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GENERAL

    Collaborative leadership with a focus on stakeholder
    identification and engagement and ethical leadership:
    a dental perspective
    Bhaven Modha1

    Key points
    In these times and beyond, embracing mutually             An awareness of, and ability to use, the traditional         Alike with clinical knowledge and skills, dental
    beneficial relationships based on trust, integrity        practices of stakeholder identification and                  organisations and professionals must self-reflect
    and empowerment shall be more important                   engagement as well as ethical leadership may allow           on their own leadership capabilities, be self-
    than ever; therefore, there is a great need for           dental organisations and professionals to better             aware of their strengths and weaknesses, and
    collaborative leadership within the dental                exercise collaborative leadership.                           aspire to improve themselves accordingly.
    profession.

Abstract
The dental profession is susceptible to change. In order to cope and adapt, individuals and organisations will need to
work together, now more than ever. One approach that may be beneficial in these times, and beyond, is collaborative
leadership. This is where a mutually beneficial relationship is established between two or more parties, who work
towards common goals by sharing authority, responsibility and accountability for achieving results. When groups of
individuals look beyond their personal interests and instead collaborate, they may channel their efforts to successfully
achieve shared goals. However, for this to be fruitful, stakeholders (to include different individuals or groups that
have a vested interest) will need to be identified and engaged, and ethical values based on the objectives of the
organisation and those advocated by professional and regulatory bodies must be upheld. This paper explores how the
traditional practices of stakeholder identification and engagement, as well as ethical leadership, may be of relevance
in attaining success through the contemporary collaborative leadership approach.

Introduction                                                  hierarchical control and central direction’3 and             gain, then autocratic leadership can produce
                                                              a ‘core ideology of self-interest’.4 A professional          the more sinister despotic leadership.9 This
Leadership is defined as a ‘process of influencing            with a manner of self-interest may be perceived              involves: disregarding followers’ needs and
others to understand and agree about what                     as someone that ‘incessantly seeks more power                concerns; holding followers in a somewhat
needs to be done and how to do it, and the                    and acquisition of material possessions’.5                   unquestioning submission; employing
process of facilitating individual and collective                Hierarchical control, central direction and self-         monopolising schemes to manipulate followers;
efforts to accomplish shared objectives’.1 This               interest are typical of authoritarian or autocratic          and indulging in morally corrupt behaviour.10
proposes that leadership encompasses several                  leadership.6 Such a historical approach establishes          Relatedly, one article has suggested that some
elements: a process; influencing others;                      a clear division between leaders and followers.              general dental practitioners could be in a clique
working efficiently with others; sharing goals                Leaders are positioned at the top or in the                  with commissioners, therefore possessing the
with others; and collectively attaining these                 centre, while followers are below or within the              benefit of exploiting this relationship for their
goals. With regards to the dental profession,                 surroundings, and control operates from ‘top-                own self-interest.11 Another article states that
it has been asserted that during challenging                  down’ or from the ‘centre outwards’. Leaders                 ‘some less than ethical colleagues use the NHS
times, there has been a shortage of ‘strong,                  have an absolute control over the followers; a full          brand to get people through the door and then
proactive leadership’ which has led to feelings               command over all decisions; set strict rules and             “upsell” private treatments’.12
of ‘professional disillusionment’.2 Dentistry                 control processes; formulate choices based on                   Leadership development in dentistry has
itself has been described as having a ‘history of             their own ideas and judgements; uphold formal,               been described as ‘highly neglected’ when
                                                              professional relationships; rarely permit or accept          compared to non-health sectors including
1
 Whittington Health NHS Trust, Grand Union Village Health     any input; and penalise followers for mistakes.6,7,8         global enterprise, higher education and even
Centre, Dental Department – Second Floor, Taywood Road,
Northolt, Middlesex, UB5 6LW, England, UK.
                                                                 As a last resort, autocratic leadership might             football.13 However, in recent years, the topic of
Correspondence to: Bhaven Modha                               be applicable in situations involving severe                 ‘leadership and dentistry’ has seen an increase
Email address: b.modha@nhs.net
                                                              time pressures, where followers are unskilled                in both scholarly literature and professional
Refereed Paper.                                               or unmotivated, or when there is little margin               activities, and the subject continues to attract
Accepted 3 December 2020                                      for error. If misused for self-aggrandisement,               much due interest. Despite such efforts, the
https://doi.org/10.1038/s41415-021-3457-2
                                                              self-serving or exploiting followers for personal            dental profession still faces some pressing

