelligence
(EI)
Effective
Communicati
on
• Employee Retention
• Work Performance
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organizational values that align with the mission is presented in the organization’s brochure and
on the website (NYAC, 2016).
New York Autism Center provides comprehensive autism and autism-related disorder
services to individuals and their families throughout their lifespan while on the autism spectrum
Educational programs are provided onsite as well as in-home for early childhood development
interventions to adult transitioning programs. In addition to the school sites, there are also
numerous residential facilities, a recreation center, transitional housing units, and other support
service buildings. The executive leadership team consists of the Chief Executive Officer (CEO),
Chief Operating Officer (COO), Chief Financial Officer (CFO), Director of Human Resources,
Director of Corporate Compliance, Foundation Director, Division Director of Program Services,
Director of Information Technology, Chief Clinical Officer, and Director of Business Affairs.
Importance of the Evaluation
The problem of practice in HSOs lacking in transformational leadership style qualities is
important to solve because leadership that is dominant in transactional qualities over
transformational qualities has maladaptive effects, one of the most prominent being employee
retention. Other negative effects that ineffective leadership practices in nonprofit HSOs can have
are lack of continuity and quality in patient care, perceptions of disempowerment and
disadvantage of direct care workers/employee satisfaction (Dill & Cagle, 2010). Hess and
Bacigalupo (2013) state that to counter or prevent these effects, the identification, and
management of multiple intrinsic and extrinsic factors, e.g., emotional intelligence (interrelation
between human emotion and logic), are pivotal in increasing the quality of decision making,
handling the changes and commitments of a non-profit organization. Consequently, the
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possession and management of emotional intelligence in transformational leadership lead to an
ability to better cope with organizational problems and build rapport with employees (Siddiqui &
Hassaan, 2013). Research studies indicate that a lack of emotional intelligence (Siddiqui &
Hassaan, 2013) and management (Adeoye & Torubelli, 2011) of human relationships
(transformational vs. transactional leadership) is a potent predictor of organizational commitment
and performance. Studies denote low prevalence of transformational leadership with emotional
intelligence is a determinant of high employee turnover in direct care non-profit HSOs, with
statistics indicating a 23.6% increase in 2011 (NHPCO, 2013).
Organizational practice can (and should) evolve with the needs of the community served
and societal changes (Osula & Ng, 2014). The demonstration of emotional intelligence through
transformational leadership can act as a conduit to inject the mission and heart of the
organization into the community (Hess & Bacigalupo, 2010) and, by extension, bring life to
promote holistic organizational success. The fostering of collective optimism,
community/organization identification, and efficacy is a positive, far-reaching systemic effect of
diversity that is most likely to surface with high levels of interdependence outcome within an
organization (Kearney & Gebert, 2009).
Organizational Performance Goal
In the context of the larger problem of practice, NYAC has a goal to increase employee
retention rates by 25% (increasing it to 90%) by the fiscal end of 2017, measured by employees
who remain with the organization for more than three years. The goal for increased employee
retention is tied to the organization’s mission statement of providing a high quality of life for
individuals with autism. In order to provide a high quality of life for the individuals served, the
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leadership team believes there should be continuity of care amongst staff. Additionally, it is a
part of the organization’s strategic planning to align agency operations with the mission and
invest in human capital. Progress towards the goal will be measured via audits conducted by the
Department of Corporate Compliance and Human Resources with information gathered from
annual surveys within the organization.
It is important to evaluate the organization’s performance in relationship to the global
performance goal of 90% employee retention. An adequate number of staff members allows the
organization to provide more individualized attention to direct patient care and service (Dill &
Cagle, 2010). Differences in turnover rates between non-profit HSO agencies suggest that non-
profit organizational characteristics providing direct care in human services contribute to lower
turnover rates (Dill & Cagle, 2010). Evaluating the organization’s performance will enable
stakeholders to gather formative data that can be used to assess the organization’s service
delivery decisions and structure that can positively impact employee retention rates. The key
stakeholder groups of the executive leadership team and middle management provided
professional insights and observational data that highlighted organizational areas in need of
improvement in order to increase employee retention, such as effective communication and
motivational tools. The achievement of this goal was measured by the results of leadership factor
survey administered in Spring 2017 and a review of data collected on employee retention rates
from 2001 through 2016 on the annual organizational survey and strategic planning goals.
Description of Stakeholder Groups
At New York Autism Center, the stakeholder groups include the patients, families of the
patients, attending clinicians, direct support care workers or aides, social workers and therapists,
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teachers, administrative assistants, and volunteers. Subsequently, there are stakeholders in levels
of upper and middle management who can provide perspectives on how known factors influence
organizational performance and the trickle-down effects of traits from the highest level of
leadership (Chief Executive Officer and Administrator) are filtrated to middle levels of
management. This key stakeholder group includes:
A. Chief Executive Officer and Chief Operating Officer— responsible for the overall
functioning of the organization, models the communicative strategies utilized by the
organization, delineates goal setting for the organization, serves as a key point of contact
for employee and patient concerns as well as community relations.
B. Chief Clinical Officer—responsible for the development and implementation of clinical
services provided in accordance with medically sound practice, state guidelines, as well
as alignment with the organization’s mission, serves as a key point of contact for
community outreach via education with local colleges, interns, and budding
practitioners.
C. Division Director of Programs and Services—responsible for overseeing and developing
the multiple phases of service delivery for both educational and vocational programs,
acts as a liaison between patients and families (especially in the non-residential
programs)
D. Director of Human Resources—responsible for the development and implementation of
employee motivational tools that are intrinsically rewarding for employees as well as
align with the organization’s mission. Additional responsibilities include: conducting
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surveys on satisfaction, collecting data on employee retention trends, and developing
efforts to recruit, grow, and appropriately sustain the workforce.
E. Director of Corporate Compliance—responsible for ensuring that members of the
leadership team, board of directors, and employees follow the rules and regulations of
state and federal regulatory agencies, company policies and procedures and that there is
an appropriate standard of conduct within the organization’s behavior.
Stakeholder Group for the Study
Although the joint efforts of all the stakeholders would contribute to the overall
organizational goal of increasing employee retention to 90% by 2019, it is important to evaluate
where the NYAC Executive leadership team and middle-level managers are currently regarding
the performance goal to determine if adequate progress is being made. Evaluation of progress
towards the performance goal prior to the projected goal deadline permits ample time to adjust
the strategy and approach to performance efforts if needed. The stakeholders of focus for this
study were all staff members in upper and middle management. Upper-level management is
known as the Executive Leadership team. The stakeholders have a common, shared goal of using
more effective communication strategies with their supervisees.
Purpose of the Project and Questions
The purpose of this project was to conduct a gap analysis to examine the status of the
managers’ knowledge, motivation and organizational influences related to their ability to support
the organizational goal of increased retention. Specifically, the focus was on the managers’
current capacity to lead through effective communication with their supervisees. The managers’
capacity was studied from the perspective of their experience with the organization and well as
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their own knowledge and motivation. The analysis began by generating a list of possible or
assumed influences and then by examining these systematically to focus on actual or validated
interfering influences.
As such, the questions that guided this study were the following:
1. What are the managers’ knowledge, motivation, and organizational (KMO)
influences related to using emotionally intelligent (EI) communication strategies with
their supervisees?
2. What are some recommended solutions to use emotional intelligence to increase
employee retention rates?
Methodological Framework
The conceptual framework utilized was Clark and Estes’ (2008) gap analysis, a six-step,
systematic, analytical problem-solving approach that helps clarify organizational goals,
understand the current capacity, and recommend research-based solutions to identified gaps
between actual and preferred performance levels within an organization. The methodological
framework is a qualitative case study with interviews, surveys, and descriptive statistics.
Personal knowledge coupled with related literature will identify assumed and proven influences
that interfere with motivation and organizational goal achievement. In addition to interviews and
surveys, these influences were assessed by using document analysis, literature review, and
content analysis. Research-based solutions will be recommended and evaluated in a
comprehensive manner to help stakeholders address identified challenges.

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Definitions
HSO: Abbreviation for Human service organization. An organization that approaches the
objective of meeting human needs through an interdisciplinary knowledge base, focusing on
prevention as well as remediation of problems, and maintaining a commitment to improving the
overall quality of life of service populations.
Emotional Intelligence (EI): The ability to be aware of one’s own emotions and the emotions of
others and the capacity to handle interpersonal and professional relationships with empathy and
judiciously.
Transformational Leadership: A leadership approach that causes change in individuals and
social systems that ideally instills positive values that carry forward to birth future leaders from
followers.
Transactional Leadership: Leadership that has a focus geared towards the “bottom line.”
Leadership that focuses on supervision, organization, and performance and may use punishment
or reward systems to gain compliance from followers.

Organization of the Project
Five chapters are used as a framework to organize this study. This chapter provided the
reader with the key concepts and terminology commonly found in a discussion about non-profit
human service organization practices. The organization’s mission, goals, and stakeholders as
well as the initial concepts of the evaluation study were also introduced. Chapter Two provides a
review of current literature surrounding the scope of the study. Topics of emotional intelligence,
transformational leadership traits, supports and interventions, conceptual framework and theories
will be addressed. Chapter Three details the assumed interfering elements as well as
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methodology regarding the choice of participants, data collection, and analysis. In Chapter Four,
the data and results are assessed and analyzed. Chapter Five provides solutions, based on data
and literature, for closing any identified gaps as well as recommendations for continued practice,
an implementation and evaluation plan for the solutions.

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Chapter Two: Review of the Literature
Influence of Leadership Styles on Employee Retention in Non-Profit Human Service
Organizations
Chapter Two delineates the influences that are pertinent to the achievement of
increasing employee retention by upper and mid-level leadership providing effective
communication to supervisees in non-profit HSOs organizations. The proceeding sections focus
on strategies necessary to identify causal links for performance gaps in the leadership’s
competency of communication within non-profit HSOs based on the Clark and Estes (2008)
framework. The first section focuses on background information pertinent to effective
communication in leadership styles and organizational components in conjunction with
knowledge and skill influences related to improving employee retention and recruitment
strategies within non-profit HSOs organizations. The second section addresses the construct
of motivation-related influences that are pertinent to the ability of upper- and middle-level
management to implement effective communication in their leadership roles to increase
employee retention. The third section highlights organizational elements that coincide with the
knowledge and motivational components that impact how leadership styles are shaped by
organizational culture and vice versa and contribute to performance gaps within an organization.
The chapter ends with a comprehensive, concise summary analysis of the vestige leadership
practices have on employee retention through the lens of the Clark and Estes (2008) gap analysis
dimensions of knowledge, motivation, and organization influencers.

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Related Literature

In non-profit HSOs, there is often a delicate balance between educating, training, and
retaining employees versus the monies and services provided to the vulnerable populations
served. Employee turnover is a multi-tiered, costly problem of practice in human services. If
there are high rates of turnover within a human service organization the client or patient’s care
may suffer as a result of the emotional discontent related to a lack of continuity in providers.
Furthermore, the relationship between patient and provider directly affects the referral rates for
an agency which affects the census and financial success of the organization (York, Jones, &
Churchman, 2009). Employee turnover results in increased costs for the agency to recruit and
train new employees, while detracting from billable hours for patients or clients (income
sources); therefore, it is in the best interests of the agency to keep employee turnover costs to a
minimum.
Influence of Leadership Styles
As previously mentioned, it is imperative for leadership to demonstrate the appropriate
skills necessary to invest and retain the organization’s most important asset, human capital.
Leadership that lacks the appropriate knowledge of effective communication strategies and
cultural competencies necessary to promote a harmonious work environment contributes to the
problem of employee retention in non-profit HSOs (Cho & Dansereau, 2010). Ineffective
leadership styles may contribute to sustaining or widening gaps created by socioeconomic
disparities such as income and age (Xing, 2014). Alternatively, leaders who embody the
transformational leadership traits of inspirational motivation, role modeling desired behaviors,
fostering teamwork and high-performance expectations are directly related to increased
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employee retention as well as positive psychological outcomes such as organizational
innovation, self-efficacy and commitment, satisfaction, helping behaviors, and group cohesion
(Hardy, et al., 2010).
Inadequate transformational leadership characteristics, such as lack of emotional
intelligence, have a resulting impact on lower outcomes in employee morale and lesser job
performance (Siddiqui & Hassan, 2013). As a result, there is a need for increased efficacy and
unity within the work environments of non-profit HSOs because research supports the assertion
that leadership characteristics of emotional intelligence and effective communication are crucial
for handling the challenges and commitments of a HSO non-profit, both internally, between
employees, and externally, client/patient interactions (Hess & Bacigalupo, 2013).
Leadership alone does not determine the sustainability and growth factor for non-profit
HSOs. Dill and Cagle (2010) cite several contributors to employee turnover that include: the
fluctuation of policies and funding within the healthcare systems, labor market dynamics, and
organizational structure. Dill and Cagle (2010) further posit that these contributors are linked to
three important changes that correspond with a prevalence of transactional leadership approach
instead of a transformational leadership approach. The presence of transactional leadership
approaches in non-profit HSOs has negatively affected direct care services and resulted in the
following changes in the non-profit HSO industry:
1) Nonlocal ownership that rationalizes care through the lens of a larger, complex
organization focused primarily on growth;
2) Competitive market share for all providers where the dominant concern is the “bottom
line” rather than patient care; and
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3) Declining influence of non-profit providers and the grassroots, client-centered HSO
model as there is an increase in the privatization of care provision and influence of for-profit
providers (Dill & Cagle, 2010).
To explain the impact of employing a transformational leadership approach with EI and
effective communication to promote cognitive and socio-political diversity within the workplace,
a brief historical description of the transformational leadership style follows.
Transformational leadership is a managerial approach that has been touted as highly
effective due to components of EI and helpful communication practices that contribute to
cognitive diversity (Hassan, Bashir, Abrar, Baig, & Zubair, 2015). A leader who exemplifies
behaviors associated with a transformational leadership style can act as a moderator for positive
employee relationships and outcomes (Hassan, Bashir, Abrar, Baig, & Zubair, 2015). Northouse
(2013) defines transformational leadership as “the process whereby a person engages with others
and creates a connection that raises the level of motivation and morality in both the leader and
the follower” (p. 176). Under transformational leadership, followers express their feelings,
attitudes, and beliefs and are inspired to believe in a greater, shared purpose (Marin, 2013). In
turn, this conduct positively elevate and transform aspirations (Simola, Barling, & Turner, 2010).
Simola, Barling, and Turner further state that transformational leadership is composed of four
dimensions: idealized influence (leaders model the mission and role); intellectual stimulation
(leaders motivate followers to be innovative and creative); individualized consideration
(establishment of a supportive environment tailored to individual needs of followers); and
inspirational motivation (shared spirit and team vision for goal achievement). These dimensions
can be assessed with the Multifactor Leadership Questionnaire 5x Short Form, which is
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30
discussed in greater detail in Chapter Four. The characteristics of transformational leadership
approach have led to research studies on the complex relationship between moral reasoning and
cognitive diversity as a moderator of employee performance (Hassan, Bashir, Abrar, Baig, &
Zubair, 2015).
The heart of the transformational leadership approach is emotional intelligence;
moreover, a key cog of emotional intelligence (EI) is effective communication. Each component
is fundamental to producing higher employee performance and developing future leaders. A
transformational leader with emotional intelligence has the ability to recognize the systemic
factors that impact employee performance and well-being, such as work environment, hierarchy
of relationships, and communication practices (Cho & Dansereau, 2010). Management that
applies effective communication, inspirational motivation, and models desired behaviors has a
tendency to foster teamwork and high-performance expectations (Hardy, et al. 2010). A
transformational, emotionally intelligent leadership style has been directly found to produce
followers that have positive psychological outcomes such as organizational innovation, self-
efficacy and commitment, satisfaction, helping behaviors, and group cohesion (Hardy, et al.,
2010). Conversely, in cases where leadership is more transactional over transformational (Cho &
Dansereau, 2010), skills can be acquired and enhanced through the application of emotional
intelligence, education and interaction aligned with effective communication competencies and
transformational leadership practices (Marin, 2013).
Intra-Organization Components
The term “intra” refers to components that are within something; in this instance in
accordance with the Clark and Estes (2008) gap analysis, it refers to elements within an
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31
organization. Conversely, the term “inter” refers to components that are among some things.
Being among does not refer to being a part of, rather it can be an external source that goes
through with the potential to connect elsewhere, like an interstate highway (Bureman, 2016).
Because elements that are accessible to members of the organization are being examined, the
term “Intra-organization” has been used for this section heading. In this section, the concept of
emotional intelligence will be discussed in depth as it applies to successful leadership practice;
specifically, transformational leadership as indicated in Figure 1. Following the discussion of
emotional intelligence, the literature review will support the second focus area of
transformational leadership, effective communication practices as both pertain to the larger
problem of employee retention in non-profit HSOs. The theoretical application of similarity-
attraction paradigm will also be reviewed in this section because it has parallel behaviors
associated with emotional intelligence, effective communication, and successful leadership
styles.
Emotional intelligence. Emotional intelligence is a trait that extends beyond the
constructs of an organization. In fact, it has a systemic effect that plays a significant role in social
skills adaptations, motivation, personal and professional work environments that promote holistic
success within the community when demonstrated by an organization (Siddiqui & Hassan,
2013). A knowledge-based leader who integrates emotional intelligence in leadership balances
the interests of employees, the organization, and the community (Hess & Bacigalupo, 2010).
Essentially, an emotionally intelligent leader fosters innovation through a vested interest in
balancing the bottom line and personal touch, thereby utilizing emotional intelligence as a
developmental process. The trait of emotional intelligence within transformational leadership
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32
allows a developmental process to take shape by treating the individual and organizational
concurrently, rather than a separate, oppositional approach (Hess & Bacigalupo, 2010). When
emotional intelligence is employed in leadership it can act as a conduit to inject the
organization’s mission and into the community while concurrently allowing best practice to
evolve with the needs of the community served and societal changes (Osula & Ng, 2014; Hess &
Bacigalupo, 2010). By extension, this brings life to the promotion of holistic organizational
success.
Researchers have defined emotional intelligence (EI), as related to leadership, in various
ways over a span of several decades ranging from 1970’s to the present (Simola, Barling, &
Turner, 2010). For example, in a 1990 journal article by Salovey and Mayer, emotional
intelligence was defined as “…the subset of social intelligence that involves the ability to
monitor one's own and others' feelings and emotions, to discriminate among them and to use this
information to guide one's thinking and actions (in Salovey et al., 2007, p. 5).” However, a
commonly accepted, more simplified definition of emotional intelligence has evolved as follows:
“emotional intelligence in leadership is defined as the ability to perceive and express emotion,
assimilate emotion and thought, understand and reason with emotion, and regulate emotion in the
self and others” (Mayer et al., 2000, in Salovey et al., 2007, p. 82). Because leadership is an
emotionally laden process, the correlation to emotional intelligence has been linked to
transformational leadership, organizational theory, and so on. For example, the cognitive-
behavioral presence to execute the characteristics of connecting one’s self with group goals
(idealized influence) and utilize the sense of community to pursue a shared vision (inspirational
motivation) is indicative of a high level of moral reasoning coupled with intelligence that
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33
generates positive organizational results. Emotional intelligence contributes to the emergency of
leadership, specific leadership behaviors, and overall leader effectiveness (McCleskey, 2014).
Hess and Bacigalupo (2013) posit that emotional intelligence is pivotal in order to better
identify and manage multiple intrinsic and extrinsic factors such as the interrelation between
human emotion and logic, cultural differences, to increase the quality of decision making, and
handle the changes and commitments of a non-profit organization. Emotional intelligence is a
highly sought after leadership trait, wherein vision and self-efficacy should be considered as
viable attributes in nonprofit or other human service organizations (Ramchunder & Martins,
2014). Research indicates that there is a need for increased emotional intelligence to promote
more cognitive and sociocultural diversity (Chrobot-Mason & Leslie, 2012), embedded as a trait
for transformational leadership (Shier & Graham, 2013) in non-profit human service
organizations (HSOs) to organizations that utilize cognitive and sociocultural diversity starting at
the managerial level have been proven to have a stronger basis in emotional intelligence and
transformational leadership, which Shier and Graham (2013) attributes to an increase of
subjective well-being on the job for employees and results in a greater understanding of the
importance of diversity in the workforce. Evidence posits that leadership with emotional
intelligence is transformational (Ljungholm, 2014). Transformational leadership can minimize
the expectation perception gap that leads to misunderstanding among employees while instilling
positive views across the workforce (Kearney & Gebert, 2009).
Leadership development programs may be enhanced through a better understanding of
the concept of emotional intelligence and the inclusion of practices that aim to develop
participants' emotional intelligence (Sadri, 2012). Per Kerr, Garvin, Heaton, and Boyle (2006),
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34
leadership is intrinsically an emotional process, wherein the emotional states of followers are
recognized, emotion is evoked, then managed accordingly. Subsequently, leadership model
constructs for emotional intelligence vary and are based on a mixed-model or individually on
abilities, social competency, traits, etc. The most commonly accepted emotional intelligence
model is the Mayer Ability model, it is based on four branches of emotion: perception,
facilitation, understanding, and regulation (McCleskey, 2014). The Mayer Ability model
suggests a multi-level perspective should be utilized when examining psychological processes,
emotional intelligence, and the resulting impact on transformational leadership.
Effective communication in emotional intelligence. A primary attribute of emotional
intelligence in leadership practices is effective communication. Effective communication
practices embody more than spoken words. These practices incorporate cultural consideration,
empathy, motivation, and understanding. There is a need for efficacy and unity in
communication that can be derived from appropriate managerial strategies. According to Hess
and Bacigalupo (2013), emotional intelligence in leadership is crucial for handling the many
changes and commitments of any non-profit organization. Hess and Bacigalupo (2013), further
state that the identification and management of multiple intrinsic and extrinsic factors, such as
the identification and management of human emotion and logic, are pivotal in increasing the
quality of decision making, handling the changes and commitments of a non-profit organization.
It is important for managers to lead with emotional intelligence and channel efforts
towards investing in the organization’s most important asset, human capital. Njoroge and
Yazdanifard (2014), cite the importance of managerial awareness of motivating factors for an
organization’s main asset, the employees. It is critical that relationships and networks with
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35
motivating factors that promote harmonious teamwork and growth over the long term are
emphasized (Njoroge & Yazdanifard, 2014). Although there are other factors that contribute to
employee retention: salary, weather, working conditions, and employee personalities,
emotionally intelligent leadership practices can compensate for some of the aforementioned
problems.
Emotional intelligence and employee retention. Effective, strong leadership is
paramount to sustaining employee retention in non-profit HSOs as these organizations adapt to
the ever-changing economy and environment. Longenecker (2006) states that an effective leader
encompasses the ability to adapt, develops a plan for change, inspires and motivates others as
well as themselves, and serves as a role model to supervisees. These leadership practices foster a
work atmosphere that generates a sense of team spirit and a shared vision aligned with the
organization’s mission (Longnecker, 2006). Additionally, Longnecker posits that a
transformational leadership approach defines the characteristics a leader should have.
Longnecker states that a transformational leader serves as a role model, motivates employees
through idealized influence, incorporates individualized consideration and intellectual
stimulation, which are all key components of emotional intelligence.
A significant relationship between emotional intelligence and job satisfaction, which
contributes to employee retention rates, was established in a study by Goldstein (2014).
Goldstein’s (2014) states that leaders should use emotional intelligence to identify important
interpersonal skills related to decreased employee turnover such as the ability to positively
interact with others, stress management, effective planning and organizing. In response to the
adage that employees leave their managers, not the company, Maharaj (2017) asserts that leaders
EFFECTIVE LEADERSHIP IN NON-PROFIT HSOS

36
should use emotional intelligence as an empowering tool to maximize the value of individual
strengths, constructively develop areas of weakness and honor the individual. Maharaj (2017)
further states that communication, the crux of emotional intelligence, is a key skill that, when
used effectively, has the ability to impact retention by highlighting areas of necessary
improvement for employees, interlacing empathy with delegation of job duties, and engaging in
self-reflection as a leader.
Theoretical application of similarity-attraction paradigm. Client interaction and other
organizational outcomes have been linked to demographic diversity variables, e.g., gender,
educational background, and age; each of these factors contribute to how individuals view
themselves (Muchiri & Oluremi, 2013). Muchiri and Oluremi (2013) use a combined social
psychological approach of similarity-attraction paradigm, social identity theory, and social
category theory to greater define diversity within the organizational setting. Pursuant to the
similarity-attraction paradigm, individuals appreciate the positive attributes in others who are
viewed like themselves (Morry, 2007); consequently, this perception has a causal link to the
diversification and impact of emotional and functional performance of employees within an
organization (Kearney & Gebert, 2009). Social identity and social category theories tout the
utilization of demographic diversity variables as a means through which individuals favorably
affiliate and group themselves with others from similar main identified demographic categories
(Muchiri & Oluremi, 2013).
Muchiri and Oluremi (2013) cite three precepts for the operation of the combined
theoretical paradigms of similarity-attraction, social identity, and social category. The primary
precept operates under the assumption that individuals self-categorize themselves and engage in
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37
social comparison with others to maintain a high level of self-esteem in organizational settings.
Secondly, the process of self-categorization begins with the demographic characteristics of
ethnicity, age, sex, religion, sociopolitical and organizational status. The third principle
postulates that the prominent social category of identification that one positively identifies with
affects the individual’s perception, behavior, and treatment from others (Muchiri & Oluremi,
2013).
The prevailing inference from this theoretical application is that the expectation and
perception of the individual shapes and evokes behaviors in others (Muchiri & Oluremi, 2013).
One can infer from this assertion that transformational leadership has a systemic effect (Muchiri
& Oluremi, 2013) that encourages cognitive and socio-cultural diversity within organizations to
positively employee performance and outcomes. Yukl (2010) posits that increased cognitive and
socio-cultural diversity in transformational leadership extends beyond inspiring
employees/followers to do more, but engages positive interaction within the community as well.
Leadership and values. As reported by Eccles (2009), workplace (or another task setting)
effectiveness is dependent upon the value leadership places on supervisees. Eccles (2009) posits
the necessity of individuals feeling as though they are valuable contributors to their institution.
Performance problems arise in an organizational culture where employees feel as though they are
not being heard or recognized by management, thereby resulting in less motivation to engage in
meeting or exceeding mastery of the tasks related to job performance (Benjamin, 2008). Eccles
outlines implementation strategies for value problems by stating that leaders should describe the
benefits of task completion, risks of task avoidance, provide reminders of past successes, ensure
fairness and trust, and offer tangible, valued incentives.
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38
The importance of value is indicative of the emotional process involved in leadership.
Intrinsically emotional leadership practices recognize the emotional states (feeling of value) of
the supervisees/followers and manage the evoked emotion accordingly (Cho & Dansereau,
2010). Moreover, leadership practices have a systemic effect that impacts employee performance
outcomes within an organization because expectations and perception of an individual shapes
and evokes behaviors in others. Therefore, leadership should model behaviors that are mindful of
emotional intelligence and value in individual employees. In keeping with the goal of increasing
employee retention rates, organizational culture should reflect an increased focus on embodying
more emotional intelligence focused on humanistic relations in direct patient care services for the
vulnerable populations served as well as the employees providing the service (Claxton-Oldfield,
Wasylkiw, Mark, & Claxton-Oldfield, 2011).
Systemic Influence of Leadership on Employee Performance Outcomes
It is important for leaders in HSOs to demonstrate and engage in ongoing education
regarding external and internal systemic influences that impact employee performance outcomes.
A critical component of understanding systemic influences is linked to the integration of diverse
affiliated groups (Hassan, Bashir, Abrar, Baig, & Zubair, 2015) within the workplace. Angeline
(2011) refers to the expectation perception gap that leads to misperception and misunderstanding
among employees when a homogenous work environment exists. Consequently, a fusion of
cultural awareness (Angeline, 2011) and cognitive adeptness (individual/organizational
psychology) should be used to positively influence group behaviors, employee performance and
mitigate change.
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39
Cognitive and socio-cultural diversity within teams can enhance overall functioning by
decreasing dissension arising from dissimilarities based on social categorization (Hassan, Bashir,
Abrar, Baig, & Zubair, 2015). Organizations thrive on placing value in diverse viewpoints
(Hassan, Bashir, Abrar, Baig, & Zubair, 2015) as evidenced by divergent perspectives about
resource utilization, information gathering, and creativity that can help solve complex problems
(Prieto, Phipps, & Osiri, 2011). Additionally, by investing in cognitive and socio-culturally
diverse employees, leadership demonstrates flexibility in the areas of both human and financial
capital in a manner that creates sustainability (Tomar & Dhiman, 2012).
Human behavior and systemic perceptions of various cultures can be viewed as a catalyst for
change and organizational performance. Transformational leadership embodying emotional
intelligence should display awareness of unconscious systemic cues, both verbal and non-verbal,
that shape the environmental culture and employee roles. Some of the cues are obvious, i.e.
clique formation based on organizational hierarchy, race, or gender, while others are subtler like
repeated converging of ideas and values in certain settings (Kearney & Gebert, 2009). Moreover,
investing in the personal welfare of employees demonstrates emotional intelligence in leadership
and can increase the potential for better gains within the organization (Siddiqui & Hassan, 2013).
Subsequently, leadership should also be aware of the various dimensions of diversity
within an organization and be proactive in closing the gap in organizational disparities. A key
example of an organizational disparity is the level of access to resources within the work
environment. Resource access (and diversification thereof) creates a system of class that can be
indicative of external oppressive values unconsciously penetrating the internal culture, function,
and level of diversity within the workplace (DiTomaso, Post, Parks-Yancy, 2007).
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40
Shared vision and clash of beliefs. Characteristics of the communicative styles
embodied by the leadership groups, the organizational mission and vision statement have a
significant impact on employee retention (Dill & Cagle, 2010). Culture develops over time and
can be used to describe shared beliefs, core values, and processes implemented within work
environments (Clark & Estes, 2008). Hence, it is important that leadership exhibit the knowledge
and ability to align expectations from employees with organizational vision and beliefs to create
a shared vision and avoid a clash of beliefs. Misalignment in expectations, vision, and belief sets
results in a cultural clash between organizational beliefs held by management and expectations
of the employees/supervisees (Clark & Estes, 2008). Consequently, it is beneficial for leadership
to display emotional intelligence in effective communication by engaging in effective strategic
planning and goal setting that aligns with the organization’s vision and incorporates employee
input from multiple levels.
Leadership in nonprofit HSOs can model emotional intelligence in effective
communication by assuming innate responsibility for their communicative actions. This can be
accomplished by drawing a causal link between employee retention and the following:
communication strategies (evaluating the effectiveness or lack thereof), presence of emotional
intelligence and transformational leadership traits, and identification of organizational culture
clashes.
Pajares (2009) asserts that self-efficacy is linked to the shared values of an organization,
an employee’s personal beliefs, and expectations; therefore, expectation and vision alignment
impact performance capabilities. Leadership can inspire more emotionally intelligent effective
communication strategies by fostering an organizational culture of positive influences on self-
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41
efficacy via enactive attainment and verbal persuasion with effective feedback (Su, 2013). An
organizational cultural shift, spawned by management, to one of shared vision, promotion of
individual self-efficacy, and establishment of more effective communication models may result
in a more positive influence on the stakeholder goal of increased employee retention.
Accountability. According to Burke (2004), one of the prevailing difficult questions in
the area of accountability is the individual party to whom another is accountable. Multiple and
(occasionally) simultaneous accountability claims to differing structures in non-profit HSOs,
moral vs. bureaucratic, and in various directions often result in stunted communications for
patient advocates and complex signals for researchers (Firestone & Shipps, 2005).
Organizational roles and hierarchy should be clearly defined with an investment from leadership
and a buy-in from employees for relationships of responsibility. Conversely, confusing hierarchy
and unclear accountability measures result in a problem with buy-in from employees wherein the
culture of a lack of accountability makes relationships of responsibility nearly impossible
(Biesta, 2004).
Regular monitoring of organizational procedures, consistent feedback, and an inclusive
environment are practices that shape an organizational culture geared towards maintaining
accountability. In addition to utilizing effective communication skills via a system of checks and
balances to maintain accountability, leadership can exercise personal accountability through
personal reflection of leadership roles. Employee retention rates can be increased as leadership
models examples of counterproductive communication responses to overcome communicative
deficits linked to accountability and demonstrate support of a solution-oriented focus to fix the
current organizational structure/system.
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42
Evolution of Leadership with Society
Non-profit HSO leadership should evolve with societal changes and envelop more
collaborative, culturally sensitive, and transformational themes. Although increasing diversity is
an inevitable trend based on the rate of globalization within contemporary society (Kearney &
Gebert, 2009), the effects are not fully understood, nor is the rate recognized. Research studies
indicate stagnancy in non-profit HSO leadership (Tang, Yin, & Nelson, 2010) based on a lack of
knowledge and ensuing implementation of strategies to complement societal change. Thus, a
lack of cognitive and socio-cultural diversity in nonprofit HSO supervisees can appear more
constrained and inhibited in their roles without diversely aware, culturally sensitive leadership
(Ramchunder & Martin, 2014).
A successful communication change model denotes that transformational leaders should
exhibit specific behaviors and perform certain assignments, e.g., superior levels of commitment
towards producing change, a vision to enact change, high moral and ethical values, and message
framing in a way that inspires followers (Ljungholm, 2014). Leadership that is charismatic,
visionary, and emulates a culture of collaboration through effective communication promotes
unification and encourages behavioral control and employee satisfaction (Gardenswartz,
Cherbosque, & Rowe, 2010). For example, multi-level involvement in ethical decision making
along with an increase in emotional supervisory support can increase employee satisfaction and
(Adeoye & Torubelli, 2011) while promoting diversification in resource utilization and creativity
(Kearney & Gebert, 2009).
Transformational leadership with emotional intelligence expounds on societal changes
through awareness of social antagonisms and divisions in the conscious creation of a cognitive
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43
socio-cultural organization (Ramchunder & Martin, 2014). A diversified workplace prevents
employees who identify or self-categorize with one or more cultural backgrounds against the
perceived societal norm from feeling undermined or excluded in the workplace (Ramchunder &
Martin, 2014). Shier (2013) posits that improved subjective well-being of the employee in the
workplace is not only demonstrative efficacy in leadership through the incorporation of diverse
practices.
Leaders’ Knowledge, Motivation and Organizational Influences
As the context for this study, Clark and Estes’ (2008) gap analysis shaped the conceptual
framework that will serve to identify performance gaps and factors that hinder achievement of
the organizational goal. Utilizing Clark and Estes (2008) gap analysis, three major critical factors
of performance gaps within NYAC were identified: knowledge and skills, motivation, and
organizational barriers. In this section, reviewed literature will be analyzed in terms of
transformational leadership versus transactional leadership in non-profit HSOs organizations,
utilization of emotional intelligence, characteristics of managerial communicative styles, and
how leadership communication roles impact employee retention (Dill & Cagle, 2010).
Knowledge and Skills
Reviewed in this section is literature that focuses on knowledge-related influences that
are pertinent to the achievement of increasing employee retention by leadership engaging in the
provision of more effective communication in non-profit HSOs organizations. The need for
strategies to enhance the recruitment and retention of non-profit employees and volunteers is
now greater than ever based on vulnerability of populations services by HSOs including: special
needs, elderly, mentally ill, displaced, chronically or terminally ill, and socioeconomically
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44
disadvantaged, and the increased demand for high quality of life care (Claxton-Oldfield,
Wasylkiw, Mark, & Claxton-Oldfield, 2011). A shift from the founding philosophy of a grass-
roots, community based approach towards a more corporate structure heavily reliant on
transactional, profit margin focused leadership rather than transformational, has resulted in
dissonance between the type of care some non-profit HSOs state is provided and what is
enforced in practice (Cho & Dansereau, 2010). Furthermore, simultaneous accountability claims
to differing structures, moral vs. bureaucratic, and in various directions often result in stunted
communications for patient advocates and complex signals for researchers (Firestone & Shipps,
2005).
Knowledge Influences
This section examines literature that is relevant to the key stakeholder group, staff
members in upper and middle level management, and the stakeholder goal of implementing
effective communication in their roles within one year. Knowledge has become one of the most
important assets of modern business, especially as it relates to positively impacting and growing
human capital (Su, 2013). Consequently, leadership has a significant impact on the role of
employee retention in nonprofit HSOs (Dill & Cagle, 2010); therefore, it is important to examine
the upper and middle level management group as the designated leaders within a non-profit HSO
organization.
A crucial component to determining the success of the stated goal is knowledge. There
are different types of foundational knowledge per Rueda (2011), declarative, procedural, and
metacognitive. Declarative knowledge is an answer to “what” and can be either factual or
conceptual (Rueda, 2011). Factual declarative knowledge is comprised of content that is discrete,
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specific and isolated (Rueda, 2011); whereas conceptual declarative knowledge has different
learning concepts that can be presented in complex organized forms (Cho & Dansereau, 2010).
Procedural knowledge, as the title suggests, is knowledge of procedures or how to do something
(Claxton-Oldfield, Wasylkiw, Mark, & Claxton-Oldfield, 2011). Pursuant to Baker (2009),
metacognitive knowledge allows a person to regulate thinking and behaviors by linking one’s
own cognitive awareness thereby creating knowledge of self (Baker, 2009). It is important to
examine each type of knowledge because they are all necessary for effective performance
outcomes (Rueda, 2011).
Declarative knowledge influence of effective communication and collaboration. A
declarative, conceptual knowledge influence is leadership’s development of a working
understanding of the impact effective communication and team collaboration have on employee
retention. Dinesh, Given, and Forcier (2016) identified people, processes, and technology as
three critical knowledge areas within non-profit HSOs that require the utilization of effective
communication to promote compliance and best practice. Through effective communication
practices leadership can demonstrate knowledge of deterrents to a truly collaborative, effective
team environment such as clique formation (hierarchal, race, gender, or otherwise) and repeated
converging of ideas and values (Kearney & Gebert, 2009).
The knowledge necessary to deliver effective communication to key areas is a challenge
that lends to performance gaps within HSOs (Hamilton, Ortega, Hochstetler, Pierson, Lin, &
Lowes, 2014). The absence of an adequate knowledge base and subsequent implementation of
effective communication can have a maladaptive impact on essential components of direct
service care in an HSO. A specific, recurring example of ineffective communication is the
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46
improper handling and resolution of patient grievances as evidenced by lack of documentation,
follow-up, and resolution. Consequently, this has a negative impact on future patient service
outcomes, employee satisfaction and retention (Cho & Dansereau, 2010). Consistent with the
effective application of this knowledge in the workplace, leadership should model examples of
effective communication responses as well as counterproductive communication responses in
order to overcome communicative deficits and promote increased employee retention.
Managerial staff should engage in various areas of knowledge improvement to model
desired, effective communication practices within the organization; thereby changing the
mindset and establishing a different, more positive model of communication. Leadership can
improve on their metacognitive knowledge by modeling self-reflection skills through brown bag
forums and journaling processes. These activities will allow leadership to gauge the current skill
set level and demonstrate support of a solution-oriented focus to fix the current system (Clark &
Estes, 2008).
Self-reflection in leadership. The reciprocal relationship between learning and
performance make the knowledge influence of metacognition highly valuable. Metacognition is a
key factor in performance that should be deliberately calculated since metacognitive awareness
and control can improve learning, as well as contribute to further improvements in metacognition
(Baker, 2009). Metacognition in leadership has a significant impact on employee engagement
and performance. When leadership lacks the understanding of effectively communicating with
metacognitive awareness it can result in a problem with buy-in from employees. For example,
ineffective communication strategies can result in a communication silo created by managerial
staff, resulting in a lack of accountability and responsibility which may result in dissonance in
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47
the work environment and establish a pattern of stunted or stagnant communication (Biesta,
2004).
The communication strategies modeled by leadership within a non-profit HSO have been
correlated with employee performance/engagement. Per Benjamin (2008), if leadership does not
execute knowledge-based practices and effectively communicate or model actions that show a
strong investment in employees, it can reduce employee morale and result in a lack of employee
engagement. Consequently, leadership can model adequate metacognitive knowledge by
engaging in self-reflection skills that add efficacy to communicative strategies through assessing
strengths/weaknesses, thinking aloud, or journaling processes. Leaders can effectively utilize
metacognition by gauging their skill set and communicative effectiveness through taking an
evaluation survey to determine their communication style.
The Knowledge worksheet (see Table A insert below) demonstrates both the
organizational and mission goals of the non-profit HSOs organization. The knowledge influence
types outlined in the table are examples of declarative (both factual and conceptual),
metacognitive, and procedural that can be utilized to enhance effective communication within an
organization. Moreover, the examples of knowledge influence assessments provided in the table
serve as a means for leadership to demonstrate adequate knowledge of the critical thinking and
concrete skills necessary to effectively communicate and inspire collaboration towards the
achievement of the stated key stakeholder organizational goal of increased employee retention.

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48
Table A
Knowledge Worksheet
Stakeholder Goal
All management will implement effective communication in their roles as leaders by August
2017.

Knowledge Influence Knowledge Type [i.e.,
declarative (factual or
conceptual),
procedural, or
metacognitive]
Sample Knowledge Influence
Assessment
Leadership will demonstrate
understanding of individualized
consideration, empathy, and the
importance of promoting a caring
atmosphere for employees as the
organization’s most valued capital
asset/resource.

Declarative
(Factual)
Describe ways to engage
employees in providing input for
suggestions to promote a more
harmonious work environment
and increase employee retention
strategies.

Leadership should be able to assess
their own abilities to communicate
by modeling self-reflection skills
and engaging in assessing
strengths/weaknesses in
communicative efficacy, evidenced
by processing common and
upcoming communications aloud,
thinking through communications
or utilizing journaling processes.

Metacognitive Tell me your interest in taking an
evaluation survey to gauge your
communicative skill set and
effectiveness.

Describe or demonstrate your
self-reflection practices through
narrating aloud or participating in
the journaling process.
Leadership needs to be able to
apply effective communication
practices throughout several levels
of the organization by providing
ongoing professional development
opportunities centered around
effective internal and external
communications as related to best
practice.
Procedural
In your leadership role, tell me
how you will research available
in-services and seminars related
to best practices in non-profit
HSOs.

Provide specific examples of how
to provide consistent, constructive
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49

feedback to supervisees using
clear, effective communication.

Tell me how you would address a
situation using effective
communication where an
employee was unclear on best
practices for work after making a
mistake.

Tell me how you would provide
an example of counterproductive
communication responses to
promote best practices in the
workplace.
Leadership needs to understand the
impact of effective communication
and team collaboration on
employee retention.
Declarative
(Conceptual)
In your leadership role, describe
how engage supervisees in
discussion of what they believe to
be the impact of communication
and team collaboration on
employee retention.

Tell me how you will model
examples of effective
communication responses as well
as counterproductive
communication responses.

Motivation Influences
This section reviews literature that focuses on motivation-related influences that are
pertinent to the achievement of upper and middle level management implementing effective
communication in their leadership roles in order to increase employee retention. In addition to
the knowledge construct that is necessary to close an organizational performance gap, managers
must also be motivated to utilize effective communication in non-profit HSOs. Eccles (2009)
names three primary dimensions where motivation is manifested: choice, persistence, and mental
effort. Motivation allows individuals to invest an adequate amount of mental effort conducive to
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50
the achievement of performance goals and the transference of learning opportunities to real life
application (Eccles, 2009).
Leadership should be motivated to develop, implement, and practice effective
communication strategies to align the practices of supervisees with the mission and values of the
organization and promote best practice (Rathi, Given, & Forcier, 2016). Subsequently,
establishing ideals that employees can strive for in best practice, as referenced by Velasquez,
Andre, Thomas Shanks, and Meyer (2011), utilizes the choice and persistence effort tenets of
motivation while simultaneously implementing strategies for addressing problems with value
(Eccles, 2009). There is a close connection between motivation and learning. There is also value
added from leadership communicating effectively to promote the alignment of individual,
supervisees, and organizational mission and values. Consequently, the Expectancy Value Theory
with correlations to Self-Efficacy Theory are explored along with the tenets of emotional
influence, goal orientation, intrinsic and extrinsic values.
Expectancy Value Theory. Expectancy value theory combines predictors of persistence,
mental effort, and performance with active choice based on rationale and the utility value of the
task (Eccles, 2009). Expectancy value theory posits that for individuals to engage with a task and
invest the necessary amount of persistence and mental effort, it is necessary for them to value
both the task and have the level of confidence in their ability to complete the task. In other
words, it is necessary to have a high degree of self-efficacy. Subsequently, based on expectancy
value theory, managers need to realize the value of effective communication and embody
proficiency in use of effective communication in daily professional practice. Management can
model tenets of effective communication laced with expectancy value theory by exhibiting the
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51
following traits: alignment of organizational values and interests, activation of personal interest
via opportunities for choice and control; maintenance of high, yet accurate expectations and
perceptions of competence (without illusions of incompetence); effective feedback and focused
instruction (Eccles, 2009).
Attributions. The assignation of meaning to the behaviors of others and/or attempting to
provide explanations for the causes is a process known as attribution (Wang & Kulich, 2015).
Effective communication is a necessary component of attribution theory because specific
contexts and a person’s psychological and relational socialization are strong guides for
attribution (Wang & Kulich, 2015). Individuals have the propensity to make attributions to
causes with a degree of variants such as intrinsic/extrinsic, governable/unmanageable, and
stable/unstable. It is important that leaders are motivated to be effective communicators with the
mindset that one’s ability to communicate effectively is a controllable cause that can be learned.
Leadership can be an exemplar and conduit of motivation for effective communication by
engaging in self-reflection practices to hone their communicative attributes that will motivate
employees. Leadership can disseminate this motivational influence to members of upper and
middle level management by having them engage in a self-reflective survey that ranks
contributing factors to employee retention from a leadership perspective along with a subsequent
interview questionnaire asking management to list recent concerns voiced from employees.
Goal Orientation Theory. Goal Orientation Theory is based on the premise that people
approach tasks related to the achievement of goals based on how they perceive their ability and
competency level (Stavrou, Pscyhountaki, Georgiadis, Karteroliotis, & Zervas, 2015). Goal
orientation theory posits that when individuals hold mastery versus performance goals, their
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52
focus is on doing well on the task rather than engaging with it due to external considerations
(Stavrou, et al., 2015). Mastery orientation is demonstrated by engaging in effective
communication due to a belief in the value of communication as related to the value of the
individual, rather than engaging in certain communication practices out of compliance with
organizational policy. Stavrou, et al., (2015), further states that goal orientation is based on two
achievement perspectives of ego and task orientation relating how people rate their effort, ability,
and performance levels.
In line with the goal of effective communication fueling increased employee retention
rates, management should seek to refine mastery of their communication skills through personal
improvement, acquisition of skills, and exposition of efforts (Stavrou, et al., 2015). Leadership
should desire a mastery goal orientation of emotionally intelligent communication. This can be
achieved through the exertion of efforts that place importance on increasing knowledge of
emotionally intelligent communication skills as leaders (See Table B). Pursuant to the ego
component of goal orientation theory, as management demonstrates high competence in effective
communication, supervisees are likely to demonstrate high competence in communication to
meet or exceed the contention within the organization (Stavrou, et al., 2015). Table B outlines
motivational influences and the assessments leadership can undertake to embody them and
influence supervisees.

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53
Table B
Motivational Influences
Stakeholder Goal
All management will implement effective communication in their roles as leaders by August
2017.

Assumed Motivation Influences

Sample Items for Motivational Influence
Assessment

Attributions—Leadership should make
controllable attributions that inspire others to
become emotionally intelligent, effective
communicators.
Leadership will answer the following: Do
you believe that you can become a stronger,
more effective communicator?
Goal Orientation—Leadership should want to
have a mastery goal orientation of emotional
intelligence and effective communication
demonstrated by placing a high value and effort
towards the acquisition of knowledge and skills
necessary to improve and influence more
effective communication with supervisees.
Written survey item: “I am interested in
attending in-services or trainings for
effective communication and emotional
intelligence in leadership workshops.”
[Likert scale strongly agree to strongly
disagree.]
Expectancy Value Theory—Leadership should
place value in employee relationships and
sustainment by engaging in effective
communication with employees.
Leadership will answer the following: I feel
confident in my ability to communicate
effectively with supervisees on different
levels.