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GENERAL

issues, a few of which shall be touched upon             leader. In such cases, a competent teammate might            make suggestions; the researchers recommend
within this paper.                                       temporarily assume the role of a collaborative               that team leaders within dental educational
   The opposite of a historic autocratic                 leader. Collaborative leadership (CL) is defined             establishments should be encouraged to use CL.33
and despotic type of leadership could be a               as ‘a mutually beneficial relationship between                  CL, henceforth, presents many positive
contemporary one that promotes equality and              two or more parties, who work toward common                  opportunities for the dental profession. For
inclusivity. It would further involve embracing          goals by sharing responsibility, authority and               instance, interprofessional collaboration between
diversity and working together cordially (that           accountability for achieving results’; its theory            dental providers and pharmacists to help patients
is, leading collaboratively); appreciating all           postulates that when groups of individuals look              manage chronic dental pain,34 especially amidst
teammates and meeting their needs (that is,              beyond their own personal interests, and instead             the current COVID-19 pandemic, where access
identifying stakeholders); maintaining genuine           work together, they can channel their efforts to             to dental care may be lessened; interprofessional
and constructive relations with all teammates            successfully reach shared goals.22                           collaboration between medical and dental
(that is, engaging stakeholders); and following             Core values of CL include: building authentic             professionals,35 so that both groups may be able to
ethical principles to inspire admirable behaviour        relationships, instead of expecting these to                 reduce their frequency of prescribing antibiotics
(that is, leading ethically). The purpose of this        occur instinctively; understanding that nobody               to patients for dental conditions; and cross-
paper is to shed light on how collaborative              has full power over a situation, thus renouncing             organisational collaboration between dental
leadership may be achieved by – and through              egotism and control; instilling trust and respect            general anaesthesia services, primary care and
– stakeholder identification and engagement,             in everyone; developing a wide-ranging skillset              community prevention teams, to help improve
as well as ethical leadership, with reference to         to handle different situations; using adversities            the dental needs of children and to reduce
the UK’s dental profession.                              to take creative yet sensible risks; rejecting               their need for dental treatment under general
                                                         silos, a ‘my work – your work’ mentality, and                anaesthesia.36
Collaborative leadership                                 a blame culture; employing decentralised, flat
                                                         hierarchies that consider leaders and followers              The importance of stakeholder
It has been long affirmed that dental                    as equals; forming teams with teammates that                 identification
professionals are part of a dental team and that         have different levels of knowledge and skills,
teamwork is an integral component within the             so that diverse perspectives can be explored;                Within CL, forming synergistic relationships
profession.14 Yet, it is still reported that many        improving decisiveness by avoiding partisan or               and shared goals with teammates is of
dentists are lonely and isolated.15,16 Bringing          biased choices; fostering an openness to feedback            paramount importance, but this may be
together a group of highly skilled professionals         and communication; setting well-defined goals                unreachable if one does not know their
may, therefore, not guarantee an efficient team          with teammates; and incorporating teammates’                 stakeholders. Alike teammates and followers,