Organizational Influences
There are organizational factors, in addition to knowledge and motivation barriers, that
contribute to performance gaps in effective communication practices with leadership which
impacts employee retention rates in non-profit human service organizations (HSOs). Consistent
with Clark and Estes (2008) gap analysis, organizational barriers are among the three major
critical factors of performance gaps within an organization. Organizational culture that purports
misalignment of shared vision/values, inadequate view of employee contributions, and
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54
dissonance within leadership/employee investment and accountability contradicts existing
requisites of knowledge and motivation (Clark & Estes, 2008) and will contribute to performance
gaps within an organization.
Leadership and values. According to Eccles (2009), workplace (or other task setting)
effectiveness is dependent upon the value leadership places on supervisees. Eccles (2009) posits
the necessity of individuals feeling as though they are valuable contributors to their institution.
Performance problems arise in an organizational culture where employees believe that they are
not being heard or recognized by management, resulting in less motivation to engage in meeting
or exceeding mastery of the tasks related to job performance (Benjamin, 2008). Eccles outlines
implementation strategies for value problems by stating that leaders should describe the benefits
of task completion, risks of task avoidance, provide reminders of past successes, ensure fairness
and trust, and offer tangible, valued incentives.
The importance of value placed on an employee’s role is indicative of the emotional
process involved in leadership. Intrinsically emotional leadership practices recognize the
emotional states (feeling of value) of the supervisees/followers and manage the evoked emotion
accordingly (Cho & Dansereau, 2010). In order to better increase employee retention rates
organizational culture should reflect an increased focus on humanistic relations in direct patient
care services for the vulnerable populations of those served and the employees providing the
service (Claxton-Oldfield, Wasylkiw, Mark, & Claxton-Oldfield, 2011). The expectations and
perceptions of an individual shapes and evokes behaviors in others; therefore, leadership should
model behaviors that are mindful of emotional intelligence and value in individual employees.
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55
Moreover, leadership practices have a systemic effect that impacts employee performance
outcomes within an organization.
Shared vision and clash of beliefs. Characteristics of the communicative styles
embodied by the executive leadership team and middle management, the organizational mission,
and vision statement have a significant impact on employee retention (Dill & Cagle, 2010).
Leadership should align expectations from employees with organizational vision and beliefs to
create a shared vision and avoid a clash of beliefs. Culture develops over time and can be used to
describe shared beliefs, core values, and processes implemented within work environments
(Clark & Estes, 2008). Misalignment in expectations, vision, and belief sets results in a cultural
clash between organizational beliefs held by management and expectations of the
employees/supervisees (Clark & Estes, 2008). It is beneficial for leadership to engage in
effective strategic planning and goal setting that aligns with the organization’s vision and
incorporates employee input from multiple levels.
Leadership in nonprofit HSOs should take responsibility for their actions and draw a
causal link between leadership possessing ineffective communication strategies and other
transformational leadership traits, organizational culture clashes and employee retention rates.
Pajares (2009), asserts that self-efficacy is linked to the shared values of an organization and an
employee’s personal beliefs and expectations; therefore, expectation and vision alignment impact
performance capabilities. Leadership can provide positive influences on self-efficacy through
enactive attainment and verbal persuasion with effective feedback. Marsh and Farrel (2015),
posit that the tenets of sociocultural learning theory assert that an organization can construct new
knowledge derived from prior attitudes and experiences when reviewed with social interactions
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56
in recurring events. A solution to the address the performance gaps within the organization is
nested within changing the knowledge, skills, and motivation of the managerial staff then the
supervisees (top down). Employee retention can be increased by upper and mid-level leadership
in non-profit HSOs modeling desired, effective communication practices within the organization;
thereby shifting the organizational culture to one of shared vision, promoting individual self-
efficacy, and establishing a different, more positive model of communication.
Accountability. The first component listed under organizational influences is linked to
the structure of accountability within an organization. Accountability was briefly reviewed in the
related literature section and will be specifically applied to organizational influences in this
section. An organization’s accountability structure is linked to effective communication
embedded with emotional intelligence. Claxton-Oldfield, Wasylkiw, and Claxton-Oldfield
(20110 state there is an increased focus required on humanistic relations and organizational
accountability. Accountability structures (or lack thereof) as linked to leadership practice that are
more laden with transactional leadership characteristics and lack accountability may be faced
with socio-cultural divisions within the organization, such as hierarchal factions or cliques based
on gender and race (Ramchunder & Martins, 2014).
As previously referenced from Burke (2004), one of the prevailing difficult questions
around accountability is the party (person and position, respectably) to whom another is
accountable. Burke (2004), further posits that the line of questioning is made more difficult when
answering the purpose/intention, benefit, means, and consequences that derive from
accountability. Beyond the prevailing questions linked to accountability, there are several
concepts that should be considered as well. Burke (2004) delves into directional accountability
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57
citing upward, downward, inward, and outward as concepts. A synopsis of Burke’s (2004)
definitions are as follows: 1) Upward accountability references the relationship between a
superior and supervisees, 2) Downward accountability emphasizes managerial responsibility to
supervisees in participatory decision making, 3) Inward accountability highlights agents acting
on ethical or professional standards and; 4) Outward accountability underscores response to
external clients and stakeholders. Other accountability types are embedded within the directional
accountability concepts, respectively.
Various and (sometimes) concurrent accountability claims to divergent structures and
directions in non-profit HSOs, moral vs. bureaucratic, often result in diminuitive
communications for patient advocates and complex signals for researchers (Firestone & Shipps,
2005). Organizational echelons and individual performance roles should be clearly defined with
an investment from leadership and a contribution from employees for responsible relationships.
Conversely, confusing ranking structure and unclear accountability measures result in a problem
with buy-in from employees wherein the culture of a lack of accountability makes relationships
of responsibility nearly impossible (Biesta, 2004).
Routine auditing of organizational procedures, consistent evaluations and feedback, and
an inclusive environment are practices that foster an organizational culture that governs
maintaining accountability. In addition to utilizing emotionally intelligent communication skills
via a system of checks and balances to maintain accountability, leadership can exercise personal
accountability by applying the dual knowledge and organizational influence of personal
reflection to their leadership roles. The engagement of leadership in models that exemplify
counterproductive communication responses work to overcome communicative deficits linked to
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58
accountability and demonstrate support of a solution-oriented focus to fix the current
organizational structure/system. These organizational practices may result in increased employee
retention.
Table C
Organizational Influences

Assumed Organizational Influences

Organization Influence Assessment
Cultural Model Influence 1:
There is a culture of a lack of
accountability within the organization; the
absence of onus and corrective plans of
action hinders the stakeholder goal of
implementing effective communication.
Survey or interview questions that rely on
employee accounts or observations of ineffective
communications between management and
supervisees. Review of existing policies and
guidelines on communication.
Cultural Model Influence 2:
There is a general resistance and defensive
response from staff to the notion of
utilizing technology for more efficient,
expedient communication strategies.
Survey or interview questions about preferred and
current styles of disseminating information
throughout the organization. Survey on
knowledge of alternate methods of
communication available to the organization.
Cultural Setting Influence 1:
There is a lack universal knowledge and
buy-in of strategic planning and goal
setting for the organization. Therefore,
employees may perform at the perceived
bare minimum and lack direction for
improvement.
Survey or interview questions about knowledge
of strategic planning and goal setting for the
organization and employee performance aligning
with the organizational mission.
Cultural Setting Influence 2:
Leadership should be effective role models
within the organization who demonstrate
effective communication procedures and
alignment with the mission.
Survey or interview questions about knowledge
of other staff members or comparable, linked
external resources (mentors) who can provide
information or demonstrate effective
communication procedures.
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59
Conclusion
Research studies indicate there is an increased demand for organizational leadership in
non-profit human service organizations (HSOs) to understand emotionally intelligent leadership
strategies that enhance employee performance, enhance recruitment, and promote retention of
employees in non-profit HSOs. Emotional intelligence is pivotal in understanding, identifying,
and managing intrinsic and extrinsic factors involved in handling the commitments of a non-
profit HSO. The expectation and perception of an individual shapes and evokes behaviors in
others; therefore, leadership practices have a systemic effect that impacts cognitive and socio-
cultural diversity and employee performance outcomes within an organization.
Leadership should understand that the influence on employee performance outcomes is
systemic. It is important for leaders in non-profit HSOs to demonstrate emotional intelligence in
communication and engage in continuous professional development related to understanding the
external and internal systemic communicative influences that impact employee performance
outcomes. Subsequently, leadership should be mindful of communicating with EI in or to build,
maintain, and leverage various dimensions of diversity within an organization to avoid
maladaptive behaviors and a negative impact employee on performance (Gardenswartz,
Cherbosque, & Rowe, 2010). Creating equitable hierarchal structures in the work environment
and the promotion and modeling of effective communication strategies can also close
performance gap disparities. Leadership should be proactive in using emotional intelligence and
effective communication to close the gap in organizational disparities, such as access to
resources (Gardenswartz, Cherbosque, & Rowe, 2010). Resource diversification and access
creates a system of class within an organization that can be indicative of external oppressive
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60
values unconsciously penetrating the internal culture, function, and level of diversity within the
workplace. Conversely, the depictions of class should align with a diversified, inclusive setting
that evolves with the current social climate.
It is important for leadership to understand how managerial communication strategies
may systemically impact employee performance and retention. Should problems with employee
performance and retention arise, it is beneficial for leadership to take the onus and draw a causal
link to inherent leadership traits. Ineffective communication strategies and misalignment with
transformational leadership characteristics rather than problems or traits of the employees may
contribute to employee performance difficulties. Consequently, leadership can improve
metacognitive awareness and increase employee retention by modeling desired, effective
communication practices within the organization; thereby, changing the mindset and establishing
a different, more positive model of communication. Leadership should utilize personal reflection
of leadership roles to gauge the current skill set level and demonstrate support of a solution-
oriented focus to fix the current system, improve employee performance and increase employee
retention.
Conceptual Framework: The Influence of Leadership Styles in Non-Profit Human Service
Organizations on Employee Performance and Retention
The terms conceptual framework and theoretical framework are interchangeable for the
purpose of this study. According to Merriam and Tisdell (2016), the conceptual framework
includes the use of terms, concepts, models, thoughts ideas and references that link to specific
theories supporting a topic the researcher wishes to explore. Merriam and Tisdell (2016) further
posit that the conceptual framework is the supportive frame or structure for the topic with the
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61
concepts or theories that inform the researcher’s perspective shaping. The conceptual framework
may range in theoretical analysis as it generates the problem of the study, data collection,
questions, and analysis in regard to interpretation of the findings (Merriam & Tisdell, 2016).
The inquiry framework approach that will be used for this study is Clark and Estes’
(2008) gap analysis, a six-step, systematic, analytical problem-solving approach that helps clarify
organizational goals, diagnose causes, and recommend research-based solutions to identified
gaps between actual and preferred performance levels within an organization. The
methodological framework used was a mixed methods case study with interviews, surveys, and
descriptive statistics.
Clark and Estes’ (2008) gap analysis process utilizes several different types of
approaches to gather and analyze data. For this dissertation model, the Clark and Estes’ (2008)
gap analysis has been adapted to an evaluation model approach. Research studies can apply
qualitative methods such as observations, surveys, interviews, document analyses, and focus
groups; quantitative methods such as surveys; and mixed methods, which combine qualitative
and quantitative methods. This study is a mixed methods case study with interviews, surveys,
descriptive statistics, and relevant literature on studies related to the impact of leadership styles
in non-profit HSOs on employee retention and performance. Data analysis consisted of thematic
coding of the observations and qualitative interviews and descriptive statistics from the
quantitative processes.
The gap analysis process is divided into six stages that illustrate the knowledge,
motivation, and organizational influences that impact the organizational goals as shown in Figure
2 below.
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Figure 2. Gap analysis process adapted from Clark and Estes (2008).
This study assessed the way knowledge, motivational, and organizational influences
overlap and interact with one another to shape leadership styles and influence employee
performance. In order to provide an effective direct care service delivery system in non-profit
Human Service Organizations (HSOs), it is important to understand the dynamics between
effective leadership and employee satisfaction, and the ensuing and staff retention. Evidence
supported the socioeconomic and environmental shift in direct service care provision in HSOs
requires leaders who embody transformational traits that inspire supervisees to excel in current
provision and create successful future plans for decreasing attrition and increasing employee
retention by 25% within the following year and maintaining successful employee retention rates
in future years, evidenced by turnover of less than 15% (Longenecker, 2006).
As discussed in the previous sections, research findings indicate a strong negative
relationship between employee retention and leadership skills that were more transactional based
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63
and lacking transformational traits of emotional intelligence (Longenecker, 2006). A primary
characteristic of transformational leadership with emotional intelligence is effective
communication (Longenecker, 2006). Emotional intelligence involves the ability to demonstrate
effective communication skills through the ability to monitor the feelings and emotions of others
along with one’s own, and use of that information to guide one’s thought processes and actions
(Siddiqui & Hassan, 2013). Leaderhsip engages in emotional intelligence by being mindful of
their own personal skill sets and biases that could impact their quality of eadership. In order to do
so they should utilize metacognitive practices to employ in effective leadership behaviors that
motivate employees while positively shaping the organizational structure (Njoroge, &
Yazdanifard, 2014). Leaders should receive initial and ongoing education to equip them to
employ transformational leadership approaches rather than transactional leadership approaches
in human service.

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Key Stakeholder
Group, Focus
Areas & Problem:
Key Stakeholder
Group:
Upper & Middle
Management
Focus Areas:
Leadership
Style,
Communicatio
n
Problem
Addressed:
Employee
Retention
Knowledge
Employees most valued
asset via individualized
consideration, empathy,
& promotion of a caring
atmosphere
Metacognitive awareness of
communicative abilities by
modeling self-reflection skills to
asses strengths/weaknesses in
communicative efficacy
Ongoing professional
development opportunities
centered around effective
internal and external
communications as related to
best practice
Leadership needs to
understand the impact of
effective communication
and team collaboration on
employee retention.
Motivation
Attributions:
Leadership should
make controllable
attributions that
inspire others to
become emotionally
intelligent, effective
communicators.
Goal Orientation:
Mastery goal orientation
of emotional intelligence
and effective
communication
demonstrated by placing a
high value and effort
towards the acquisition of
knowledge and skills
necessary to improve and
influence more effective
communication with
supervisees.
Organization
Cultural Model
1. Lack of accountability
hinders effective
communication.
2. New, innovative
utilization of technology
must be introduced wtih
less resistance from staff
for more efficient
communication strategies.
Cultural Setting
1. Effective strategic
planning is necessary to
drive employees toward
shared organizational
goals.
2. Leadership must set an
example through effective
communication strategies
Theoretical
Applications &
Challenges
Emotional
Intelligence
Similarity
Attraction
Paradigm
Socio-
cultural
diversity
Self-efficacy in
organizational
culture
What are the knowledge, motivational, and
organizational influences on leadership
communication practices and how do they
influence employee retention and performance in
non-profit human service organizations HSOs?
Figure 3. KMO Conceptual Framework.
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65

Figure 3 above depicts the key stakeholder group, upper and mid-level management and
the subsequent focus area of leadership and the problem of practice, employee retention. The
knowledge, motivation, and organizational influences derived from Clark and Estes (2008) gap
analysis framework are illustrated and are context-specific for NYAC. The conceptual
framework diagrammed in Figure 3 above is a representation of the elements that answer the
following question: What are the knowledge, motivation and organizational influences on
leadership communication practice and how do they influence employee retention and
performance in non-profit human service organizations (HSOs)?
The key stakeholder group for the study question, upper and middle level management in
non-profit human service organizations is represented at the top and is based on the sampling
criteria that will be used for the study. Participants in this stakeholder group included key staff
members that provide supervision to other employees, make key decisions, and review employee
performance. Below the key stakeholder group is the focus of the study, effective
communication and leadership style. This study delved deeper into evaluating whether leadership
currently engages in effective communication strategies using emotional intelligence, such as
soliciting employee input for organizational changes and utilizing multiple modes to distribute
key communications and ideas. Additionally, the leadership approach was evaluated to
determine if the traits are closely linked to a transformational or transactional leadership style.
The curved relational arrows in the framework note an ongoing flow or exchange, as the KMO
influences and theoretical paradigms are all interconnected and influence the larger problem of
employee retention.
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66
Knowledge, Motivation and Organizational Influences
The knowledge, motivational, and organizational influences are linked to emotionally
intelligent communication (focus of the study) in leadership (key stakeholder group) in the
conceptual framework. The knowledge, motivational, and organizational influences are separate,
but related constructs for this study. The focus of the study is effective communication, which is
overlapped amidst the KMO influences with the cyclic, relational arrows above and below to
indicate the interdependency of the elements. A brief overview of the tenets that are evaluated in
this study in relationship to effective communication for leadership is located behind each of the
KMO influences. In addition to the KMO influences, there is also a section for theoretical
applications, challenges, and the construct of emotional intelligence all of which are critical to
effectively evaluate the focus of this study-- employee retention.
Knowledge influences. Leadership can exercise declarative knowledge by showing
empathy to promote a caring environment by soliciting input from employees on how to increase
employee retention. The influence listed is a metacognitive knowledge influence, self-reflection
skills. Leadership can engage in self-reflection skills, such as thinking through interactions or
journaling processes to assess strengths and weaknesses related to effective communication.
Self-reflection is a metacognitive skill that influences personal growth and can be a key factor in
organizational performance as well (Baker, 2009). Leadership can improve metacognitive
awareness and increase employee retention by modeling desired, effective communication
practices within the organization; thereby changing the mindset and establishing a different,
more positive model of communication. This segues into the third component listed, knowledge
of effective communication and team collaboration.
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67
Hamilton (2010) states that communication is a significant, yet challenging aspect of
direct service care delivery and essential components of direct service care in HSOs cannot be
met without effective communication. A specific, recurring example of ineffective
communication in non-profit HSOs is related to the improper handling of patient grievances, lack
of documentation, inadequate follow-up, and a lack of resolution (Hamilton, Ortega, Hochstetler,
Pierson, Lin, & Lowes, 2014). It is vital for leadership to model examples of effective
communicative responses to promote increased employee retention and overcome
communicative deficits that are present within the organization (Hamilton, Ortega, Hochstetler,
Pierson, Lin, & Lowes, 2014).
Motivational influences. A primary motivational influence denotes the importance of
valuing the employee (human capital) as the greatest asset. Management can model attribution
and shift the culture of motivation within an organization by embodying characteristic traits of
effective, transformational management by acting as role models and engaging in empathic
communications (Velasquez, Andre, Thomas Shanks, & Meyer, 2011). To shift the motivational
atmosphere, leadership should take inventory of their communication skill set and onus for
increased employee retention and/or low performance within an organization. The second
motivational influence listed is mastery goal orientation where leaders should engage in ongoing
educational strategies to increase motivation to engage in tasks related to increased job
performance (Eccles, 2009).
Organizational influences. There are organizational factors, in addition to knowledge
and motivation barriers, that contribute to performance gaps in effective communication
practices with leadership which impacts employee retention rates in non-profit human service
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68
organizations (HSOs). Consistent with Clark and Estes (2008) gap analysis, organizational
barriers are among the three major critical factors of performance gaps within an organization.
Organizational culture that purports misalignment of shared vision and values, inadequate view
of employee contributions, and dissonance within leadership and employee investment and
accountability contradicts existing requisites of knowledge and motivation (Clark & Estes, 2008)
and will contribute to performance gaps within an organization.

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Chapter Three: Methods
Purpose of the Project and Questions
The purpose of this project was to conduct a gap analysis to examine the knowledge,
motivation and organizational influences that interfered with employee retention and
performance in New York Autism Center (NYAC), a non-profit human service organization
(HSO). NYAC faced the challenge of attracting and retaining qualified employees, resulting in
increased employee turnover rates of approximately 17% over the past three years. There is
currently a set goal to increase employee retention to 90% (reduce employee turnover to 10% or
less), evidenced by employees who remain with the organization for at least four years. The
stakeholder group of focus in this study was upper and middle level management. The upper and
mid-level management group was responsible for creating, implementing, and guiding the
communication practices that take place within the organization. Additionally, they were
responsible for modeling behaviors that shaped the overall organizational culture and defined the
leadership style of the organization. Purposeful sampling was used to examine the perspectives,
attitudes, and interactions of this group.
The analysis began by generating a list of possible influences which were examined
systematically to narrow the focus to actual influences. While a complete gap analysis would
focus on all NYAC stakeholders, for practical purposes adequate for the completion of this study
the stakeholders focused on in this analysis were: Chief Executive Officer, Chief Operating
Officer, Chief Financial Officer, Director of Human Resources, Director of Corporate
Compliance, Clinical Director, Division of Programs director, and other middle and upper level
management employees.
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It was important to evaluate the delicate balance between educating, training, and
retaining employees in non-profit human service organizations (HSOs) versus the monies and
services provided to the vulnerable populations served. As mentioned in Chapter One, employee
turnover is a multi-tiered, costly problem of practice in non-profit HSOs. York, Jones, and
Churchman (2009) state that relationships between non-profit HSO employees and patients have
a direct impact on future referrals and service provision. Therefore, if there are high rates of
employee turnover within a non-profit HSO, the patient’s care may suffer because of the
emotional discontent related to a lack of continuity of care provided. Furthermore, employee
turnover results in increased costs for the agency to recruit and train new employees, while
detracting from billable hours for patients in the field. Therefore, it is in the best interests of a
non-profit HSO to keep employee turnover costs to a minimum
As such, the questions that guided this study were:
1. What are the managers’ knowledge, motivation, and organizational (KMO) influences
related to using emotionally intelligent (EI) communication strategies with their
supervisees?
2. What are the recommended knowledge, motivational, and organizational solutions to
those barriers that impact employee retention?
Participating Stakeholders
The upper and middle levels of management were used as the key stakeholder group for
this study. Research indicates that leadership has a significant influence on employee retention in
non-profit HSOs (Dill & Cagle, 2010); hence, the selection of varied levels of management
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participants for this study. The current sample population was comprised of approximately 15
participants for this study from the NYAC, a non-profit HSO that services individuals with
autism. The leadership titles are as follows: Chief Executive Officer, Chief Operating Officer,
Director of Corporate Compliance, Director of Clinical Services, Foundation Director, Chief
Financial Officer, Director of Business Affairs, Chief Clinical Officer, Division Director of
Program Services, Director of Information Technologies, Senior Administrative Assistant,
Division Director of Program Supports, and Director of Human Resources.
In addition to these titles, program leads or case managers were included as well to
provide a more robust representation of the varied levels of management who also impact
employee retention and performance within a non-profit HSO. The decision to include program
leads and case managers was made based on the amount of responsibility and supervision of
others reflected in the position descriptions obtained from the CEO or Director of Human
Resources.
Those who presented with responsibilities linked to a level of middle management were
asked to participate in the study after the first phase of recruitment was conducted and consent
was obtained from the CEO. The upper and middle level management participants received a
survey and were asked to participate in the interview during times that best fit their schedules.
Individual interviews were scheduled in conjunction with interview scheduling for leaders of
upper management.
The site selection for this study was purposeful. Instead of relying on the outcome from
numerous non-profit human service organizations across the state or country, the site was
narrowed down to a non-profit HSO that provides direct care and had an advertised multi-tiered
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leadership model. Additionally, the selection was based on the leadership teams who reported
meeting to frequently discuss and shape goals and strategies aligned with the organizational
mission and stated values (indicated by public statements on the website and verbalization from
leadership). Purposeful selection was also used for site selection to deliberately select an
organization model that is critical to studying the influence of leadership styles on employee
retention. In accordance with Maxwell’s (2013) assertion of the five possible goals for
purposeful selection, the site was selected to hopefully illuminate the differences between
characteristics of transactional and transformational leadership styles.
Survey Sampling Criterion and Rationale
Criterion 1. The participants were current employees at a non-profit Human Service
Organization (HSO) in New York that services individuals with autism because the research
study is specifically focused on leadership styles in non-profit HOSs. It was imperative that the
participants were derived from a setting that adequately represented the target population of
upper and middle level management in the research study.
Criterion 2. Participants were drawn from the Executive level, the highest level of
leadership within the non-profit HSO due to the focus on the influence of leadership styles in
non-profit HSOs. It was important to determine what KMOs executive level leadership did and
did not possess that contributed to shaping their leadership style.
Criterion 3. Participants were also drawn from middle levels of management within
NYAC. Maxwell (2013) posits that selecting a heterogeneous sample will lend to adequately
representing a wide range of the population in the conclusion presented in the studies. Therefore,
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individuals were purposefully selected from multiple levels of management to represent the most
“important possible variations” within non-profit HSO leadership styles (Maxwell, 2013).
Survey Sampling (Recruitment) Strategy and Rationale
The strategies utilized for the survey were purposeful and convenient because of the large
pool of participants to choose from for non-profit HSO leadership. Maxwell (2013) states that
convenience sampling is a reasonable way to proceed when learning about a group that is
difficult to access. This applied to the target group for this study because although there are
many non-profit HSOs, direct care services involve handling highly confidential information and
there is a reluctance to allow outsiders in because of the penalties an organization can face for
violating client/patient privacy. Maxwell (2013) further posits that generalizability in a research
study is used a means to justify random sampling. Consequently, this research study sought
generalizability for a group that works with a sensitive population, wherein it is difficult to gain
access to medical implications and other personally identifying information due to privacy rights.
Approximately 22 participants were sought out for participation in this research study.
This number was important because it encompassed the aforementioned titles under the
Executive Director and allowed room for lesser titles that hold managerial responsibility (such as
direct supervision of others, providing trainings and in-services) as well. It was imperative to
select participants that reflected the varied tiers of management to aptly address the heart of the
research question presented in the conceptual framework for this study, with a focus on the
influence of EI communication in leadership on employee retention and performance. In order to
effectively address the influence of EI leadership styles on employee retention in non-profit
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HSOs, leaders within the organization outside of the executive leadership team were included as
well.
Interview Criterion and Rationale
The criteria listed below were used to recruit the participants. Participants were given the
option to voluntarily participate in or opt out of the interview. Additionally, participants were
asked for permission to record and have written notes taken during the interview process.
Participants were informed that their identities would be kept anonymous during the interview
process. The criteria below were selected based on the stakeholder group referenced in Chapter
One and the leadership lens that could be provided to better inform how leadership styles
influence employee retention rates. Additionally, the pool of participants served to establish
whether or not the current leadership team had the knowledge, motivation, and organizational
skills necessary to successfully apply emotionally intelligent communication in their leadership
practices.
Criterion 1. The participants were current employees at a non-profit Human Service
Organization (HSO) in New York that services individuals with autism because the research
study is specifically focused on leadership styles in non-profit HOSs. It is imperative that the
participants represented a setting that adequately represents the target population of upper and
middle level management in the research study.
Criterion 2. Participants were drawn from the Executive level, the highest level of
leadership within the non-profit HSO due to the focus on the influence of leadership styles in
non-profit HSOs. It was important to determine what KMOs executive level leadership does and
does not possess that lends to shaping their leadership style.
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Criterion 3. Participants were also drawn from middle levels of management within the
non-profit HSO. Maxwell (2013) posits that selecting a heterogeneous sample will lend to
adequately representing a wide range of the population in the conclusion presented in the studies.
Therefore, individuals were purposefully selected from multiple levels of management to
represent the most important possible variations within non-profit HSO leadership styles
(Maxwell, 2013).
Interview sampling (recruitment) strategy and rationale. This study employed mixed
method sampling strategies that were both purposeful and convenient. Due to the need to
specifically target a non-profit human service organization with a leadership hierarchy,
purposeful sampling was utilized to gain in-depth understanding (Merriam & Tisdell, 2016).
Subsequently, the broad scope of non-profit human service organizations and limited access due
to privacy rights, convenience sampling was utilized. All of the participants in upper and middle
level management were sought out in the organization. While the total number of participants
was 22, the number of participants who participated in one on one interviews was 14. The total
number of participants was adequate because they represented a sufficient number of upper and
middle level management, the key stakeholder group denoted in the conceptual framework.
Observation Sampling Criterion and Rationale
Criterion 1. Participants were observed during leadership meetings to determine if the
knowledge and motivation influences related to EI communication practices were present.
Criterion 2. Participants were observed during regular interactions with supervisees over
a course of several days to assess the traits presented in the leadership style. The traits presented
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were linked to the research problem of identifying emotional intelligence in leadership practice
in non-profit HSOs.
Criterion 3. Multi-disciplinary staff meetings were observed to paint a picture of
communication practices within the organization.
Observation Sampling (Access) Strategy and Rationale
Continuing with a purposeful sampling strategy for observation, the natural work
environment of the participants served as the observation setting. Participants were shadowed
while this researcher acted as a “fly on the wall” during leadership meetings, staff in-services,
and some of the normal work functions. It was important to observe the participants in a natural
work setting to effectively observe what communicative strategies were implemented across
different work settings. This also allowed the researcher to observe whether the problem of
practice (employee retention) indicated in the conceptual framework is one that is an active,
normal focus for leadership in non-profit HSOs.
Access to the workplace settings was gained by meeting with NYAC executives,
obtaining consent, and wearing a temporary pass that allowed me to access various areas within
the organization. Observation of privacy and consent that was specific to NYAC was necessary
in order to access areas where direct care and services were being provided to vulnerable
populations. Observations and interview times were staggered; therefore, observations occurred
before interviews began for some participants and at the conclusion of the final interview for
others over the course of one business week.

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Data Collection and Instrumentation
This research study utilized a mixed methods approach for data collection to inform the
influence of leadership styles in a non-profit human service organization (HSO). Additionally,
data collection addressed the research questions about the knowledge, motivational, and
organizational (KMO) influences that impacted employee retention and performance as outlined
in the KMO conceptual framework. Mixed methods or multiple data collection methods were
used for this study due to the necessity of triangulating the findings, uncovering strengths, and
uncovering limitations in support of the conclusions (Maxwell, 2013). The mixed methods
approach was comprised of a quantitative survey that collected information on leadership styles
and interests with special attention being paid to traits of transformational leadership with
emotional intelligence (EI) (See Appendix A). The qualitative component consisted of interviews
and observations. Document analysis of organizational literature obtained from the website for
the New York Autism non-profit human service organization (HSO) and in-house publications
were obtained.
In summary, data collection methods used included observations, interviews, documents,
and surveys that assessed patterns and/or changes in leadership styles/traits that influenced
employee performance and retention in non-profit HSOs. The site for this study was a
comprehensive autism services foundation; however, the aim of the data collection in this study
was so that future researchers and scholar-practitioners will be able to duplicate the processes
and purposes that are deemed valuable and important across other non-profit HSO and for-profit
settings, regardless of the specific population served.
Surveys
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The survey addressed the following components of the research questions: identification
of the knowledge, motivational, and organizational elements that are believed to contribute to
decreased, if any, employee retention rates; and the recommended knowledge, motivational, and
organizational solutions to any barriers. The survey was quantitative to provide insight into how
individuals in upper and middle levels of leadership believed their actions and thoughts are
linked to employee retention and performance (Merriam & Tisdell, 2013). The survey was
administered online in the English language using Transform Survey Hosting from
Mindgarden.com (Aviolo & Bass, 2004).
The survey instrument utilized was the Multifactor Leadership Questionnaire Short Form
(MLQ5x); the survey was copyrighted and permission to utilize the survey was granted upon
completion of a form for researchers and paying a fee (Avolio & Bass, 2016). The MLQ 5x
Short Form consisted of 45 items; 36 of these items directly generated information about three
leadership constructs: Transformational, Transactional, and Passive-Avoidant leadership. The
leadership constructs were formed by nine leadership components: Attributes-Idealized
Influence, Behaviors-Idealized Influence, Inspirational Motivation, Intellectual Stimulation and
Individual Consideration, the style of Contingent Reward and Management by Exception, and
the Passive/Avoidant style of Management by Exception (Aviolo & Bass, 2004; Dimitrov &
Darova, 2016). The attributes were listed in accordance with the leadership construct and a
sample measurement of outcomes in the table below. All 45 of the items were used for this
study; however, licensing only permitted a small portion of the actual questionnaire to be
replicated for presentation purposes in this dissertation.

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Table D
MLQ Leadership Constructs and Sample Measurements
Construct Attribute Scale #
Transformational Leadership Intellectual Stimulation 4
Individualized Consideration 4
Behavior-Idealized Influence 4
Attributes-Idealized Influence 4
Inspirational Motivation 4

Transactional Leadership Contingent Reward 4
Management by Exception
(both Active & Passive)
4

Passive-Avoidant Leadership Laissez-Faire 4
Management by Exception-
Passive
4
Leadership Outcomes Satisfaction 2
Extra Effort 3
Effectiveness 4

The 45 items in the MLQ 5x had a distinct correlation to the transformational leadership
skills associated with increased motivation, productivity, performance, and effort from
supervisees (Saxe, 2011). Consequently, the derivatives of the components for the leadership
styles were linked to the knowledge, motivational, and organizational elements of effective
leadership practices. The most weighted categories in the MLQ 5X Short Form were
Transformational and Transactional leadership styles, which were a primary focus of this study
as denoted in the conceptual framework. Motivation components were assessed through
questions about how private interests influenced leadership styles and affected employee
performance (Dimitrov & Darova, 2016). Moreover, the necessity for leaders to acquire higher
levels of awareness for inspiration and a greater, common shared goal were also addressed in the
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transformational leadership constructs (Dimitrov & Darova, 2016); these lend to the knowledge
and organizational components of the conceptual framework.
The MLQ 5X Short Form was successfully validated by several thousand respondents in
the United States of America, additionally, its psychometric features were adapted in more than
22 other countries (Dimitrov & Darova, 2016). Aviolo and Bass (2016) reported the MLQ 5x
Short Form was constituted in the measurement of transformational leadership with construct
validity explained via a six-point factor analysis, reported stability in homogenous situations, and
reliability scores that range from moderate to good on the Cronbach Scale.
Interviews
One-time interviews were conducted face to face with members of the upper and middle
level management team at the New York Autism Center (NYAC). There were approximately 17
team members on the Executive Leadership team, adding middle management department heads
to that number, full participation was projected to yield approximately 22 participants.
As previously mentioned, participation in interviews was voluntary. The interview
protocol (Appendix B) consisted of a list of guiding questions that were pre-drafted. The style of
interview was semi-structured. This researcher met with participants in private offices, asked
questions, and took notes while conversing with management about routine activities.
The questions were designed to solicit a narrative from the participants and were adapted,
omitted, or added to accordingly in order to obtain a rich narrative for qualitative data collection
(Maxwell, 2013). The interviews were audio recorded and later transcribed by this researcher
along with an external transcription service. Transcribing the interviews allowed the researcher
greater time to reflect and analyze the data collected during the interview process and further
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protected the privacy of the participants. Based on the participants’ level of comfort, notes were
also taken during the interview process.
Questions were designed to illuminate the knowledge, motivational, and organizational
influences related to EI and communicative efficacy (See Appendix B). Merriam and Tisdell’s
(2016) recommendations for good interview questions were applied during the interviewing
process to yield a rich response from participants. The questions solicited opinions, experiences,
behaviors and values about EI communication practices, motivational strategies, organizational
hierarchy, and mission/vision statement alignment. A specific example of a question that was
asked to ascertain an organizational influence and knowledge base was: How is communication
used to promote team building within the organization, if at all?
Observations
Merriam and Tisdell (2016) conjectured the data collection tool of observation was
highly valuable in data collection when firsthand information was sought. This study employed
observations to provide information on specific incidents and behaviors related to leadership
styles. Additionally, observations were used to inform the current level of transformational or
transactional leadership skills prevalent in current styles, available trainings, and present
application within the organization. The styles spoke to the declarative knowledge influences,
whereas the trainings available spoke to both metacognitive knowledge influences as well as
motivational influences. The application addressed the organizational influences. Each of the
factors was highlighted in the conceptual framework, consequently, it was important to conduct
an observation while keeping the specific tenets of the KMO framework in mind, albeit in a
semi-formal setting.
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The observation period was slated to take place over the course of approximately four
days. Observations took place in the natural setting of the work environment. The researcher
observed daily interactions between management and supervisees as well as interactions amongst
the leadership team. Interactions among management and attitudes toward EI communication
practices and engagement with supervisees were observed. Based on the information gathered
from the observations, the nature of transformational leadership characteristics presented were
determined based on the degree of significance that leadership styles in non-profit human service
organizations (HSOs) had on employee performance. The data obtained from the observations
was used to triangulate the data collected from the interviews and surveys. Triangulation of the
data was necessary to increase the validity of the findings (Merriam & Tisdell, 2013).
Observations occurred after initial introductions were made. Out of respect for the
respondents’ valuable time, observations and interviews alternated groups of team members over
a four-day period. The researcher conducted two observations of the organization’s daily routine,
with specific attention paid to interactions between leadership and supervisees as well as
communication amongst the leadership team and three observations of team leadership meetings.
The observation times varied. The observation of the daily routine of the organization were
expected to last approximately five hours per day and the leadership team meetings were
expected to last approximately 90 minutes each.
Documents and Artifacts
While documents and artifacts were not a significant part of this study, NYAC had
documents that exhibited employee retention rates over the course of the past four years. These
documents were collected to provide context for the influence of leadership styles and employee
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retention rates. Additionally, these documents cited the organization’s vision, mission and values
statement along with strategic planning goals and progress over the course of the last four years.
Permission was granted from the organization to inform data collection on the organizational
influence over leadership styles (Maxwell, 2013).
Data Analysis
Descriptive statistical analysis was conducted once all survey results were submitted. For
interviews and observations, data analysis began during data collection. Analytic memos were
written after each interview and each observation. Thoughts, concerns, and initial conclusions
about the data were documented in relation to the conceptual framework and research questions.
Once I left the field, interviews were transcribed and coded. In the first phase of analysis, I used
open coding, looking for empirical codes and applying a priori codes from the conceptual
framework. A second phase of analysis was conducted where empirical and a priori codes were
aggregated into analytic/axial codes. In the third phase of data analysis I identified pattern codes
and themes that emerged in relation to the conceptual framework and study questions. I analyzed
documents and artifacts for evidence consistent with the concepts in the conceptual framework.
Credibility and Trustworthiness
The largess of the credibility of a research study rests on the shoulders of the researcher.
Merriam and Tisdell (2013) state that the experience, intellectual prowess, and training of the
researcher determine the credibility of a qualitative research study. While engaging in the
qualitative data collection techniques of interviewing and observation, I was aware of my own
researcher bias (sensitivity and values) to decrease the occurrence of situational and relational
ethical issues that could deter from the credibility and trustworthiness of this study. In addition to
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the rich data that was gathered from the qualitative component of this study when speaking with
participants or seeing them in action, the transcripts of the interviews provided a tangible source
for reflection and data analysis. Triangulation was used to increase credibility and
trustworthiness of the study. Pursuant to Maxwell’s (2013) description, information was
collected using a variety of methods, across various settings, and from a range of individuals to
add to the generality of the development of explanations based on the researcher’s interpretation
of the information.
Validity and Reliability
In order to reduce researcher bias, avoid threats, and enhance validity in this study, peer
debriefing (feedback from the dissertation chair) and external auditors (feedback from outside
members of the dissertation committee) were sought throughout the study (Creswell, 2014).
Maxwell (2013) posits that numerous means of collecting data is required for triangulation.
Therefore, in addition to the qualitative methods of data collection listed above, I engaged in
quantitative data collection by administering a survey. Discrepancies revealed between the
multiple methods revealed flaws and strengthened the validity of the study (Maxwell, 2013).
To establish validity in the quantitative research element, the existing survey instrument
the MLQ 5X, was used. Per Avolio and Bass (2004), the MLQ provided the best relationship
between organizational outcomes and survey data and was validated across multiple cultures and
all types of organizations. Creswell (2014) states that there are three main forms of validity to
look for: content, concurrent, and construct, wherein construct has become the primary objective
in validity. Accordingly, the MLQ 5X Short Form established construct validity through a six-
point factor analysis. Muenjohn and Armstrong (2008) conducted a reliability check on the MLQ
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5X Short Formthat provided evidence of Cronbach values of alpha = 0.86, indicative of good
reliability. Furthermore, it was determined that the MLQ 5X Short Form provided a focus on the
full leadership constructs of transformational leadership while adequately measuring
transactional and non-leadership behaviors (Muenjohn & Armstrong, 2008).
Ethics
The participants for this study were informed that their participation was solely voluntary
and individuals had a right to withdraw from the study at any time. Prior to meeting and
engaging with the participants, the bio and purpose for the study was submitted to the
organization and was then disseminated to the participants. The participants were assured that
this researcher was not an employee affiliated with the organization. Rapport and trust was
established in the study by joining with the participants in working towards a common goal to
generate research geared towards communicative transformation within their organization
(Maxwell, 2013). Each participant was thanked individually for participating in the study and
acknowledged how giving they were of their time, reinforced the confidentiality of the responses
given, and thanked them for taking a vested interest in the forward movement of their
organization. Per Maxwell (2013), relationships that are reciprocal and shaped by both the
researcher and participants can yield deeper data while emphasizing renegotiations of trust and
continual creation.
As a mixed-methods researcher, I utilized both quantitative and qualitative research
methods as a guiding component for data collection to focus on meaning and understanding to
answer questions (Merriam & Tisdell, 2016). To achieve this, ethical choices were made when
conducting the study based on the amount of data collection that involved conversation and
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observation. Consequently, information sheets were provided to all participants at the onset of
the study. Glesne (2011) posits several basic tenets of participants’ rights during research studies,
one of which is informed consent which lets the participants know that they can withdraw at any
time of their own volition because the study is voluntary. Glesne (2011) further states that
participants should be made aware that the information gathered will be confidential.
This study was submitted to the University of Southern California Institutional Review
Board (IRB). The IRB’s rules and guidelines regarding the protection of the rights and welfare of
the participants were adhered to for safety. An additional layer to safeguard participants was
provided through NYAC’s governance of HIPAA and FERPA laws and privacy rights.
Confidentiality was highly important and trustworthiness was built by letting individuals know
that participation was completely voluntary and they could decide to withdraw from the study at
any time. Permission was obtained to audio record the interviews on a digital recorder that was
password and fingerprint protected. The data was transcribed by this researcher and securely
stored.
Prior to beginning research for this project, I did not have any affiliation with the
organization, NYAC. NYAC was selected after two prior organizations that were within closer
proximity, were unable to fulfill the role as the organization of focus for this study. After
meeting the CEO of NYAC at a leadership summit several years ago, I reviewed the problem of
practice and requested permission to use NYAC as the organization for this study, specifically
focusing on emotionally intelligent communication practices. The CEO agreed to allow me to
study NYAC and requested that I share any feedback that could possibly improve things for the
organization at the conclusion of this study. Prior to engaging in data collection, members of the
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organization were informed about my role as a researcher and clarified that I was not an
employee or someone who would report back to the executive leadership team or board
members. The neutrality of my relationship was enforced by observing and intermingling with
participants, as allowed, in their natural work settings and during lunch. It was requested that
executive leadership members did not accompany me into observation and interview areas to
ensure privacy and confidentiality of the participants.
I reminded the participants I would not provide any incentives so as not to coerce them.
At the conclusion of the study, I sent a thank you card with a basket of office edibles (fruit,
coffee, and muffins) as a token of my appreciation. The lack of incentive minimized the
possibility that participants will feel coerced to participate. However, a thank you gift that they
did not anticipate when agreeing to participate served to as a token of gratitude and appreciation
for their time and shared experiences.
Limitations and Delimitations
This section will discuss what the design of this study included and did not allow. A part
of limitations of the study is to present what elements of the study are beyond the researcher’s
control. In turn, limitations are examined to see how they affect internal validity. On the other
hand, delimitations refer to the degree of generalizability the study may have in the field of
practice. In opposition to limitations, delimitations are examined to see how they affect external
validity. This section will briefly review the selection of pertinent theories, variables, and
objectives that impacted the validity of this study.

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Limitations
Time constraints of the work-life balance and doctoral program requirements have
provided less time than may be ideal to conduct interviews and limited the nature of the
observations. Because there was not an official affiliation with the selected organization or prior
interaction beyond the scope of this study, the truthfulness and posturing of the participants
during interviews cannot be controlled. I am an outsider to the organization; therefore,
respondents may have been cautious of what they chose to disclose based on having possible
suspicions about the true nature of my role due to the organization while the agency was going
through a restructuring period and changing CEOs.
Delimitations
The interview protocol was structured in a manner that was consistent with the KMO
conceptual framework to yield data that was both rich and applicable to the problem of practice.
The interview structure was designed for duplication in future studies across non-profit HSOs. .
The selected interview protocol served as a guide and an informal style was used to build rapport
with respondents and minimize obtrusiveness. The number of observations conducted was
preplanned with advanced scheduling designed to have the activities take place over the course
of one business week. Non-management staff interactions in direct service were not observed

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Chapter Four: Results and Findings
This chapter presents the study’s key findings and results within the KMO Framework
and survey results related to leadership style and the impact on employee retention. Briefly
recapping the summation of Chapter One, the purpose of this study was to examine the influence
of New York Autism Center’s (NYAC) upper and middle-level leadership teams’ successful
leadership styles on employee retention in non-profit human service organizations.
Transformational leadership styles with primary traits of emotional intelligence (EI) and
effective communication were evaluated for promising practices related to increasing employee
retention rates in non-profit HSOs. Consequently, NYAC’s leadership was assessed to determine
the managers’ knowledge, motivation, and organizational (KMO) influences related to using
emotionally intelligent communication practices with supervisees in the following research
question: What are the managers’ knowledge, motivation, and organizational (KMO) influences
related to using emotionally intelligent (EI) communication strategies with their supervisees?
The research question was answered through the collection of quantitative and qualitative
data amassed through observations, interviews, organizational documents, and the Multifactor
Leadership Questionnaire 5x Short Form (MLQ). The management approach at NYAC was
evaluated to determine if leadership possessed the KMO influences related to emotional
intelligence (EI). The presence of the KMO influences was then examined to determine how they
impacted the larger problem of practice, employee retention. The interview protocol did not
contain specific mentions of emotional intelligence to avoid leading interviewees during their
responses; however, emotional intelligence was specifically mentioned documents from NYAC.
Emotionally intelligent communication practices were referenced in memos taken during
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observations of the executive leadership team and the board of directors on separate occasions.
This chapter begins with information presented from observations and interviews to answer the
research question about NYAC’s EI in communication and the believed impact on employee
retention. Next, a description of the organizational documents are provided to present the status
of employee retention rates in NYAC. Then, a description of the survey results that evaluated
leadership style are presented. The chapter concludes with a synthesis and implications of all
findings as they relate to the KMO Conceptual Framework.
Observations, Interview, and Survey Participants
Participants were engaged through face to face individual interviews, observations, and
two surveys administered that determined the type of leadership style. Interviews and
observations were conducted concurrently over a span of one business week across various
levels and settings in the organization. Participants were scheduled for one-on-one interview
times that suited their schedules and the researcher was permitted to sit in on several leadership
meetings. Additionally, the job duties of all levels of leadership and some direct care services
provided by supervisees were observed as well.
Observations. A total of approximately 40 participants were observed in the following
facets: daily work, field, managerial, and professional development settings. A total of six
scheduled meeting observations were conducted during the course of a business week. The
observed meetings included a briefing between all chief executive officers, budget review, board
finance meeting, NYAC board of directors meeting, an executive team meeting, and the
leadership training. Participants were observed to see how they engaged in communication with
one another coupled with engagement with supervisees during regular, daily job functions.
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This researcher observed the entire leadership team participate in professional
development designed for more effective communication practices. All members of upper and
middle-level management participated in a DISC (Dominant Interactive Supportive
Conscientious) communication training and team building exercises. DISC focuses on using
emotional intelligence (EI) to recognize different behavioral traits and styles of individuals to
permit effective communication within the workplace and abroad (Take Flight Learning, 2013).
This observer was able to go between groups, attend team building workshops and meetings,
walk around the premises, and observe each participant in various facets of their position
including regular job functions and team meetings. During the communication training, this
observer was able to go between the smaller groups for breakout sessions as well as observe the
entire group during share-out periods.
Interviews. Individual interviews were conducted face to face with members of NYAC’s
executive leadership team and middle management. Participants were interviewed in their
respective offices and responded to questions about uses of technology, their communication
with supervisees and perceptions of their leadership styles. There were 12 interview participants
which represented each department at NYAC; thereby resulting in 100% participation and
representation for leadership at the time of this study.
Surveys. As previously mentioned, two surveys (Multifactor Leadership Questionnaire)
were administered to participants approximately six weeks after the interviews and observations
had been conducted. The survey invitation was administered to all participants who were
interviewees. Participants were given two weeks to complete the surveys online through
MindGarden survey hosting. Surveys were hosted by MindGarden and sent to the members of
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upper-level management, each department director, and coordinator, including the CEO and
administrative and day program, leads, raising the total to 12 invited survey participants. Six of
the participants returned a survey response within the allotted timeframe yielding a 50%
response rate from the participants.
The Multifactor Leadership Questionnaire (MLQ) 5x short form is designed to measure
leadership styles, with specific assessment tools that denote transformational, transactional,
laissez-faire leadership characteristics and leadership outcomes (Aviolo & Bass, 2004).
Participants were given the Multifactor Leadership Questionnaire (MLQ) survey in two parts;
one focused on rating the current leadership within the organization (observer-report) and the
second involved rating themselves as leaders (self-report). Each instrument consists of 45
questions perform, which takes approximately 15 minutes to complete online (Avey & Aviolo,
n.d. b.). Respondents answered by selecting an item on a Likert Scale with the following
anchors: 0=Not at all; 1=Once in a while; 2=Sometimes; 3=Fairly Often; and 4=Frequently, if
not always (Aviolo & Bass, 2004).
Interview and Observation Results and Findings for Research Question 1:
KMO Influences Related to Emotionally Intelligent Communication Strategies In this section, the results and
findings from interviews and observations will be discussed. The information collected from the
observations and interviews were utilized to answer the first research question about NYAC’s
usage of EI strategies in leadership style with regard to employee retention rates. The knowledge
influences will be discussed first.