or that a person will feel part of that team. This       contributions into planning and decision-making              stakeholders are individuals or groups that have
thought is echoed by the FDI World Dental                processes, so that everyone can feel part of the             a vested interest in an organisation’s dealings,
Federation, who state that ‘collaborative                organisation. Disadvantages of CL may include:               on either a personal, political or economic
practice is more than just collaboration’.17             the need for dedicated commitment; an inability              level. Stakeholders can be considered as either
   Within a team, teammates’ behaviours can              to adapt from a teamwork to a collaborative                  internal (that is, within the organisation:
be classed as either ‘taskwork’ or ‘teamwork’            way of work; encountering situations that may                employees, managers and directors), or external
processes. Taskwork involves performing                  demand a formal leader; lengthier processes;                 (that is, outside of the organisation: patients,
core technical competencies (that is, clinical           incurring challenges if mismanaged; and                      regulators, investors and manufacturers). The
procedures). Teamwork involves the assortment            misreading collaboration as a consensus type of              stakeholder theory advocates that anyone with
of interactive and interdependent behavioural            management.22,23,24,25                                       a vested interest or stake in an organisation has
processes between teammates, which transform                Collaboration is growing in prominence                    a right to be treated as an influential member in
team inputs (that is, teammate characteristics and       and many scholars suggest its use within                     the functioning of that organisation. Therefore,
teammate composition) into outcomes (that is,            dentistry.26,27,28,29 Recent examples of cross-              stakeholders can influence decision-making in
teammate satisfaction and team performance).             organisational collaboration include: different              a positive or negative way.37
Within teamwork, each teammate has their own             dental bodies coming together to devise an                      Stakeholder identification processes can be
definite role and assigned duties that contribute        Education, Ethics and Dental Team Working                    utilised to better understand stakeholders from
towards the overall goal.18,19,20 For teamwork to        Group to investigate the matter of environmentally           an organisational dimension. They should
be successful, there may need to be a fine balance       sustainable dentistry;30 a COVID-19 Future                   highlight each stakeholder’s probable interests,
between both taskwork (that is, clinical work)           Planning Task Group to formulate ‘return to                  benefits, effects, threats and any specific
and teamwork processes (that is, interpersonal           work’ guidelines;31 and a Diversity in Dentistry             characteristics that are relevant. Stakeholders’
communication), and the presence of a team               Action Group to confront equality, diversity and             opinions and interests can alter with time,
leader.                                                  inclusivity disparities.32 Internationally, some             so their attitudes and behaviours should be
   Collaboration considers the sharing of roles          dental organisations have united to combat                   embedded into developmental plans to predict
and responsibilities among the individuals within        poor child oral health worldwide; the virtues of             any possible difficulties. As organisational goals
a group. Unlike teamwork, collaboration does not         CL are thought to have been a cornerstone of                 and strategies may be affected by deviations in
necessarily require a leader, as leadership is shared    this venture.13 One American study has shown                 the values of stakeholders, organisations must
or distributed throughout the group.21 However,          that CL had a substantial impact on dental                   be perceptive and alert, taking note of such
complex situations could arise that necessitate a        students’ willingness to raise concerns and                  changes.38 One classification system categorises