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Knowledge Results
In the KMO conceptual framework presented in Chapter Two, the declarative,
procedural, and metacognitive influences in this section will correspond to expectancy value
theory, organizational culture (both of which will be discussed in subsequent sections) and effect
of these influences on employee retention and performance. Excerpts from interviews and
observation memos will be used in this section to measure how the findings from the data is
linked to related knowledge influences and impact desired results.
Declarative conceptual knowledge: Understanding the impact of effective
communication and team collaboration. Declarative knowledge is what is recognized or
known (Clark & Estes, 2008). Declarative conceptual knowledge influences are more complex
and examine interrelationships, classifications, structures, and models (Aguinis & Kraiger, 2009;
Clark & Estes, 2008). Conceptual knowledge can be demonstrated by an individual’s ability to
draw inferences from ideas and verbalize an ability to use concepts to strategically solve
problems and avoid inflexibility and misunderstandings (Wiggins, 2014). Questions from the
interview protocol were used to determine if leadership possessed substantial conceptual
knowledge of EI communication practices. These questions are outlined in Table E below.
Table E
Interview Questions and Responses for Declarative Conceptual Knowledge Influences
Interview Question Response
Q2. What are some things you do to build
rapport with your employees?

I think one of the things that makes us stand
out here at NYAC is that we are a family. It’s
important to build those relationships and get
to know your employees from the beginning. I
take the time to mingle with them, eat lunch
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Q7b. Tell me about a time that you managed
conflict between two or more employees.

with them, ask how their day is going, things
like that…

I think it’s important to extend the employee
relationship beyond the walls of the office. I
enter our department into intramural sports
leagues, set dates to get out of the office and
have lunch in town, and try to relate to them
on a personal level…I ask about their
families, their goals, you know, that sort of
thing.
We immediately ask employees for their
input. Two weeks after beginning work, we
check in with our employees to see how the
orientation process went, how they are
feeling about joining NYAC. We want to make
sure they are comfortable speaking to
anyone. The hierarchy is not used for
communication here, there is a full open-door
policy. Employees are taken on a tour and
they are encouraged to go into any door, sit
down, ask a questions or start a conversation
with someone they see roaming the halls.

I mentor my new support staff. I work one on
one with them to help them feel at east and be
a mentor as they are learning the ropes here.

There can be a tremendous amount of conflict
when you have different personalities
working together. I have dealt with a lot of
interpersonal conflicts where people weren’t
able to communicate with each other and
figure it out. I like to look at the thing that
went wrong and how we can get it right. I
have both people tell me how we can get the
task right. I move their focus to what’s
important, then the personality clash becomes
water under the bridge.

I use a direct approach to address and
manage conflicts. I like to give people
chances, we work through what the problem
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Q8. What are some key components for
effective communication in the workplace?
is and how it is affecting them. I offer
supports for improvement and develop
remedial plans of action for those who are
struggling in the workplace and seem to have
several areas of conflict.

With a large team there can be a lot of
personality clashes. I think as a leader, it is
important to bring everyone’s focus back to
working together as a team. You know,
there’s no “I” in team.

We added another layer to conflict
management. We created a position, a safe
space where employees can go and strictly
talk about their concerns to a liaison.
Employees can say exactly what’s wrong
without fear of repercussion and have the
time and space to be heard… Once we added
the employee liaison and took trainings on
conflict management, we noticed a big
change in the atmosphere.

It’s important to have one on one
communication with employees after
delegating a task. I don’t believe in just
delegating a task. A leader should take the
initiative to join in, get hands on and make
sure that person truly understands what needs
to be done.

It’s important to be observant and know who
your employees are. Identify those that don’t
like to speak up, check in on them and ask if
they need anything, especially those who
aren’t likely to ask.

It’s important to keep an open door and
connect with my staff on multiple levels. I let
them know that I am here for them, I take
notes on the suggestions they give me, even in
passing and I follow up quickly. They know
that they are heard.
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I like to know who my people are and for
them to know that I’m a person just like them.
I’m not someone who is inaccessible behind a
desk…When we have a change in policy or
there is new information that needs to be
given out, I make sure that I do it personally.
Yeah, we use email and other things, but
nothing can replace personal interaction.
They know that if I tell them to do something,
I’m not above doing it either. You will see me
taking over hall duty, serving lunch, or
subbing in to give them a break. It’s not just
about your words, it’s about your actions and
how you make them feel. I need my people to
know I can’t do this without them and I try to
communicate that, to show them that.

Declarative factual knowledge: Details of investing in human capital. Declarative
factual knowledge influences refer to what is known and can be both factual and conceptual.
Factual knowledge influences are based on a review of element details (Aguinis & Kraiger,
2009; Krathwohl, 2002). The declarative knowledge elements for this study have three
components as noted in the KMO Conceptual Framework: demonstrating an understanding of
individualized consideration, empathy, and investing in human capital by promoting a caring
atmosphere. Declarative knowledge influences were assessed from upper and mid-level NYAC
leadership by asking interviewees the following questions: “How do you establish rapport with
your supervisees?” “How does the empathy you have for the population you serve transfer into
the relationship with your employees?” and “What are some things you do to make your
employees feel valued?”
Despite being given the option to forego any portion of the interview questions, each of
the interviewees answered the aforementioned questions resulting in a 100% percent response
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rate for declarative knowledge influences. There was a shared response from all participants that
employees are a priority; hence, fostering an empathetic work environment is believed to result
in greater performance. “Kelly” and “Sarah” epitomized individualized consideration, empathy,
and the promotion of a caring atmosphere in the following statement.
My first goal was to be able to get to individual clinicians and find out where are they,
what's going on with them. Are they really having one foot out the door or what is it that
they need and go from there…So, we went through that process and then, there was a lot
of trust of development that was necessary. There was a lot of promising something and
staying with it that had to happen. There was a lot that they had to see that I really, really
was looking at them as my absolute priority.
Benjamin (2008) states that if leadership does not execute knowledge-based practices and
effectively communicate or model actions that show a strong investment in employees, it can
reduce employee morale and result in a lack of engagement. In addition to verbalizing the
importance of investing in human capital, NYAC leadership was also observed discussing and
performing actions that fostered an empathetic work environment. This researcher observed an
executive team meeting, wherein all the department heads attended. “Bob” reminded leaders that
it is important to check in on their supervisees individually and ask “how they are doing” or “if
they need anything.” This prompt from “Bob” to other executive leadership team is an example
of cultivating individualized consideration for supervisees through a considerate work
environment.
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The observation of the top ranks of leadership passing down emotionally intelligent
communication practices to supervisees and the corresponding interview responses reflect
proficiency in the declarative knowledge influences as related to the KMO conceptual
framework. Dinesh, Given, and Forcier (2016) posit that effective communication practices are
part of critical knowledge areas that promote a harmonious, collaborative work environment.
NYAC’s executive leadership team presented an understanding of joining with their supervisees
and actively engaging in the tasks they assign to them, thereby modeling servant leadership
being more than someone who issues orders. Evidence of additional declarative factual
knowledge influence interview responses and statements are presented in the table below.
Table F
Observations and Interviewee Responses for Declarative Knowledge Influences
Interview Question Participant Comments Observations
How does the empathy you
have for the population you
serve transfer into the
relationship with your
employees?
I go beyond the financial
piece. I believe in
innovation, with the human,
the individual at the source
of any program or policy.
Leadership was
observed engaging in
genuine personal
interaction with
supervisees; “how are
you/your family
doing,” “how was
vacation,” “do you
need anything for your
next on-call shift?”
The effort comes from the
people that we serve and
their families. The next level
is the employees, whom we
really have to care for.
Leadership must take
initiative to join with
the employees after
delegating a task. For
example, assisting with
lunch distribution, hall
duty, etc.
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What are some things you do
to make your employees feel
valued?
You’re gonna have to make
sure that anybody who’s in
your organization is treated
fairly, for those who are
interested in a career path
you should be able to
provide them a career path,
for those who are interested
in staying where they are
doing what they love to do
you, you’re going to have to
incentivize them and make
sure that they’re feeling
rewarded.
The value has to be added to
the individuals because they
are the focus of providing
great services.
Leadership was
observed encouraging
and recognizing staff
for a job well done
through multiple
modalities, such as gift
cards, bulletin boards,
and community lunches
as rewards.
When hearing that a
clinician was having a
hard time being
scheduled to be on call,
“Kathy” offered
supports and described
how she felt when she
was on call when she
started with the agency.
Offer assistance and
empathy when
supervisees are faced
with a difficult task.

Procedural knowledge: Systemic application of EI communication practices via
professional development opportunities. Members of NYAC’s leadership exhibited
exceptional employment of EI communication practices across multiple levels of the
organization for professional development. Successful communication practices were applied to
relay ongoing individual professional development opportunities, the outcome of prior team
building professional development opportunities, and the schema for current professional
development opportunities linked to the enhancement of EI internal and external
communications. The executive leadership team (upper management) was observed interacting
with mid-level management on sub-committees that were formed to enrich professional
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development opportunities linked to program development. Additionally, a comprehensive
leadership effort was observed as leadership participated in effective communication practices by
verbally reiterating important bulletins that had been previously printed and emailed, cross-
checking with other departments to ensure printed information was displayed around NYAC’s
campus, connecting with community liaisons to ensure their information was up to date, and
holding conversation with supervisees at all levels to gather their input on the latest
communicative pass-down related to professional development opportunities.
Gardenswartz, Cherbosque, and Rowe (2010) assert that emotional intelligence (EI)
involves both insight and action and is required in an environment where individuals interact to
promote effective, productive work groups and overall collaboration. Some influences can be
categorized in dual roles, such as the following influences which fall under the categories of both
knowledge and organizational influences. The ability for an influence to fall under more than one
of the categories in the KMO framework, lends to the relational arrows that signified the
interconnectivity of the KMO components.
Insight and action into procedural knowledge of emotionally intelligent communication
practices was addressed by the following subjects from the interview protocol: how professional
development opportunities are communicated, what professional development options are
available within the organization, how does NYAC support ongoing education, and how they
perceive the influence of the communication and execution of professional development
opportunities on employee performance. Participants’ responses indicated they were cognizant of
how important successful communication practices were in order to generate interest, foster
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understanding and valuable execution of professional development opportunities associated with
best practice.
A higher acquisition of procedural knowledge was signified as interviewee responses
revealed growth from prior communication strategies that were inefficient that lead to the growth
of current, augmented communications. For example, “Matt” described evolving communication
practices, when they realized that simply placing information in an “email blast” to the company
was ineffective.
We try to do different things. We realized, you know, email is a nightmare to try and get
everyone to pay attention to, especially the front line. We get a good percentage of people
who don’t regularly check their email. What we do over the years as a strategy is -- we
work (communications) through managers, supervisors, the people they work with every
day. For example, when there’s a new opportunity we put it out through them, bulletin
boards, flyers, things like that.
Benjamin (2008) states that leadership should systemically utilize effective
communication practices throughout several levels of the organization via policy development
and educational opportunities. As mentioned in Chapter Two, it is vital for leadership to have
proficiency in effective communication practices in order to overcome communicative
deficiencies and stimulate increased employee retention (Hamilton, Ortega, Hochstetler, Pierson,
Lin, & Lowes, 2014).
Metacognitive knowledge: Self-awareness of communicative abilities. The
emotionally intelligent leader encompasses competencies in self-awareness, empathy, and
responsiveness to others (Gardenswartz, Cherbosque, & Rowe, 2010). Metacognition in
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leadership has a significant impact on employee engagement and performance (Benjamin, 2008).
As cited in Chapter Two, leadership can exercise metacognitive skills of self-reflection and
awareness such as processing (internally or aloud) and journaling actions. Metacognition was
gauged through interviews and observations where NYAC leadership reflected on influences that
shaped leadership style, moments of insight into effective communication with supervisees, and
mindfulness practices. Participants expressed that they contemplated on their communication
styles and how to create a harmonious atmosphere with others for emotionally intelligent
communications amongst their direct supervisees and others.
I recall how it felt building from the beginning, the employee handbook, salary ranges,
and administration, we focused on that for years…In recent history, we had to expand on
the thought process of building the benefits in terms of how to get people to stay. You
know, because it's not always money. A lot has to do with how people are treated, open
communication. I thought about how I worked and how we could work together to
develop different things like focus groups and career ladder, different ideas.
While interviewees did not seem overly familiar with the term “mindfulness,” each
interviewee response underscored an understanding of the need for self-care both on and off the
clock and being present in communicative efforts. The interviewees recognized the high-risk of
job burnout and emotional taxation that can occur from working in a Human Service
Organization (HSO).

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Table G
Observations and Interviewee Responses for Metacognition
Interview question Participant comments
What experiences have affected you during
your leadership journey?

Describe an insightful moment where you felt
as though you were effectively connecting
with your employees.

Partaking in building something from the
beginning…working with others to develop
programs…thinking of ways to have open
communication and retain employees.

We do the focus groups. When we started we
didn’t know how it would go over, then we
needed to schedule five or six to fit different
people’s schedules and we realized we were
on to something.
With an open-door communication policy, the
pyramid structure of leadership became more
like a matrix. Anyone could access a leader,
talk to someone, or ask them a question.
There is a building here on campus that sits
atop a hill. I like to take walks there
occasionally, to think about how things are
going and how I’m doing as a leader. I tend
to go to that building because it used to be all
that we had. I sit there and look out at how
much we’ve expanded and I reflect on things I
could do better and how to keep things going.

Motivational Influences
There were three interview questions that assessed the specific motivational influence of
expectancy-value theory. Efficacy was also assessed with questions targeted at competency,
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belief-set, and delivery in communications. Expectancy value theory is a key motivational
influence for communicative efficacy that relates the values of the tasks and expectancies for
success (Eccles, 2009). For the purposes of this study, expectancy value theory targets
competencies and attitudes that leaders must have in order to be effective communicators.
Motivation influences were assessed with the following questions: “What motivates you to
communicate effectively?” “Describe the feelings that arise when you experience conflict in the
workplace” and “What type of impact do you hope to make as a leader?” All members of NYAC
upper and mid-level leadership team responded to the questions with the subject base of
motivation influences, yielding a 100% response rate.
Expectancy-Value
An individual’s connections to expectancy and task value beliefs are linked to
persistence, choice, and achievement performance in a modern application of expectancy-value
theory (Eccles & Wingfield, 2002). Accordingly, there is a positive relation between
expectancies and values based on the concept that the intricate components thereof are linked to
a broader array of psychological and sociocultural factors (Eccles & Wingfield, 2002). Eccles
(2009) highlights two key components of expectancy-value theory: task values and expectations
for success. Both values and expectations interact to predict important outcomes such as
engagement, sustainability, and achievement (Eccles, 2009). In other words, expectancy-value
links to an individual’s belief and desire to complete a task (Eccles, 2009).
Motivational values that shape task completion are broken down into four categories
related to expectancy-value: attainment value, cost value, intrinsic value, and utility value. This
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study sought to gauge the value NYAC leadership placed on increasing employee retention and
the communicative strategies utilized to accomplish this goal.
Leadership’s high value for communication adds value to employee relationships.
Each NYAC interviewee articulated an understanding of the need for valuable communications
with supervisees in order to sustain employee engagement and improve retention rates.
Leadership team members expressed the different ways that communications are distributed
within the organization in order to increase and uphold employee interest (intrinsic value). This
researcher observed the following communication techniques at NYAC: pertinent information
displayed on bulletin boards, office signage, infographics, and discussions amongst leadership
team members and supervisees. During the interview processes, leadership team members
expressed that adding a personal touch, taking time to individualize communications can lead to
greater employee engagement and performance.
Table H
Interviewee Comments Regarding the Value of Effective Communication
Value Supporting Interview Data
Collaboration

When I started here there was a pyramid
communication structure. Leadership lead
top down…Now it’s more of a matrix.
We’re all vested, representing the same
interest and truly working as a small family
team.

Leadership are the cultural agents of
mindset change.

Middle management should bridge the gap
between leadership and supervisees.

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Empathy

Factions can get in the way of true
collaboration amongst leadership.

Sharing of ideas is encouraged here, we
have an open-door policy and welcome
engagement on multiple levels.

Staff supports foster collaboration, that’s
why it’s so important that we invest in our
human capital.

It’s important for management to spend
time with staff, get to know them on a
personal and professional level.

Adding trust is a key ingredient to making
employees the priority…We try to expand
on that in a bit in terms of uh, how we get
people to stay at NYAC. You know, because
it's not always money...a lot has to do with
how people are treated…open
communication…

Investing in human capital is our primary
initiative…to keep quality people we tell
our management it’s important to spend
time with staff talking about the things that
can help keep them here.

It’s important that we understand each
other, not only from person to person, but
between departments. Support staff needs a
lot of care, we encourage them to reach out
to each other to gain understanding of how
different departments work and share the
struggles faced…They can find comfort in
sharing some common struggles.

We have a lot of open
communication here…we
are big on an open-door
policy.

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Multi-tiered communication

Intrinsic reward and Utility Value
We reinforce important
issues with different modes
and different ways. Email
is not effective enough, if
we want staff to know
something we place it on
bulletin boards,
brochures, and more
importantly face to face
with focus groups and
forums.

The more we communicate
with staff what is going on,
the better informed they
are and the more
productive they are.

Anyone can ask questions
to any other staff member
because we’re about
transparency here. I tell
my leadership team to be
intent on using more
active listening.

We take employee input
very seriously here. I even
monitor external ratings
on sites like Glass Door so
that I’m on the pulse of
what’s going on.

Sometimes we can’t
compete with money.
That’s why it’s important
that we add value outside
of money…We help
employees plan for the big
picture with our “Learn to
Earn” program and in-
house education offerings.

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Professional development
is very important. It helps
staff feel and see the
change in themselves and
links them to our Quality
of Life mission.
It’s a blessing and a curse
that we prime our staff to
be a feeder to different
fields. With external
regulations imposing
limits it can be easy for
them to get more money
and benefits elsewhere.
We offer things like
competitive scheduling,
additional time off, to keep
quality staff here.

Organizational Influences on EI Communication Practices Linked to Employee Retention
Organizational influences from the KMO Framework were broken down into two
primary categories of cultural model and cultural settings. According to Mulder (2013), cultural
model influences are linked to direct invisible influences such as behaviors and opinions (or
assumptions). Moreover, cultural models are an intangible reflection of what an organization
values that are manifested in an employee’s beliefs (Gallimore & Goldenberg, 2001). Although
intangible, Gallimore and Goldenberg (2001) posit that these beliefs are influenced by actual
workplace policies, procedures, and undertakings. Questions were posed to NYAC leadership to
determine how the cultural model influences connected with organizational communication
practices as related to the organizational goal of improving employee retention rates.
Mulder (2013), referencing Schein’s model of organizational culture, further posits that
indirect tenets, such as the mission and vision statement of an organization have little to no direct
impact on organizational cultural model influences. However, an organization’s mission and
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vision statement shapes the cultural setting. In turn, the cultural setting of an organization is
shaped by the mission and value statement and the alignment of employees therein. Both cultural
models and cultural settings are dependent on one another to contribute to the success of an
organization achieving a goal. Actions such as strategic planning and goal setting are examples
of effective communicative practices that can be promoted within an organization. NYAC is
heavily focused on strategic planning practices, goal setting, and aligning employees and the
community with the organizational mission and value statement.
Organizational influences were addressed in ten questions in the interview protocol.
Relevant questions and responses are referenced in Table 7. The following categories are
applicable to the interview protocol: mindfulness, professional development, goal setting,
conflict resolution processes, empathy, and accountability.
Cultural Model Influences
Promoting accountability: Taking onus and developing corrective plans of action. It
is important for leadership to take onus and develop corrective plans of action to support the
implementation of effective communication strategies. The NYAC team supports the application
of the strategic planning process throughout the year and via all levels of the organization with
effective communication practices. As previously mentioned, the leadership team supports the
assertion that EI communication strategies empower all levels of leadership to be accountable
and accessible. “Kevin” stated the following:
The strategic plan is basically what we say we’re going to do as an organization and as an
executive, you need to know what I’m doing. I want to be held accountable as everyone
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else….The strategic planning committee is made of board members, not the executive
team. This is accountability 101 here.
Moreover, there are cultural model influences for accountability exhibited throughout NYAC
with transparent communication. In reference to the strategic plan working document, “Matt”
also stated:
It's in plain language. That’s where you want to be in accountability…. I want leadership
who loves this because they support their mission. I’ll give a copy of the strategic plan
out to everyone THAT is accountability. Next year we will give out a strategic plan to all
of our stakeholders to say where we are and where we want to be.
Bolman and Deal (2010) assert that teams who exhibit high performance have an
elevated team and individual accountability. Subsequently, the responses and observed
interactions from NYAC’s leadership indicates an understanding how to harness EI and efficacy
by using transparent communication practices. For example, during board meetings where parent
and executive leadership members are present, laymen’s terms are used along with a personal
connection to clarify priorities within the agency such as increasing personal capital.
Additionally, Kathy stated that her open-door policy includes taking notes based on what her
supervisees need and following up quickly to maintain her personal and professional
accountability and promote action. Another prominent example of accountability at NYAC
contributing to corrective plans of action is the policy that was designed for the creation of an
employee liaison position at the agency. During the executive team leadership meeting, team
members discussed the creation of a position that was accountable to all departments, thereby
increasing camaraderie, collaboration, and organizational accountability. Other specific policies
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and procedures related to cultural accountability will be discussed in the section that highlights
key components of the strategic working plan document.
Cultural Setting Influences
Universal buy-in of strategic planning to improve employee performance. During the
interviews with upper and mid-level leadership from NYAC, 100% of the participants responded
with clear knowledge of the direction the organization was heading in. Each participant reported
that investing in human capital to increase employee retention is an agency priority. An emphasis
on effective communication practices was reflected when participants responded knowledgeably
about the strategic planning process and increasing organizational focus on productive
interactions between departments. The interview protocol addressed the cultural setting influence
of goal setting with the following question: “Could you describe some of the top goals your
organization has set that focus on employee growth, if any?”
Pettigrew offers a contextualist view on organizational change and posits that internal and
external factors such as structure, corporate culture and political contexts must all be considered
with the implementation of change processes (Gilbert et al., 2015). As such, change should be
viewed as a cyclical process that takes place over time and on different levels (Rueda, 2011).
NYAC shows understanding of change being a cyclical process as it uses a working strategic
plan document as a tool to facilitate change. Management is required to report monthly on the
progress of goals related to the strategic plan and there are quarterly meetings to track the
progress of goal achievement as well.
According to Pollanen, Abdel-Maksoud, Elbanna, and Mahama, (2017), strategic
planning is important in creating measurable objectives, facilitating the alignment of managerial
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decisions with organizational goals and enhancing organizational performance. Effective
strategic planning processes are comprised of control and feedback procedures that facilitate
understanding of the issues (Pollanen, Abdel-Maksoud, Elbanna, & Mahama, 2017).
Emotionally intelligent (EI) communication practices are key to valuable strategic planning
processes. The recommendation is that NYAC continue implementing the working strategic plan
and utilizing outside consultants to advise their board of directors and executive leadership team
on utilizing emotional intelligence to increase employee retention. Figure 4 below reflects
categorization of the major themes derived from participant responses related to emotionally
intelligent (EI) communication and the cultural setting influence of goal setting and strategic
planning. Figure 4 below represents the central thesis echoed by participants as having goals for
employee growth. The boxes in Figure 4 represent different ideals that are emotionally intelligent
and directed towards achieving the goals for employee growth.

Figure 4. Participant Responses Related to Top Organization Goals.

Goals for
Employee
Growth
Employ Empathy to
Build & Sustain
Relationships
Use Clear
Directives, Avoid
Communication
Lapses
Integrate modeling
effective
communication
practices into
leadership style
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Effective communication practices: Organizational mission alignment and role
modeling. The second cultural setting influence probed for is the alignment with the
organizational mission. As mentioned in Chapter One, NYAC’s organizational mission is
centered on a quality of life focus that promotes excellence in programming and community
partnerships through growth, advocacy, and collaboration amongst staff. During observations,
each member of the NYAC leadership team demonstrated proficiency in aligning employee
expectations with the organization to foster a shared vision. When leadership meetings were
held, each member placed emphasis on the needs of individual departments while collaborating
on the need for NYAC to increase human capital. Each department head was able to tout that
NYAC is focused on a promoting the best quality of life for the staff and population served.
Leaders also stated that they believed that they are responsible for reigning supervisees back in
and promoting collaboration to support the organizational mission and vision.
The tie into EI communication practices, employee expectations, and the organization
mission was also evident during the professional development seminar on communication styles.
During the professional development training, members of upper and middle level leadership
took a test to determine their communication styles. The profiles were revealed at the beginning
of the training. Leadership team members were then moved from the comfort of the tables with
familiar peers from the same department to those in other departments who tested with similar
communication styles. In these stylized groups, NYAC leadership practiced a deeper
understanding of their communication styles, while cross communicating to better understand
different styles of communication as well. The final phase of the emotionally intelligent
communication training consisted of NYAC leadership team members collectively mentioning
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key areas to focus on in order to better serve their supervisees within the organization. Figure 5
below illustrates the strategic initiative action steps documented for effective communication
strategies geared towards increasing employee retention.

Figure 5. NYAC Leadership Areas of Focus for Efficacy in Communication.

Data informed
decisions for sustaining
initiatives
Increased collaboration,
involving supervisees on
planning their futures
Efficient resource
utlization
Emotionally Intelligent,
Clear, Concise
Communication
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The interview protocol probed for the aptitude of NYAC leadership to engage in
emotionally intelligent communication practices with questions that asked how employee
concerns are submitted and who addresses employee grievances. Leadership was also asked to
describe how they have personally handled employee conflict; this item was both a knowledge
and organizational influence. Mike stated: “There can be a tremendous amount of conflict. I’ve
dealt with communication lapses and interpersonal conflicts where people weren’t able to
communicate with each other and figure it out. I’m a big believer in water under the bridge. I like
to talk things through, figure out what went wrong, hold people accountable…have everyone tell
me how we can get it right.” In relation to handling conflict, “Mike” placed on the onus on
leadership for navigating conflict with the statement: “If everyone did what they were supposed
to do when they were supposed to do it there wouldn’t be a need for us to be here.”
As mentioned in Chapter One, the alignment of the organizational vision with upper and
mid-level leadership’s communicative style has a direct impact on employee retention (Dill &
Cagle, 2010). The organizational mission is focused on providing a high quality of life for
consumers with a connected, continuous support system for clients through the provision of
quality programs and community partnerships. The interviews revealed an extension of the belief
in a high quality of life to supervisees. “Most of the people who work under me are support
staff….I don’t like to send mixed messages. I give them one directive, a clear directive on what
the vision is and I give them the tools to carry that forward.” Leadership further demonstrated EI
communication and a connection to employee retention by describing an effective pass-down: “I
want to believe that I’m creating something here so that if I’m absent for any amount of time it
will carry on without me. I communicate so that when I’m not here there is a common
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understanding of what needs to get done and we spend a lot of time working through our issues
and towards our goals that way.”
There is an emphasis on using emotionally intelligent communication to help promote a
quality of life in staff in hopes of adding value. “Mike” stated, “I believe it is important to lead
people and help them do better in their lives, not just show up to work….People come here
because they believe in our mission…a lot of employees who have resigned because they can’t
turn down and additional 15,000 a year and summers off apologize when leaving because they
believe in us.” Interview participants provided a 100% response rate to these questions during
the interview and showed a mastered understanding of effective communication practices related
to emotionally intelligent engagement with supervisees. Interviewee responses reflected a
recognition of individuality and the diversification of approaches to handle conflict while
maintaining empathy for some circumstances.
Historical Document Analysis and Survey Findings
The concluding method of data collection for this study was historical document analysis.
Reviewing documentation from NYAC permitted triangulation of the data collected from other
methods and gave way to a deepened understanding of the research topic (McEwan & McEwan,
2003), helped lessen the impact of researcher bias and preserved internal validity (Merriam &
Tisdell, 2016). NYAC’s comprehensive annual reports that included items on organizational
climate, self-reporting on competency, and reporting from families on satisfaction were reviewed
from 2014-2016. This researcher reviewed the annual surveys and strategic planning documents
to determine if effective communication practices are a central focus at NYAC as they move
towards their goal of increasing employee retention. The review also evaluated of traits of
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transformational leadership practices or other leadership approaches that yielded successful
outcomes.
Communication Practices Outlined in the Strategic Plan
Effective communication practices are a heightened focus at NYAC. As previously
mentioned in Chapter Two, emotionally intelligent leadership practices embody communications
that are empathetic and inspirational and inspire improved employee performance. As a
component of transformational leadership, emotional intelligence is concerned with developing
supervisees to their fullest potential while improving performance outcomes (Northouse, 2013).
As such, communication is a critical piece of the social architecture that shapes the values and
direction of the organization. Dinesh, Given, and Forcier (2016) posit that effective
communication practices are part of critical knowledge areas that promote a harmonious,
collaborative work environment. NYAC exemplifies an understanding of this knowledge area by
focusing on communication as primary targets in the strategic planning process. In order to
increase employee retention, NYAC deems it necessary to exercise efficacy in communication
on several levels both inside and outside of the organization to include: board members, teaching
hospitals, families served, and all levels of staff. An overview of key communication strategies
presented in the strategic plan is presented in Figure 6 below which represents emotionally
intelligent communication strategies highlighted in the working strategic plan.

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Figure 6. Key Communication Strategies.
Further support of efficacy in communication by NYAC was found in their annual survey
wherein the following questions have been asked and monitored for the past three years: “I am
kept well informed about plans and progress,” “I am kept up to date with news and issues that
affect my job,” “I am asked for my input and/or ideas when important decisions are made that
affect my work,” and “Concerns between individuals are resolved in a respectful manner.”
NYAC scored exceptionally high in each of these areas indicating prowess in EI communication
practices. NYAC has consistently improved on pre-existing high percentages over the years,
which signifies that efforts towards using effective communication practices are being utilized
effectively. Scoring from NYAC’s annual survey has been over 75% in each of the four
communication items reflected in Figure 7 below. Figure 7 shows the items and scoring
percentages specifically related to the effectiveness of communication utilized at NYAC.

EI Communication Tactics
Ongoing focus on
productive inter/intra-
department
interactions
Generative discussions
with board &
management to
reflect on staff
challenges &
innovative solutions
Continue to
systemically develop,
refine, & implement
best practices to
foster teambuilding &
collaboration
Increase and
distribution of
effective
communication
through technology
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Figure 7. Communication Items from Annual Survey.
Analysis of documented leadership effectiveness initiatives for employee retention.
As mentioned in Chapter 1, stalwart leadership is vital in non-profit HSOs in order to have a
positive impact on employee retention (Siddiqui & Hassan, 2013). Leaders with EI who embody
a transformational approach are well-informed, effectively articulate a shared vision, cultivate
collaboration, and promote a nurturing work environment that works towards shaping a shared
meaning while contributing to the greater common good (Northouse, 2013). In the working
strategic plan document, NYAC has implemented the action steps of enriching collaboration by
assigning multiple management departments (children and adult) to review screening processes
for staff to ensure efficiency and effectiveness. Additionally, leadership roles are being expanded
to assist with effective recruitment and onboarding of supervisees. NYAC has executed the
initiative to evaluate, diversity, expand, and maximize business operations through formidable
communication practices and leadership geared towards uniting efforts behind the organizational
vision.
0
20
40
60
80
100
Informed about plans &
progress
Up to date about news
and issues that affect job
Asked for input or ideas
when important decisions
are made that affect my
work
Concerns b/t individuals
resolved respectfully
Communication Survey Items
2014 2015 2016
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In addition to the strategic planning document, leadership effectiveness was also
addressed in the annual survey, with consistently high ratings in the areas of leadership from
2014-2016. Items were measured on a Likert Scale of 1-4 using values of Strongly Disagree,
Disagree, Agree, and Strongly Agree, the Agree and Strongly Agree. There were two central
items from the annual survey that specifically focused on leadership effectiveness. The first item
asked respondents if they felt they were being managed effectively. Results showed that
respondents scored 81.9% (2014), 84.8% (2015), and 85.5% (2016) positively with an average of
84.1%, as indicated by the selection of Agree or Strongly Agree. The second item asked if
respondents believed that leadership was well informed about staff concerns and issues.
Respondents had positive scores of 77.5% (2014), 80.1% (2015), and 81.3% (2016), with an
average of 79.6% in this area.
MLQ 5x Short Form for evaluation of transformational leadership factors. As
mentioned in Chapter 1 and elaborated upon in Chapter Two, emotional intelligence (EI) is a
component of transformational leadership. People who exhibit transformational leadership traits
are often effective communicators, motivators, and nurturers who instill supporting the greater
good over one’s self-interests in their supervisees (Northouse, 2013). Therefore, this researcher
asserts that the transformational leadership approach is more effective for non-profit HSOs and
the MLQ 5x Short Form was administered to NYAC leadership to evaluate the types of
leadership styles to determine which leadership approaches were prevalent.
The MLQ 5x Short Form is a questionnaire that has developed by Aviolo and Bass
(2004) to highlight the leadership traits that are suggested to be related to positive effectiveness
outcomes. The MLQ 5x Short Form covers several styles from the Full Range of Leadership
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model. It uses self-reporting and rater forms to measure a leader’s behavior in seven areas:
individualized consideration (IC), idealized influence (Attributes-IA; Behaviors-IB),
inspirational motivation (IM), intellectual stimulation (IS), contingent reward, management-by-
exception, and laissez-faire (Northouse, 2013). Charisma, motivation, individualized
consideration, intellectual stimulation, and contingent reward are believed to be the most
important factors related to positive effects (Bass & Aviolo, 2004; Bryman 1992 as cited in
Northouse, 2013). The categories of individualized consideration and motivation are “most
indicative of strong transformational leadership” when there are high scores (Northouse, 2013, p.
214). A summary of the transformational leadership style traits, examples present in NYAC
based on their scores, and the results from NYAC participants are presented in Table H.
Transformational leadership style traits and categories in the MLQ 5x Short Form.
The IB questions identify leaders who act with integrity and present with positive behaviors of
consciousness, self-correction, self-efficiency, high moral judgment, and optimism;
subsequently, they focus on leadership’s ability to communicate their most important values and
beliefs, the importance of a collective sense of mission, and seeking different perspectives for
problem-solving (Aviolo & Bass, 2004). The results from the rater form for the MLQ 5x Short
Form, where the CEO of NYAC was rated by the executive leadership team on leadership style,
indicate that the top level of leadership frequently engages in behaviors characteristically
attributed to a transformational leadership approach. The results in the table below show the
average score among respondents on the rater form. NYAC leadership participants also answered
questions based on their leadership style via a self-reporting form.

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Table I
MLQ 5x Short Form Rater Results for Transformational Leadership Qualities

Transformational
Leadership
Trait/Survey Item
Sample
Questionnaire
Item
Application of Trait NYAC
Average Score
(Scale 1-4)
Idealized Influence-
Behaviors (IB)
“Specifies the
importance of
having a strong
sense of
purpose.”
▪ Emphasis on
importance of
collective mission
▪ Specifies importance
of having a strong
sense of purpose
▪ Talks about most
important values and
beliefs
3.43
Individualized
Consideration (IC)
“Considers me as
having different
needs, abilities,
and aspirations
from others.”
Treats supervisees as
individuals, rather than a
group member
3.42
Inspirational
Motivation (IM)
“Talks
enthusiastically
about what needs
to be
accomplished.”
Talks enthusiastically
about what needs to be
accomplished.

3.83
Intellectual
Stimulation (IS)
“Re-examines
critical
assumptions to
determine
whether they are
appropriate.”
Seeking differing
perspectives for problem-
solving.

Promotes innovative
thinking
3.01
Idealized Influence-
Attributed (IA)
“Instills pride in
me for being
associated with
him/her.”
Acts in ways that build
respect
3.54
Leadership
Outcome:
Effectiveness
“Is effective
meeting my job-
related needs.”
Leads a group effectively 3.90
Leadership
Outcome:
Satisfaction
“Works with me
in a satisfactory
way.”
Works with supervisees
in a satisfactory way
3.42
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Staff Retention
Employee retention is a crucial focus in non-profit HSOs. As mentioned in Chapter 1, the
work environment and leadership are strong factors that contribute to employee retention (Arnetz
& Hasson, 2007; Lapane & Hughes, 2007; Pennington et al., 2003 as cited in Brown et al, 2013).
Also stated in Chapter 1, research posits that annual turnover rates in non-profit HSOs can have
related costs of over $4 billion dollars with employee turnover percentages that range from 45-
400% (Harris-Kojetin, Lipson, Fielding, Kiefer, & Stone, 2004; Pennington et al., 2003 as cited
in Brown, Redfern, Bressler, Swicegood, & Molnar, 2013). A review of the working strategic
plan document for NYAC showed numerous initiatives and action steps that are developed,
refined, continuously practiced and planned around the shared organizational goal of increasing
employee retention rates. NYAC has a strategic initiative titled “Invest in our Human Capital.”
The action steps under this initiative utilize a number of communication methods to use data-
informed analysis in the plan to increase employee retention. Key components of this strategem
are illustrated below in Figure 8 wherein the primary initiatives for increasing employee
retention are shown with the corresponding action steps under the working strategic plan.
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Figure 8. Action Steps for the NYAC Strategic Plan Initiative “Invest in Human Capital.”
In comparison to the national turnover rates mentioned above, NYAC has a very low rate
of employee turnover. The 2014-2016 annual survey items show the percentage of staff turnover
has been an average of 17% over the past three years. Conversely, staff satisfaction is reportedly
high, over 80% for each year of the annual survey. Staff satisfaction calculations were reported
in a document from the NYAC HR Director and based on measurements from the percentage of
staff who “agree” or “strongly agree” to the following questions on the annual USPEQ survey:
▪ I am asked for my input and/or ideas when important decisions are made that affect my
work.
▪ I believe there is good communication in my department.
▪ Overall, I am satisfied with my manager.
▪ I have the information and resources that I need to do my job properly.
▪ I am paid fairly for the work that I do at ACA.
▪ Taking everything into account, I believe that ACA is a great place to work
Analyze existing turnover data from exit
interviews, staff surveys, and annual report
data
Continuously monitor current climate and
gain supervisee input via focus groups and
town hall style forums
Executive leadership team and the
Foundation Board of Directors collaborate
to develop an endowment for recruitment
and retention of staff
Intensify staff recognition and appreciation
with incentivized organization awards and
a new privately sponsored "Staff Excellence
Award"
Strengthen Staff
Retention
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Figure 9. NYAC Turnover and Employee Satisfaction Percentages.

In addition to the findings depicted above, the annual survey projects that NYAC is on track to
increase its employee retention by 29.4% over the next two years. This estimate is based on the
number of employees who have been with the organization for at least three years who are
poised to continue employment for at least the next two years based on satisfaction rates. Using
this projection, NYAC will slightly exceed its goal of increasing employee retention by 25% (as
mentioned in Chapter 1). Figure 10 below illustrates the number of years individuals have been
employed at NYAC based on percentages reported out from the NYAC annual in-house survey.

19.9
16.4
15.3
83
82
83
Turnover 2014 Turnover 2015 Turnover 2016
Employee Satisfaction Percentage
Employee Turnover Percentage
NYAC EMPLOYEE TURNOVER VS.
SATISFACTION
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Figure 10. Length of Employment for NYAC Staff.
Synthesis of Knowledge, Motivation and Organizational Findings
Findings from this study suggest that management qualities with a prevalence of EI
communication practices and a transformational leadership approach yield effective results for
increased employee retention. The findings are in accordance with research that states leadership
should adopt effective communication strategies that foster an empathetic work environment to
increase employee retention in non-profit HSOs (Cho & Dansereau, 2010). Although the
interviews yielded different responses in how to accomplish increasing employee retention, it
was clear that NYAC’s mission and values were in alignment with the leadership ideals of upper
and middle-level management with shared goals of increasing retention with emotionally
intelligent practices such as: “Training the Trainer,” creating ongoing professional development
opportunities at all levels; “Investing in Human Capital,” creating an empathetic organizational
culture; and “Resting on the C.O.T.” (Centralized Open Transparent) communication practices.
The members of NYAC upper and mid-level leadership demonstrate an in depth
understanding of the knowledge, motivational, and organizational (KMO) influences connected
10+ years
27%
7-10 years
15%
4-6 years
18%
1-3 years
40%
Time with NYAC
10+ years
7-10 years
4-6 years
1-3 years
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to effective communication practices. Proficiency in exercising the KMO influences connected
to increasing employee retention with EI communication practices was revealed through
interviews, observations, and documents collected from NYAC. Investing in human capital was
interwoven into many interview responses and is present in the ongoing efforts and initiatives at
NYAC, as evidenced in the working strategic plan document, effective communication training
for leadership, and the value placed on supervisee input and relationships. Additionally, NYAC
expanded effective communication practices to the community and policies within the
organizational structure in order to sustain high rates of employee satisfaction and lower turnover
rates (Dill & Cagle, 2010). Continued use of emotionally intelligent communication practices
will further NYAC leadership’s confidence and ability to cultivate a work environment fortified
with expectations and value that encourages positive employee outcomes.

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Chapter Five: Recommendations for Sustaining Success
This research study served to evaluate the influences connected to achieving the
stakeholder goal of increasing employee retention rates by 25%. In Chapter Four, the implicit
influences were reviewed through an analysis of qualitative and quantitative data. Challenges
related to the stakeholders’ knowledge, motivation, and organizational influences were
identified. Results and findings identified consistent, systemic application of emotionally
intelligent leadership practices with a shared organizational vision of increasing employee
retention. Subsequently, these findings were used to inform the recommendations for practice,
which will be discussed in this study. The recommendations for practice in this study are geared
towards strengthening the practices currently utilized by NYAC, based on the data collected and
presented in Chapter Four.
This chapter addresses the second and final research question: What are some
recommended solutions to use emotional intelligence to increase employee retention rates?
Recommendations for knowledge, motivational, and organizational solutions are presented in
accordance with Clark and Estes (2008) gap analysis and the KMO framework. The
recommendations are followed by the New World Kirkpatrick’s Model of integrated
implementation and evaluation plan for solutions (Kirkpatrick & Kirkpatrick 2016). The
presented recommendations are specific to NYAC. The supporting literature for these
recommendations and solutions serves to illustrate a possible application to other organizations
for future implications outside of this research study.