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                                              © The Author(s) under exclusive licence to the British Dental Association 2021.
GENERAL

stakeholders into three distinctive levels,              genuine collaborative efforts; regular                       practitioners with more expertise; being self-
according to their degree of impact – the micro          communications and interactions with all                     aware of one’s own limitations; continually
level (that is, parties involved at a practice level:    teammates; team meetings and team-building                   self-reflecting and stipulating sensible learning
dentists, dental care professionals, competitors,        exercises including all teammates; and one-                  needs; and undergoing necessary training
suppliers and waste collection services); the meso       to-one meetings and appraisals with each                     and continuing professional development
level (that is, management, funding bodies and           teammate may help to better involve, support,                activities).
groups that can affect professional behaviours:          motivate and engage them.                                       It has also been reported that an increasing
educational institutions, royal colleges, societies         With regards to collaboration, long-                      proportion of complaints were made to
and indemnity organisations); and the macro              established, well-defined taskwork-related                   the General Dental Council, where dental
level (that is, groups with the power to make            roles and responsibilities of different dental               professionals have reported their colleagues
decisions or impose change: governing bodies,            professionals within a team could prevent a                  or other registrants.47 Of course, if patient
regulatory bodies and policymakers).39                   full sharing of these roles and responsibilities             safety is at risk, then such action might
   The advancement of ‘do-it-yourselves’                 throughout the team. Of course, this shall                   be required. If otherwise, what may have
orthodontics has sparked controversy within              be important for maintaining patients’ and                   prevented the stakeholders from engaging and
the dental profession. Although such ventures            practice safety. However, by applying the core               resolving the issue at a local level? In a CL-type
may be advantageous for certain stakeholders,            values of CL and sharing suitable procedures                 environment, perhaps fair, non-judgemental,
lucrative for the business owners, worthwhile            with competent, qualified members of the                     ‘open-door’ discussions could better encourage
for the digital technologists and potentially            team (for instance, extended-duty dental                     stakeholders to engage with each other to
cheaper for patients, viable stakeholders                nurses), this may strengthen collegial relations.            resolve such issues, mediate conflicts and
(including the British Dental Association,               Relatedly, one Scottish study that investigated              prevent escalations beyond the local level.
Oral Health Foundation, British Orthodontic              skill mix use in a child oral health programme                  Having several, varying stakeholders that
Society and some orthodontic professionals)              revealed that a ‘lack of support from colleagues’            deliver diverse opinions can be challenging
have raised concerns about the potential risks           acted as a barrier to dental nurses using their              for collaboration. Stakeholder engagement
of such treatment modality.40 From the outset,           extended skills.42                                           may be further tested by a person belonging
were these viable stakeholders identified? Was              One article from 2016 commented that some                 to many different stakeholder groups, each of
there any collaboration to decipher and evaluate         dental nurses felt ‘undervalued, unsupported                 which may have its own interests and be of a
these stakeholders’ opinions, interests, benefits,       and paid unfairly’.43 However, a recent article              differing power.48 For instance, in a study that
effects, threats and changing perceptions?               comments that some dental nurses feel a ‘severe              investigated dentists’ views on the impact of
From a CL viewpoint, an early and thorough               lack of support’ and that many are ‘leaving                  direct access, respondents gave favourable
stakeholder identification process could be              the profession’.44 Had collaboration occurred                views on the prospect of receiving referrals
central to building trusting relationships and           to engage this stakeholder to ascertain and                  from dental hygienists and therapists for
shared values with stakeholders, as well as in           address their concerns and expectations at the               treatments beyond their scope of practice.
preventing conflict and barriers that might be           appropriate micro, meso and macro levels?                    However, the majority of respondents
caused by a failure to engage the expertise of           If so, were changes or improvements made                     held unfavourable views about the overall
key individuals.                                         that were mutually beneficial to all relevant                implementation of direct access.49 Depending
                                                         stakeholders? The same questions may need to                 on the given situation, certain stakeholders
The importance of stakeholder                            be asked with regards to the finding that ‘nearly            may endorse their own principles or agendas,
engagement                                               two-thirds of principal dentists and over half               which could make it difficult to attain an
                                                         of all associate dentists across the UK often                authentic engagement; a compromise or
To enable productive collaborations,                     think of leaving dentistry’, in the most recent              negotiation might be required to help balance
stakeholders will need to be successfully                ‘Dentists’ working patterns, motivation and                  the interests of different stakeholders.48
engaged with the organisation. Stakeholder               morale’ survey.45
engagement involves a two-way, iterative                    The increase in patient awareness,                        The importance of ethical
system between the organisation and the                  expectations and demands, and a general rise                 leadership
stakeholders. Here, communication, opinions              in the litigious nature of society, might be
and proposals flow in both directions.                   contributing towards the surge in orthodontic                CL involves looking beyond personal interests
Resultantly, the organisation can learn about            allegations raised against registrants.46 To                 and instead working together. This interrelates
the perceptions, expectations and concerns of            prevent such occurrences, and to ensure that                 with the standard ethical principles,
its stakeholders, and vice versa. Both parties can       patients receive optimal holistic care, perhaps              particularly beneficence: doing good to others
then utilise this information to make changes            there may need to be greater collaborative                   and acting with kindness, mercy, charity and a
or improvements. Nonetheless, the success of             engagements with pertinent stakeholders                      moral obligation.50 Thus, using ethics to engage
this will be reliant on the organisation’s ability       to include: patients, other practitioners,                   stakeholders, and to guide or lead teammates,
to sustain long-term, symbiotic relationships,           educational bodies and one’s self (that is: fully            could be vital to the success of CL. Ethical
rather than conducting one-off consultations.41          determining patients’ needs and expectations,                leadership proposes that leaders are in pursuit
For example, in a dental practice, teammates             and managing these realistically; increasing                 of attaining values that are morally correct and
may well differ in terms of their work ethics,           coordination with colleagues and specialists                 that leaders’ decisions have an impact on others
enthusiasm and involvement. Therefore,                   to seek second opinions; referring patients to               in the achievement of organisational goals.51

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Its theory purports that leaders encourage              all stakeholders’ sensitivities? Relatedly, a                between different faculty departments.65,66,67
followers to excel and overachieve; strive for          recent study investigated the effect of viewing              One English study highlights the importance
social, environmental and financial success;            idealised smile images versus nature images                  of cross-faculty interprofessional education
and generate innovative practices. Such                 via social media on the immediate facial                     and collaboration between humanities, arts
leadership can be applied in political contexts         satisfaction in young adults. This found that                and clinical sciences. These subjects were
to enhance society.52 Qualities essential to            exposure to ‘ideal’ facial images on social                  integrated into the dental curriculum of an
ethical leadership include: empathy, integrity,         media decreased facial satisfaction, with                    educational establishment, so that students
honesty, humility, fairness, responsibility,            such effect being greater in those with high                 could develop the tolerance of ambiguity.
collectivism, transparency, concern for                 self-discrepancy scores.59                                   Activities involved close observation and
stakeholders’ wellbeing, interpersonal rapport              It has been reported that ‘any cosmetic                  group reading of texts, intent listening, and
building and empowerment.53,54 These traits             dentist on Instagram treats their patients as                openly addressing obscurity and uncertainty.
resemble the core values of CL, as well as the          consumers’ and that certain companies are                    The researchers concluded that these activities
ethical attributes that dental professionals            actively encouraging clinicians to treat their               may cultivate students’ ‘capacity to be the
ideally need to have.                                   patients as ‘consumers.’56 Cosmetic dentistry                leaders and innovators of the future’ and
    While dentistry continues to be a                   itself is not a recognised speciality, and crafting          promote ‘higher order skills’.68 Perhaps, such
competitive field, especially within the private,       illusions of having specialist knowledge and                 innovative, collaborative endeavours might be
cosmetic sector, practising ethically remains           using non-existent terms akin to ‘perfect                    a starting point for overcoming discriminatory
a fundamental obligation. Patients may well             smiles’, and self-descriptive designations such as           habits at educational establishment and
be one of the most crucial stakeholders; their          ‘cosmetic dentist’ without specialist registration,          institutional levels.
needs and interests must be carefully identified        could mislead patients.60,61 Relatedly, one article
and, of course, managed ethically. However, an          comments that the ‘shameless promotion of                    Conclusion
upsurge in ‘self-aggrandising advertisements            rapid smiles and DIY aligners has regrettably
and claims for egotistical, narcissistic dentistry,     turned our unsuspecting patients into mere                   ‘Leadership and dentistry’ is a subject that may
often promoted by younger, or apparently                “profit centres”’.62 Strategies involving the                be further complicated by the multifaceted
non-