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Knowledge Recommendations
The following knowledge influences are based on the results and findings from the data
collection discussed in Chapter Four. The recommended knowledge influences are constructed
from the traits that were most frequently mentioned and related to achieving the stakeholders’
goal of increasing employee retention. These knowledge influences were validated in Chapter
Four through a triangulation of data collection methods that included semi-structured, informal
interviews; observations; and support from the literature review. As previously mentioned in
Chapter Two and Chapter Four, there are four types of knowledge influences: declarative
conceptual (understanding impact of EI communication and collaboration), declarative factual
(details of investing in human capital), procedural (systemic application of EI through
professional development), and metacognitive (leadership’s self-awareness of communicative
abilities). Table I also shows the recommendations for these highly probably influences based on
theoretical principles.
Declarative knowledge solutions: Investing in human capital. Clark and Estes (2008)
state that declarative knowledge about something is often necessary to know before applying it to
identify for accuracy and completeness. In Chapter Two, the contention that leadership should
model understanding of individualized consideration, empathy, and the importance of promoting
a caring atmosphere for employees as the organization’s most valued capital asset/resource was
introduced. Results and findings from Chapter Four revealed that NYAC leadership was
proficient in investing in human capital by treating employees as individuals, exercising
empathy, and promoting a caring work environment. This knowledge influence was evident in
the interviews and observations, as well as documented in the working strategic plan.
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Recommendation 1: Professional development that supports EI communication
practices. In conjunction with producing a more caring atmosphere for employees, Dinesh and
Fornier (2016) posit that effective, collaborative communication practices in an organization are
critical knowledge areas that foster a better work environment. In order to obtain the skillset
necessary to foster an EI work environment, it is prudent for leadership to engage in professional
development practices that edify how to model empathetic, efficient communicative behaviors.
Acquiring the declarative factual knowledge skills necessary to support EI communication
practices through professional development permits NYAC leadership to set an example for
supervisees.
Benjamin (2008) suggests that employee engagement and morale can decrease if
leadership does not execute knowledge-based practices and effectively communicate or model
actions that show a strong investment in employees. After modeling the necessary skills obtained
from professional development training, leadership is able to distribute information necessary to
help employees succeed in the work environment. Clark and Estes (2008) recommend providing
information to individuals to equip them with the tools necessary to succeed in a job on their
own. In Chapter Four, NYAC leadership provided responses to interview questions that
described how they engage and interact with employees. Leadership was also observed actively
soliciting input from employees on improving the work environment. Additionally, leadership
participated in a professional development workshop designed to strengthen EI communication
practices. Therefore, leadership can build on utilizing professional development by taking the
information learned and using it to describe ways to engage employees in providing input to
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promote a harmonious work environment. Employing EI communication practices to relay this
information supports the stakeholder goal of increasing employee retention.
Recommendation 2: Reinforce professional development training with job aids. A
concise, declarative knowledge deliverable can be achieved through a job aid that identifies and
defines people, processes, and technology that is relevant to the organization’s mission, values,
and employee roles (Clark & Estes, 2008), which aids in future application and understanding of
EI communicative practices. The job aid serves as further evidence of skills learned through
professional development training. For example, the engagement of supervisees via discussion of
their perception of the impact of communication and team collaboration on employee retention.
The job aid reinforces the trainings and is a tangible item that can be referred to for future
reference with examples of how to model EI communication responses. NYAC currently has
several brochures that outline the expected job roles and opportunities to receive pay increases
through the Learn to Earn program. NYAC also provided participants with a reference guide
following the DISC training to refine EI communication practices. It is recommended that
NYAC continue using the use of job aids and refine them for distribution to specific
departments. A reference guide should be made available to participants following all
professional development trainings. The provision of the reference guide serves to reinforce the
principles learned during the trainings. The guide can also be used a training tool for incoming
staff, staff members who were unable to attend the training, and staff members who need a
refresher.
Procedural knowledge solutions: Systemic application of emotional intelligence (EI).
Exercising procedural knowledge denotes an increase in education that can support knowledge
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and skills necessary for the development of future strategies to mitigate challenges and issues
(Clark & Estes, 2008). According to Hung, Hsu, Chen, and Kishuk (2015), culture, activity, and
situational learning are facets of procedural knowledge. Effectively modeling and applying the
contexts of procedural knowledge can improve performance. In this case, context and situational
learning refer to leadership’s application and learning on effective communication practices.
Hung, Hsu, Chen, and Kishuk (2015) conducted a study on different methods of communication
through situational learning and how embodiment-based learning can improve procedural
knowledge construction within an organization. It is important that leadership be able to apply
EI communication practices throughout several levels of the organization.
Recommendation 3: Research and plan for ongoing professional development. As
discussed in Chapter Four, NYAC leadership was observed engaging in professional
development opportunities centered on effective internal and external communications.
Therefore, the recommendation is that NYAC research and schedule additional trainings related
to emotionally intelligent communication practices, specifically focusing on how to deliver with
consistent, constructive feedback, conflict resolution, and fostering a positive
supervisor/supervisee relationship. It is recommended that professional development trainings
continue in order to sustain emotionally intelligent communicative practices with supervisees
throughout the organization. Ongoing professional development trainings support the stakeholder
goal of increasing employee retention as attendees learn how to model emotionally intelligent
communication skills. Modeling actions that show a strong investment in employees has been
linked to increasing employee morale (Benjamin, 2008).
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Metacognitive knowledge solutions: Self-awareness of EI communication abilities.
Metacognition is a key factor in performance that should be deliberately calculated since
metacognitive awareness and control can improve learning (Baker, 2009). Leadership can assess
their own abilities to communicate by modeling self-reflection skills and engaging in assessing
strengths/weaknesses in communicative efficacy. Additionally, metacognition can be practiced
by processing common and upcoming communications aloud (verbalizing), thinking through
communications or utilizing journaling processes.
Recommendation 4: Research ways to improve metacognition. Clark and Estes (2008)
posit that improving metacognitive knowledge allows leadership to gauge the current skill set
and demonstrate support of a solution oriented-focus to fix the current system. Therefore, it is
important for leadership to engage in self-reflection. In Chapter Four, NYAC leadership was
observed engaging in self-reflection following an emotionally intelligent communication
training. Respondents also shared individual reflective practices utilized during the interview.
The recommendation is for leadership to undergo training to strengthen and further enhance
engagement in metacognitive activities. Examples of putting this recommendation into action
include having leadership model self-reflection skills through brown bag forums and journaling
processes.
Motivation Recommendations
Clark and Estes (2008) posit that choice, persistence, and mental effort are three key
indicators of motivation in task performance. Subsequently, choice is the action that proceeds
intention to initiate something; whereas persistence is the ongoing pursuit of a goal despite
distractions or obstacles. Mental effort is the application and pursuit of new knowledge to solve a
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new program or task. As mentioned in Chapter Four, during the stages of data collection,
expectancy value was the most frequent motivational influence referenced for this study.
Expectancy value theory combines the strong predictors of persistence, mental effort and
performance with active choice by having the individual internally assess one’s ability and desire
to do the task (Eccles, 2009). Eccles (2009) further states that expectancy value theory is based
on rationales regarding the importance and utility value of the work or learning. As mentioned in
Chapter Four, when interviewed, NYAC leadership had a 100% response rate for motivational
influences and articulated the importance of placing value on employee relationships.
Recommendation 5: Employee liaison to promote EI conflict resolution. Management
can shift the culture of motivation and increase employee retention within an organization by
employing a transformational leadership approach wherein they act as role models for EI
communications (Velasquez, Andre, Thomas Shanks, & Meyer, 2011). Observations and
document analysis yielded evidence that NYAC leadership added value to employees by
inquiring about individuals’ values and interests, providing opportunities for choice and control,
and maintaining relatively accurate, but high expectations and perceptions of competence.
NYAC leadership avoids illusions of incompetence by providing effective feedback
(based on information from the in-house survey), and focusing education and instruction on
increasing performance (viewed during professional development observations and outlined as
an initiative in the strategic plan). The recommendation for NYAC is to increase the value added
to employees by hiring an additional employee liaison or ombudsman. As mentioned in Chapter
Four, this position would be solely dedicated to having a person listen to employee concerns and
respond to them in a timely fashion; thereby providing empathy, individualized consideration,
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and conflict resolution. This recommendation builds on the existing employee liaison position
mentioned during interviews in Chapter Four. People approach tasks related to the achievement
of goals based on how they perceive their ability and competency level (Stavrou, et al., 2015).
By adding to the safe space where employees are allowed to express themselves, there will be
more focus allotted for the tasks at hand and increased confidence in abilities to complete the
tasks, which contributes to the overall stakeholder goal of increasing employee retention.
Organization Recommendations
The most commonly mentioned organization influences related to achieving the
stakeholders’ goals of increasing employee retention using emotionally intelligent
communication practices are discussed in this section. Clark and Estes (2008) infer that a lack of
resources (often time and money) along with misalignment of the organization’s mission and
values can result in stakeholder goals not being achieved. Gallimore and Goldenberg (2001)
propose two constructs about culture: cultural models or the observable beliefs and values shared
by individuals in groups, and cultural settings the environment in which performance occurs.
Clark and Estes (2008) further posit that many documented failures in organizational change
initiatives are a result of business processes and goals not being aligned. Contrary to this
conjecture, the data results and findings in this study presented concrete evidence that NYAC
employees have a shared vision and their values align with the organizational mission. The
shared vision was indicated in responses from the annual in-house survey interview responses,
and the working strategic plan referenced in Chapter Four.
Recommendation 6: Embedded departmental supports foster cultural accountability.
Rummler and Brach (1995), as cited in Clark and Estes (2008) illustrate how an organization
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should be mapped in order to ensure they have accountable resources and tested processes to
produce deliverables. Corrective plans of action and onus result in a culture of accountability
within the organization. As mentioned in Chapter Four, NYAC leadership maintains
accountability by engaging in transparent EI communication practices, such as having an open-
door policy, using laymen’s terms to describe key organizational goals, and a working strategic
plan document that is available for anyone to view. Therefore, the recommendation is that
leadership should continue fostering accountability with current, established supports for
additional “branches” in the organizational hierarchy to continue promoting a cultural setting of
high accountability and effective communication. This recommendation will substantiate the
current usage of emotionally intelligent communication practices and support achievement of the
stakeholder goal. Employee retention rates can be increased as leadership models examples of
counterproductive communication responses to overcome communicative deficits linked to
accountability and demonstrate support of a solution-oriented focus to continuously monitor and
improve the current organizational structure/system.
Recommendation 7: Accountability via policies and procedures. Accountability in
practice was evident through NYAC’s application of policies and procedures outlined in their
working strategic plan. NYAC leadership currently implements emotionally intelligent
accountability by conducting focus groups, interviews, and surveys to obtain baseline data on
employee knowledge of current policies and procedures along with the communication practices
used to convey them. Moreover, emotionally intelligent communication is being practiced at
NYAC with policies that outline corrective action in clear, candid communication and require
input from multiple departments and organizational levels. These behaviors spur trust and
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facilitate commitment to achievement of the stakeholder goal (Clark & Estes, 2008). Therefore,
there is a recommendation for NYAC leadership to continue current efforts and conduct periodic
reviews of existing policies and procedures for guidelines on effective communication practices.
Recommendation 8: Utilize strategic planning to improve performance. Effective goal
setting and strategic planning result in increased work performance and better outcomes from
supervisees. Clark and Estes (2008) state that organizational performance increases when top-
level management is continually involved in the improvement process; therefore, it is important
for leadership to have knowledge of effective strategic planning and employee motivation
processes. NYAC’s strategic plan is treated as a working document that is periodically reviewed
and progress is tracked throughout the year. NYAC leadership further demonstrates proficiency
in this area by seeking assistance from an external consulting agency to refine and employ the
best strategic goal planning practices. Professional involvement from an outside entity aids with
transparency in policy review and procedural implementation (Gilbert, Denis, Lamothe,
Beaulieu, D’amour, & Goudreau, 2015).
Integrated Implementation and Evaluation Plan
Implementation and Evaluation Framework
The implementation and evaluation plan is based on the New World Kirkpatrick Model
(Kirkpatrick & Kirkpatrick, 2016), which is based on the original Kirkpatrick Four Level Model
of Evaluation (Kirkpatrick & Kirkpatrick, 2006). This model is based on a three-phased
approach to implement solutions: planning, execution, and demonstration of value.
Subsequently, evaluation occurs across two levels wherein organizational (over individual)
accountability is highlighted and behaviors are a part of the “leading indicators.” According to
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Kirkpatrick and Kirkpatrick (2016), required drivers, such as processes and systems that
encourage critical behaviors on the job are indicative of whether or recommended solutions are
aligned with organizational goals. In addition to required drivers in behaviors, leading indicators
track progress towards achieving the organizational outcome.
The New World Kirkpatrick Model commences with the end in mind, which for the
purposes of this study was achieving the stakeholder goal of increased employee retention. This
“reverse order” of the New World Kirkpatrick Model allows for a sequence of three other
actions: a) first, the development of solution outcomes that focus on assessing work behaviors, b)
next, the identification of indicators that learning occurred during implementation, and c) finally,
the emergence of indicators that organizational members are satisfied with implementation
strategies. The leading indicators are a tool to measure progress towards desired results and
discernment into how emotionally intelligent initiatives align with the achievement of the
stakeholder goal. Leading indicators act as a bridge for recommended solutions to the
organization’s goals that are easier to identify. Designing the implementation and evaluation plan
around leading indicators linked to emotional intelligence forces connections between the
immediate solutions and the larger goal of increased employee retention.
In alignment with the organizational influence of fostering a shared vision to support
increased employee retention, the New World Kirkpatrick model is designed to solicit proximal
“buy in” to ensure success (Kirkpatrick & Kirkpatrick, 2016). The focus on results and combined
strengths of NYAC leadership, the New World Kirkpatrick model provides a formidable
framework that highlights solutions are tools for refining the current initiatives NYAC is using to
use emotional intelligence to increase employee retention. The Kirkpatrick model described
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below will identify additional methods NYAC can use that have an increased likelihood of
acquiring stakeholder investment and attaining the goal of increasing employee retention.
Organizational Purpose, Need and Expectations
New York Autism Center (NYAC) currently has an employee turnover percentage rate
with an average of 17% over the past three years (per Chapter Four). This is far better than the
average rate of turnover in non-profit HSOs, which research purports is 45%-400% (per Chapter
Two). NYAC leadership seeks to further reduce its employee turnover rate to 10% or below;
thus, the organizational goal is to increase employee retention by 25%.
NYAC leadership cites difficulty retaining employees can arise from a myriad of factors
that include environment, lack of funding, resource limitations, and leadership styles. NYAC
leadership mentioned an inability to compete with salary and benefit structures offered from for-
profit and private sector competitors as one of the prevailing factors for the current employee
retention rates. To offset these deterrents, NYAC has employed innovative motivational and
organizational strategies such as ongoing professional development opportunities, educational
opportunities, reimbursement and other financial incentives.
NYAC has a mission to meet the escalating needs of individuals with autism in the
community by providing quality programs and services. The organizational mission is to
enhance the quality of life for all individuals and families served and provide unique
opportunities to employees with “Lifelong Learning” service options. The stakeholder goal of
increasing employee retention supports the organizational mission to enhance the quality of life
for all individuals and families served because employee retention is correlated to direct care
service delivery (as mentioned in Chapter 1). Additionally, increased employee retention will
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support the latter half of the organizational mission to foster lifelong learning amongst its
employees. This project examined the knowledge and skills, motivational, and organizational
barriers that lead to employee turnover within the organization. The proposed solution, is for
NYAC to stay the course and continuously refine, and enhance the EI communication skills
presently modeled by leadership. The aforementioned recommendations will assist in
strengthening the knowledge, motivational, and organizational influences necessary for applying
EI practices to support to the goal of increased employee retention. Emotionally intelligent
strategies in policy and best practice applications (referenced in interviews and outlined in the
strategic planning processes) that place a greater value on human capital to bolster employee
retention rates include: professional development training, improved benefit structure, and
improved relationship within the community.
Level 4: Results and Leading Indicators
Table I shows the proposed Level 4: Results and Leading Indicators in the form of
outcomes, metrics and methods for both external and internal outcomes for NYAC. If the
internal outcomes are met as expected due to the training and organizational support for
incoming leadership, then the external outcomes should also be realized. Fulfillment of both the
internal and external outcomes below are indicative of a high level of job performance at NYAC.
The following table proposes improvements to outcomes currently in place at NYAC.

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Table J
Outcomes, Metrics, and Methods for External and Internal Outcomes
Outcome Metric(s) Method(s)
External Outcomes
1. Improved relationship with
community partnership based
on positive
interactions/perception.
The number of positive
mentions and established
relationships with community
partners.
Review buzz generated in
local papers, blogs, award
nominations and
participation in community
sponsored events
2. Improved relationship with
NASW and participating
partners to offset funding for
qualified full-time employees.

The number of contracts
acquired with colleges and
universities that provide
MSW and similar field
students as contractually
bound employees for a 2 yr
minimum.
Request and pay fee for a
contract (method) with
NASW, recruit full-time
employees at zero or little
cost from internship
opportunities stemming
from community
relationships and NASW.
Internal Outcomes
3. Improved benefit structure
for full-time employees
The amount of benefits
available to employees, i.e.
telecommute, FSA/HSA
Solicit data from employees
to gauge feelings re:
benefits.
Solicit data from HR re:
utilization.
4. Increase the number of
employees who remain with
the organization for a
minimum of 4 years.
The number of employees
gainfully employed with the
company at or post 4 years
Solicit data from HR,
consistently conduct exit
interviews to compare
retention rates.
5. Decrease time and resources
to recruit, hire, and retain new
employees
The number of steps required
to vet a new employee, cross
check qualifications, and
provide education to
supplement for on the job
training
Aggregate data on retention
rates and length of
employment from HR and
students who transition
from intern to full-time
employee under NASW
contract.
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6. Increased, sustained
effective communication
across all departments.
The number of concerns
reported from employees,
observations to report on
relationships.
Aggregate data (Level 3.1)
from team leads and
reviewers (self-report and
supervisor confirmation
collected via survey)
7. Sustained employee
confidence/ satisfaction
7a. Results on key questions.

7b. Positive/negative
feedback from supervisors
7a. Compare annual survey
results.

7b. Set aside regular times
for 1:1 conversations (“Pull
up a chair,”) between new
reviewers and supervisors.

8. Effective communication
between leadership and
supervisees.
8a. Decreased complaints re:
leadership style and
organizational
communicative practices.

8b. Employees feel safe
venting concerns and
frustrations, as well as
making suggestions for
improvement.
8a. Quarterly “state of the
union” check in with ALL
employees re: direction of
the company and goals.

8b. HR will establish a
formal policy detailing how
employee concerns are
expressed and who is
responsible for addressing
them. (Tracking creation of
a system)

Level 3: Behavior
Critical behaviors. As previously mentioned, the stakeholder group consists of upper
and middle level management at NYAC. The first critical behavior is that leadership should
correctly identify applicants who are more focused on being rewarded intrinsically, rather than
monetarily or other short-term gains during the interview and hiring process. NYAC is currently
taking action on this behavior by having an extensive orientation session, two-week training, and
a post-hire survey after 90 days, then periodically afterwards to ensure intrinsic rewards are a
primary motivating factor for employees. The second critical behavior is that NYAC must
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identify potential leads that reduce hiring costs and garner increased retention such as identifying
National Association of Social Workers (NASW) linkage and giving priorities to interns who are
contractually bound to the NASW. NYAC has taken action on this behavior by identifying it as
an area for future practice in the strategic working plan document. The third critical behavior is
that upper and middle management should correctly model and identify effective communication
practices in order to foster increased positive employee engagement. This behavior has been
enacted by NYAC through the professional development training on emotionally intelligent
communication that was attended by upper and mid-level leadership (observed and referenced in
Chapter Four). The specific metrics, methods, and timing for each of these outcome behaviors
appears in Table J.
Table J
Critical Behaviors, Metrics, Methods, and Timing for New Reviewers
Critical Behavior Metric(s) Method(s) Timing
1. Correctly identify
applicants who are
not looking for
monetary gains or
short-term
employment during
the interview
process.
The number of
flagged applications.
The immediate supervisor
will vet employee
experience and intentions
with HR to the greatest
extent possible.
1a. During the
interview process.
1b. During the 2
week post-hire
orientation
process.
1c. After the first
90 days of
reviewer’s
employment.
1c. Quarterly
afterwards, so
long as previously
successful.
2. Identify
applicants with
NASW linkage and
The number of
NASW Title IV
Stipend recipients in
2a. HR shall track (and
recruit where possible)
these applicants via a
During
recruitment and
applicant
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internship
experience and give
them priority.
the application pool. tracking system and
recommendations from
university affiliates.

2b. Team lead shall
assign a mentor to ensure
employees have adequate
training and guidance
while adjusting to the
new work environment
and understand
compliance with Stipend
stipulations.
selection process.
(Should be
completed prior to
finalizing hiring
process of the
employees.)

2b. Assigned
mentor will report
to the Team Lead
and NASW
affiliate monthly.
3 Correctly identify
effective
communication
practices
3a. The number of
methods utilized to
engage employees,
i.e. email blasts,
company newsletters,
in person
communication 1:1 or
small group settings,
and so on.
3a. Leadership shall
monitor communication
practices by seeking tips
for improvement from
supervisees.

3a. During the
two-week
onboarding
process.

3aa. Monthly
during the first 90
days of reviewer’s
employment and
quarterly
increments
thereafter.
3b. The number of
professional, relevant
opinions that are
freely voiced during
organizational
leadership meetings.
3b. Leadership shall
engage in reflective
practices to enhance their
communication such as
self-review via journaling
or reporting to peers.
3b. Ongoing--
Every 90 days.
3c. The number of
teambuilding
activities and
workshops that are
held.
3c. Leadership shall
engage in professional
development focused on
effective communication
practices.
3c. Ongoing--
Every 90 days.

Required drivers. According to Kirkpatrick and Kirkpatrick (2016), behaviors are a
critical component because training alone is insufficient to yield organizational results.
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Therefore, the following set of required drivers, none of which are mutually exclusive are
necessary: encouragement, reinforcement, monitoring systems, and rewards for critical behaviors
(Kirkpatrick & Kirkpatrick, 2016). The aforementioned required drivers should be used as an
integrated package in order for the organization to continue to provide support and accountability
for EI communication practices learned during professional development. Additionally, rewards
should be established for the achievement of performance goals to encourage continuing the
process of utilizing EI to increase employee retention.
There is a large onus on upper and mid-level leadership to perform the required drivers;
however, some can be carried out by supervisees. Required drivers that are printed materials can
be directly handled by both supervisees and management. Subsequently, application of the
concepts learned in training is an indirect means to perform the required drivers. Table K shows
the recommended drivers to support critical behaviors of upper and mid-level leadership within
the organization. NYAC leadership currently exhibits these drivers; therefore, the recommended
drivers would be beneficial in training new, incoming management and to formulate objectives
for future sustainability of current successful leadership practices.
Table K
Required Drivers to Support New Reviewers’ Critical Behaviors
Method(s) Timing Critical
Behaviors
Supported 1, 2, 3,
Etc.
Reinforcing
Job Aid including glossary of core competencies and
communication styles.

Ongoing
1, 2, 3
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Job Aid including checklist for application contents and
details of different programs.

Ongoing
1, 2, 3
Leadership meetings with new and experienced reviewers
to establish goals and time frames

Monthly
1, 2, 3
Team meeting to collaboratively troubleshoot areas of
concern.

Weekly
1, 2, 3
Team meeting to collaboratively discuss areas where
additional training is needed.

Weekly
1, 2, 3
Encouraging
Collaboration and peer modeling of preferred behaviors
during team meetings.
Weekly 1, 2, 3
Use of varying communication styles during meetings that
show a variance in personality preference for individuals
and a style that encompasses all in group settings or email
blasts (DISC).
Ongoing 1, 2, 3
Provide flexibility in scheduling as an incentive Ongoing 1, 2, 3
Rewarding
Performance incentives through special awards and
recognition.
Quarterly or
project based
1, 2, 3
Public acknowledgement, such as a mention at the “state of
the organization” address, when team performance hits a
benchmark
Quarterly 1, 2, 3
Monitoring
Leadership allotting specific times during meetings to
share success stories
Quarterly 1, 2, 3
Develop retention training as part of leadership training
and leadership practices
Ongoing 1, 2, 3
Leadership will continue to evaluate and modify staff
orientation and increase online training efforts
Ongoing 1, 2, 3
Identify, train and retain valued staff for advancement into Ongoing 1, 2, 3
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leadership positions within the agency

Organizational support. The organization will support the stakeholders’ critical
behaviors by utilizing internal and external forces as accountability checks. Performance will
continue to be monitored for improvement by onsite staff and outside consultants. Knowledge
tests for application of emotionally intelligent communication practices will occur during
discussions and survey items. Additionally, the critical behaviors will be supported through team
building activities designed to encourage collaboration, build trust and model effective
communication practices. After upper and mid-level management has learned these techniques,
there will be a reflective, “teach-back” opportunity at the conclusion of the workshop and an
action plan for disseminating the information to supervisees (Kirkpatrick & Kirkpatrick, 2016).
NYAC leadership currently engages in reflective feedback and survey items at the conclusion of
professional development trainings, as witnessed at the emotionally intelligent communication
training referenced in Chapter Four. Adding the teach back opportunity enhances the
metacognitive knowledge influences and enhance existing communication practices. The
components of learning are reviewed below and include knowledge, skill, attitude, confidence,
and commitment.
Level 2: Learning
Learning goals. Following completion of the recommended solutions with the primary
focus being on emotionally intelligent communication practices, the stakeholders will be able to:
1. Understand and recognize the impact of effective communication on employee retention.
(D)
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2. Recognize the impact of team collaboration of employee retention. (D)
3. Recognize the importance of human capital investment programs and workshops. (D)
4. Correctly apply effective communication practices throughout several levels of the
organization. (P)
5. Engage in ongoing professional development through workshops, in-services and
seminars linked to best practice. (P)
6. Create an appropriate timeline to streamline communication practices (P).
7. Research methods to increase modeling skills, utilize focus groups, and engage in
journaling process for effective communication. (M)
8. Indicate confidence that they can review and apply the communication tactics learned in
professional development workshops. (Confidence)
9. Value relevance and timeliness of emotionally intelligent, effective communication
strategies. (Value)
10. Value the planning and monitoring of their work. (Value)
Program. The learning goals listed in the section above will be achieved through a series
of professional workshops that will occur in quarterly increments. The members of upper and
middle level leadership at NYAC will continue to engage in a series of professional development
workshops focused on emotionally intelligent communication practices. Expanding on the
knowledge and skills acquired during the emotionally intelligent communication training
observed (Chapter Four), future workshops will be accompanied by ongoing asynchronous
learning tools (to supplement the gaps between quarterly professional development workshops)
that explore emotionally intelligent communication practices. The program will be blended
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consisting of quarterly in person trainings and multiple e-learning modules. NYAC is currently
in the pilot phases of an onboarding program that provides education on how to communicate
effectively in the workplace, organizational roles, and periodic reviews of key financial and
policy updates for all staff members. The human resources department at NYAC has started
preparing modules for the onboarding process, while policy and financial changes are provided
in face to face trainings to facilitate understanding, as mentioned during interviews in Chapter
Four.
During the leadership communication training (observed and referenced in Chapter
Four), the attendees were provided with a job aid that included illustrations of communication
scenarios and an index of the various DISC communication styles. The job aid included prompts,
sample scenarios and tips for pertinent communication skills in the future. The job aid also had
an addendum that included a synopsis of key traits related to each communication style and
examples for appropriate dialogue. In addition to the job aid handout and addendum, a reference
booklet was also provided to allow leadership to engage in teaching back and providing
information to their supervisees on emotionally intelligent communication practices.
To further improve their application of emotionally intelligent practices, NYAC can
provide in person workshops with a strong focus on modeling what has been learned, as well as
discussing the value and benefits of applying the materials related to emotionally intelligent
communication practices. In person workshops should be completed during the two-week
onboarding process, then after 90 days of hire and/or acquiring a leadership position. Should an
individual get hired on a date that does not align with a 90-day professional development
workshop, online modules will be provided that can be completed at the participant’s own pace.
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Modules will be provided online with a 1 credit hour each. Participants will complete a test to
verify the materials learned and receive an e-certificate to show completion of each module. The
provision of the online learning modules and education credit align with technology practices
currently being utilized by NYAC to support professional development and educational
incentives that add value to being an employee at NYAC.
During the in person professional development workshops, participants had an
opportunity to engage in interactive demonstrations of applying the EI communication
techniques and information learned in the face to face sessions and small group activities. The
trainers for the professional development workshops will be outside consultants with an area of
expertise in leadership communication styles. The workshop facilitators will provide notepads,
infographics, lesson guides, booklets, and other supplemental learning materials necessary to
provide information and application of the materials learned at the participants’ fingertips. Upon
completing the training, the leadership team will be expected to teach the highlights and
techniques to their supervisees, modifying the material and approach as necessary to suit the
individuals and their respective departments.
Components of learning. It is important to demonstrate declarative knowledge as
precursor to problem solving. Therefore, the Level 2 evaluation for learning both declarative and
procedural knowledge should be conducted to meet the threshold for what is required.
Professional development should be valued as a prerequisite and maintenance tool for applying
newly learned knowledge skills and abilities on the job. However, having confidence in the
acquisition and application of these skills is essential. Subsequently, Table L lists the evaluation
methods and timing for these components of learning measuring the learning goals stated above.
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Table L
Components of Learning for the Program.
Method(s) or Activity(ies) Timing
Declarative Knowledge “I know it.”
Knowledge checks during staff meetings and
orientation.
Verbally at the conclusion of staff
meetings and orientation. May also
be done asynchronously via written
or online survey.
Knowledge checks through discussions, “pair, think,
share” and other individual/group activities.
Periodically during professional
development workshops.
Procedural Skills “I can do it right now.”
Leadership modeling examples during meetings and as
observed throughout the work day.
During workshops, ongoing during
business hours.
Demonstration in groups and individually of using the
job aids to successfully perform the skills.
During professional development
workshops.
Quality of the feedback from peers during group
sharing
During professional development
workshops.
Attitude “I believe this is worthwhile.”
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Outside observation from consultants invited to attend
and monitor events, of executive leadership team
member’s statements and actions demonstrating that
they see the benefit of what they are being asked to do
on the job.
During the workshop; ongoing in
work environment. During strategic
planning meetings.
Discussions of the value of what they are being asked to
do on the job.
During strategic planning meetings.
Retrospective sharing during leadership meetings, via
written interview items and/or survey.
After professional development has
been completed and post-strategic
planning sessions.
Confidence “I think I can do it on the job.”

Survey items using scaled items. Prior to and following professional
development workshops.
Discussions following completion of interactive
workshop activities and feedback.

Periodically, at least quarterly and
ongoing as needed.
Commitment “I will do it on the job.”

Signed agreement to perform up to or exceed
expectations on the job.

During the hiring process (signature
obtained during orientation). Periodic
review with supervisor(s) as needed.
Engage individuals in strategic goal setting and create
an action plan.

Ongoing at least quarterly.

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Level 1: Reaction
Table M below will review the methods used to observe the reactions of the participants
to the learning events during the training program. Specific focus will be placed on engagement,
relevance, and satisfaction to determine successful application (Kirkpatrick & Kirkpatrick,
2016). Numerous methods will be observed with informal discussions being the most primary
method in conjunction with formative methods.
Table M
Components to Measure Reactions to the Program.
Method(s) or Tool(s) Timing
Engagement
Temperature check for application of professional
development tools. A quick assessment of how the
participants feel and where they are with the material
presented, what areas can be improved upon, etc.,
Small group discussions,
ongoing.
Completion of professional development workshops During professional
development
Observation by outside consultant During professional
development workshops, then
ongoing as needed.
Post survey for effective communication practices At the conclusion of the
professional
development workshops
Relevance
Survey administered to participants online and open
discussion during workshops.
Upon completion of lesson
modules as “exit - tickets” and
ongoing during the workshop
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Customer Satisfaction
Survey administered to participants online and open
discussion during workshops.
Upon completion of lesson
modules as “exit -
tickets” and ongoing during the
workshop
Course evaluation Two weeks after the course.

Evaluation Tools
Immediately following the program implementation. Immediately following the
conclusion of the communication training workshop the participants will be given the option to
complete a paper survey to indicate engagement, confidence, and relevance of the material
presented. Participants will also receive an online follow-up survey after the workshop to
determine their interest in future, similar trainings. As the workshop is ongoing, participants will
complete the materials in sections designed to build upon the concepts learned.
The following are some suggested solutions that NYAC can use to improve upon current
efforts to gauge the understanding of information learned during professional development
workshops. Participants should engage in a pulse check to determine their grasp of the material
covered after completion of each section, its relevance to their job position, and satisfaction with
the presentation and contents of the material. Using the Blended Evaluation approach in
conjunction with the face to face segments during the workshop, asynchronous online learning
modules will be provided afterwards to assess and maintain the knowledge and skills acquired
during the workshop. An analytics tool will be incorporated in the system that will collect data
about the duration and participation during the online modules and reveal data about engagement
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with the professional development workshop material.
For Level 1, during the face to face professional development workshop, the facilitator
will ask participants how they felt about how the content related to their work environment. After
reflecting on this for a few moments, participants will be asked how the application of the
differing communication styles may be perceived by supervisees. Participants will also be asked
if the content is relevant to direct care service delivery and the organization’s mission statement
as a whole. Application of Level 2 will occur with the integration of interactive activities in
small groups. Individuals will model desired communication techniques and simulate work
related scenarios as checks for understanding. As the interactive activities occur during Level 2,
there will be pulse checks for understanding and engagement of the material to facilitate
collaborative engagement. The ability to successfully apply the materials learned will be
assessed by the facilitator who will take a casual survey of the room, ask for demonstrations
from select participants, and a roundtable discussion of the materials covered.
Delayed for a period after the program implementation. An evaluation tool that could
further improve upon NYAC’s efforts of utilizing professional development to enhance EI
communication, is a survey. In addition to the post-training survey administered from the
facilitator, a survey containing both open ended and scaled items using the Blended Evaluation
approach can be administered in two waves: four weeks after the conclusion of the workshop and
again at 12 weeks. The survey will address Level 1: Reaction with rating scale items and open-
ended questions to gauge relevance to their job and satisfaction with professional development
modules. The survey should also include one or two questions about the different
communication styles to gauge Level 2: Learning and grasp of the content. As previously
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mentioned, participants will provide their perspective on how well the content can be applied to
their jobs in surveys with rating scale items and open-ended questions (Level 3: Behavior) and
on what areas, if any, a positive impact has been made by applying what has been learned (Level
4: Leading Indicators).
Data Analysis and Reporting
The Level 4 goal of the leadership team is measured by the level of reported engagement
and utilization of the DISC model on surveys administered post-training. As previously
mentioned, these surveys should be given in varying increments immediately following training,
then at 2, 4, and 12 weeks. Afterwards the reviewer should track the number of participants who
cite EI communication, ongoing engagement, and application of the techniques acquired.
Subsequently, any incidents of miscommunication or supervisee complaints about
communication strategies should be tracked via reports and HR documentation. Supervisee
complaints will be counted as errors.
Summary
Kirkpatrick’s three key questions. The data analysis derived from Kirkpatrick’s New
World Model will serve to answer three key questions, as outlined by Kirkpatrick and
Kirkpatrick (2016): 1) Does the level of emotionally intelligent (EI) communication practices
meet expectations? 2) If not, why not? and 3) If so, why? Levels 1 and 2 are determined by the
training provided in the professional development workshops and modules. Internal
benchmarking was utilized to set the baseline in the table below to allow for continual
improvement within the organization as the content is applied. Pilot data was generated from
current data and pre-existing organization expectations based on prior annual employee surveys
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157
and exit interviews. The pilot data serves as the benchmark for the evaluation process; it is
shown as the baseline in Table O below. Subsequently, it sets the tone for answering whether or
not expectations are met by framing where the organization stood at the onset of the professional
development workshop in terms of errors, application, and engagement. Levels 1 and 2 will be
further assessed as the survey findings will be compared to one another to measure immediate
and delayed knowledge, relevance, confidence and errors. To assess Levels 3 and 4, the survey
findings will be utilized to determine if there are gaps and areas for future professional
development.
NYAC, the organization for this study did not have any knowledge, motivational, and
organizational influence gaps and has already incorporated future professional development
plans as a component of their working strategic plan document. Figure 1 below is an example of
a monitoring and accountability tool that depicts how useful the EI communication training was
for NYAC leadership. Data is reported on measures of application, engagement, and errors for
future professional development and application. The values along the (horizontal) x axis depict
measures of engagement, application, and errors in values of percentage. Categories are
illustrated by color in the stacked bar graphic. Figure 11 below represents how well
communication practices were applied after the PD training to enhance emotionally intelligent
communication practices within the organization. The baseline represents the level of
engagement and application of emotionally intelligent communication practices that took place
before the PD. Future points of review for application and engagement at 4 and 12 weeks are
also depicted.

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Figure 11. Data Analysis of Communication Training.
Conclusion
The New World Kirkpatrick Model serves as a tool to create and implement effective,
budget conscious strategies for training evaluation that drive performance initiatives bring about
the most impact (Kirkpatrick & Kirkpatrick, 2016). Focused, cost effective, and driven trainings
are particularly essential for non-profit human service organizations who generally have limited
resources, higher employee turnover rates, and target specific populations for direct care services
provided. In order to encourage thinking that transcends from front line (direct care service)
worker to strategic, emotionally intelligent executive, it is effective to employ facets of the New
World Kirkpatrick Model as a part of the strategic planning process when designing
organizational professional development curriculum and evaluations. NYAC has demonstrated
proficiency in understanding the benefits of providing emotionally intelligent leadership
practices with effective communication being essential to increasing employee retention rates.
As such, NYAC has shaped their working strategic plan document around utilizing emotional
intelligence to boost employee retention. Additionally, they have gone beyond policy shaping
and have employed external consultants to assist with infusing emotional intelligence in the
plans created by the board of directors. Subsequently, NYAC forges ahead by provide training
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on effective communication practices to facilitate a more collaborative, inclusive work
environment that will generate increased employee retention. The New World Kirkpatrick model
allows executive leadership to create a training program and see whether the implementation of
the DISC program was worth it. The analysis of the success of the current training can be
replicated to increase future success of a similar program and provide tools to maximize other
mission-critical organization initiatives (Kirkpatrick & Kirkpatrick, 2016). Based on utilization
of this model, it is recommended that NYAC maintain the emotionally intelligent
communication practices learned in DISC, build upon the effective communication tenets
learned, research and apply other emotionally intelligent based trainings for leadership in the
future.

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Appendix A
Post Training Survey Scale Items and Open-Ended Questions
Immediately Following Training
Question Level Strongly
Disagree
Disagree Agree Strongly
Agree
The professional development
environment helped me to learn.
1: Engagement
The workshop held my interest. 1: Engagement
I am clear about how to apply what
was learned to my job when I return
1: Relevance
During the workshop, we discussed
how to apply what we learned.
1: Relevance
I feel confident in applying what I
learned in this workshop to my job
2: Confidence
I believe it will be worthwhile for me
to apply this content to my job.
2: Attitude
I am committed to applying what was
learned to my job.
2: Commitment
I believe applying new
communication techniques to my job
will yield a positive impact on those
around me and my work
performance.
4: Results
Delayed Use After Training
The skills learned in the workshop
have been valuable to my role as a
manager.
1: Relevance
I believe this workshop was a good
use of my time.
1: Customer
Satisfaction

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I have been able to communicate with
my employees better after
participating in the workshop.
2: Learning
I have been able to briefly explain the
DISC model to my supervisees
2: Learning
I have applied the content learned to
my job.
3: Behavior
I have received the necessary
supports to successfully apply the
content learned to my job.
3: Required
Driver

I am seeing positive results in my
work performance after the
workshop.
4: Leading
Indicator

Since the workshop, my efforts
reflect and contribute to the mission
of the organization.
4: Desired
Result

Open Ended Questions Immediately Following Training
1. As the workshop was in progress, did anything interfere with your learning experience?
(L1)
2. What content was the most relevant to your job, if any? (L1)
3. What content was not relevant to your job, if any? (L1)
4. What, if any, improvements or suggestions do you have in regard to this workshop? (L1)
5. From the workshop, please describe one way you can show emotional intelligence in job-
related communications. (L2)
6. Please comment on how confident you feel about applying what was learned today to
your job. (L2)
7. How do you plan to apply the content learned today to your job? (L2)
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8. What outcomes or successes do you believe will occur after applying the content learned
in the workshop to your job? (L2)

Open Ended Questions for Delayed Use After Training
1. What information from the workshop was most relevant to your job? (L1)
2. What information could be added to make this content more relevant to your job? (L1)
3. In hindsight, what would you change about the workshop and modules? (L1)
4. How have you used effective communication practices learned in the workshop and
modules on the job? (L3)
5. What challenges, if any, are you experiencing in applying the effective communication
practices learned to your job? (L3)
6. What has helped you implement the tools learned during the workshop and modules?
(L3)
7. Please provide an example of a positive outcome that has resulted since attending the
workshop. (L4)
8. Please describe how this program impacted the organization as a whole. (L4)
9. Please describe how your participation in this program has affected the company. (L4)

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APPENDIX B
Survey Items
MLQ 5x Questionnaire, short form sample survey (partial)
Instructions: This questionnaire is used to describe your leadership style as you perceive it.
Please answer all items on the answer sheet. If you are unsure of an answer or feel as though it is
not applicable, please LEAVE IT BLANK. There are 45 items listed on the following survey.
Judge how frequently each statement fits you. Some questions reference “others” which may
pertain to colleagues, peers, supervisors, and/or all of the above.
Scale: 0=Not at all; 1= Once in a while; 2= Sometimes, 3=Fairly often, and 4=Frequently, if not
always
1. I provide others with assistance in exchange for their efforts 0 1 2 3 4
2. I re-examine critical assumptions to question whether they are appropriate. 0 1 2 3 4
3. I fail to interfere until problems become serious. 0 1 2 3 4
4. I avoid getting involved when important issues arise. 0 1 2 3 4
5. I talk about my most important values and beliefs. 0 1 2 3 4
6. I talk optimistically about the future. 0 1 2 3 4
7. I am absent when needed. 0 1 2 3 4
8. I seek differing perspectives when solving problems. 0 1 2 3 4
9. I instill pride in others for being associated with me. 0 1 2 3 4
10. I wait for things to go wrong before taking action. 0 1 2 3 4
11. I spend time teaching and coaching. 0 1 2 3 4
12. I keep track of all mistakes. 0 1 2 3 4.
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13. I act in ways that build others’ respect for me. 0 1 2 3 4

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APPENDIX C
Interview Protocol
1. Tell me about our role here at the Autism Center.
a. How many employees do you supervise?
2. Describe your relationship with your employees.
a. How do you feel about the relationship?
b. What are some things you do to build rapport with your employees, if
anything? (K)
c. Could you give me an example of a time you feel you have helped foster a
sense of togetherness in the workplace, if at all? (M)
3. Tell me how you communicate in this organization.
a. How is communication used to promote team building within the organization,
if at all? (O)
b. Can you provide a specific example of how technology is used to facilitate
communication practices, if at all? (K, O)
c. What are the most common means of disseminating communication within
your organization? (O)
4. Describe the process, if any, that is used for employees who wish to submit concerns about the
workplace? (O)
a. Is there a separate process to submit grievances in the workplace? (O)
b. What is the follow-up procedure, if any, for employee concerns submitted? (O)
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c. Who, if anyone, is held accountable for addressing employee grievances within
your organization? (O)
d. If lower level employees have a concern, do they report an issue to their
immediate supervisor? (O)
e. How much access does lower level employees have to the executive leadership
team, if any, to address concerns? (O)
5. What do employees say about the workplace? (M)
a. What type of feedback, if any, have you received about the work environment? (M)
b. Take me through your experience of providing feedback. (K)
c. Take me through an experience you have had receiving feedback. (O)
d. Based on your knowledge and experience, how does the feedback you received link to
policies in the workplace? (O)
e. Based on your knowledge and experience, how does the feedback you have provided
link to policies in the workplace? (O)
f. Do you believe employees feel as though they are cared for in the workplace? (M)
g. What are some ways your organization shows the employees they care about them, if
any? (O)
6. Describe how your organization discusses the issue of employee retention? (O)
a. How long does the average employee stay at this organization? (O)
b. Can you describe the way you view the number of employees that your organization
has hired in the last 3 years versus the number of employees that have been lost? (O)
c. What does the organization do to retain employees? (O)
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d. How is employee retention a part of goal setting or the strategic planning process, if at
all? (O)
e. Could you describe some of the top goals your organization has set that focuses on
employee growth, if any? (M, O)
f. What do you think motivates your employees to continue working with you? (M)
g. What motivates you to communication effectively? (M)
7. Could you describe a time, if any, when you have experienced conflict in the workplace? (K)
a. Tell me about a time, if any, that you managed conflict between 2 or more employees.
(K)
b. Describe the feelings that arise when you experience conflict in the workplace. (M)
c. What resources are available for employees who experience emotional difficulties?
(O)
8. How do staff communicate their ideas in the workplace? (K, O)
a. How do you communicate ideas to others in the workplace? (K, M)
b. How is collaboration in communication used in the workplace, if at all? (K, O)
c. What, if any, are some key components for effective communication in the workplace?
(K)
d. Are there times when face to face communication is preferred instead of electronic?
(M, O)
e. What are some differences, if any, you have noticed when communicating in person,
versus written/electronically? (M)
f. How does the organization discuss communicating with technology, if at all? (O)
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9. Tell me about the performance review process, if any, you provide for employees you
supervise. (M)
a. How do employees review each other’s performance, if at all? (M)
b. Does leadership collaborate on the tenets of the performance review process? (M, O)
c. What benefits, if any, can employees gain by collaborating with others prior to the
performance review takes place? (M)
10. Describe your experience with ongoing professional education. (K)
a. How, if at all, does professional education relate to your leadership style? (K)
b. What, if any, professional development options are available within your
organization? (K)
c. In what ways, if any, does your organization support ongoing education? (K)
d. Some people say continuing education and professional development
opportunities do nothing to change employee performance. How would you
respond to that? (K, M)
11. How would you describe your leadership style to someone who doesn’t know
anything about you? (K)
a. Tell me about the person(s) who have inspired you as a leader. (K, M)
b. What type of impact do you hope to make as a leader? (M)
12. How do you view yourself as you have worked your way up in leadership? (K)
a. What experiences, if any, have personally affected you during your leadership
journey? (K)
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b. Can you describe an “aha” moment where you felt as though you were
effectively connecting with your employees? (K)
c. What reflective practices, if any, do you engage in? (K)
d. Describe ways that your organization encourages the practice of mindfulness, if
any. (K)

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APPENDIX D
Observation Protocol (abbreviated)
Duration:
Setting Type:
Demographics of Participants:
Descriptive Notes Reflective Notes

EFFECTIVE LEADERSHIP IN NON-PROFIT HSOS

180
APPENDIX E
Informed Consent/Information Sheet
University of Southern California
Rossier School of Education 3470 Trousdale Pkwy, Los Angeles, CA 90089

INFORMATION/FACTS SHEET FOR EXEMPT NON-MEDICAL RESEARCH

Influence of Leadership Styles in Non-Profit Human Service Organizations on Employee
Performance and Retention.

You are invited to participate in a research study. Research studies include only people who
voluntarily choose to take part. This document explains information about this study. You should
ask questions about anything that is unclear to you.

PURPOSE OF THE STUDY
This study aims to examine communication between management and staff in an organizational
context and the impact on the work environment.

PARTICIPANT INVOLVEMENT
There are several ways in which you can participate in this study. Participants may choose to
participate in one or more of the following options survey, participate in an interview, or participate
in observation, or take part in all of them. The online survey assessing leadership styles and values
is anticipated to take approximately 7 minutes or less. It is not mandatory to answer all the
questions, “N/A” can be selected to move to the next question. The face to face interviews will
take approximately 30-45 minutes. You may decline to be audio recorded during the interview or
decline to participate in the interview process altogether. Handwritten notes will be taken in lieu
of audio recordings.

Finally, if you agree, you will be observed in your natural work environment in day to day activities
and staff meetings.

CONFIDENTIALITY
There will be no identifiable information retained during this study, such as your name, address,
or other specific, identifiable demographic information. Responses from you will be coded with
a pseudonym. The data will be stored on a password protected computer in an encrypted file for
three years after the study has been completed and then it will be destroyed. The researcher
agrees to sign a non-disclosure agreement for the organization.

EFFECTIVE LEADERSHIP IN NON-PROFIT HSOS

181
The members of the research team and the University of Southern California’s Human Subjects
Protection Program (HSPP) may access the data. The HSPP reviews and monitors research studies
to protect the rights and welfare of research subjects.

When the results of the research are published or discussed in conferences, no identifiable
information will be used.

INVESTIGATOR CONTACT INFORMATION
Faculty Advisor Helena Seli at helena.seliseli@rossier.usc.edu. Principal Investigator
Andrekka Lanier via email at ajlanier@usc.edu or phone at 951-234-1860.

IRB CONTACT INFORMATION
University Park Institutional Review Board (UPIRB), 3720 South Flower Street #301, Los
Angeles, CA 90089-0702, (213) 821-5272 or upirb@usc.edu

EFFECTIVE LEADERSHIP IN NON-PROFIT HSOS

182
APPENDIX F
Recruitment Letter
Dear Sir or Madam:

I humbly request your participation in a research study that explores the influence of
communication in leadership on employee retention in non-profit human service organizations. I
am specifically interested in communication strategies that inspire and motivate supervisee
employee to remain with a non-profit human service organization, despite the prevailing
hardships. Also, I am interested in the emotional connection and investment in human capital as
a primary focus in non-profit human service organizations. This study will investigate how
effective communication can add value to service positions that extend beyond the salary and
assist with increased employee retention rates. Ideally, this research study seeks to find ways that
non-profit organizations can increase employee retention without placing additional constraints
on the budget. Participation in this research study will be completely voluntary and there is no
compensation.

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Asset Metadata

Creator Lanier, Andrekka Jacqueline (author)

Core Title Stop the revolving door: the influence of emotionally intelligent leadership practices on employee retention in non‐profit human service organizations

School Rossier School of Education

Degree Doctor of Education

Degree Program Organizational Change and Leadership (On Line)

Publication Date 03/09/2018

Defense Date 01/19/2018

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag direct care leadership,emotional intelligence,employee retention,employee turnover,hospice employee retention,hospice leadership,human service leadership,human service organizations,KMO framework and emotional intelligence,KMO framework and employee retention,KMO framework and employee turnover,KMO framework and leadership,KMO framework, KMO framework and human services,leadership,leadership practices,MLQ 5x Short‐Form,non‐profit leadership,OAI-PMH Harvest,organizational change,organizational change and leadership,organizational leadership,organizational management,revolving door,social services leadership,social work leadership,social work turnover,transformational leadership

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Seli, Helena (committee chair), Otis, Pauletta (committee member)

Creator Email ajlanier@usc.edu,ajlanier@ymail.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-483096

Unique identifier UC11266969

Identifier etd-LanierAndr-6097.pdf (filename),usctheses-c40-483096 (legacy record id)

Legacy Identifier etd-LanierAndr-6097.pdf

Dmrecord 483096

Document Type Dissertation

Rights Lanier, Andrekka Jacqueline

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA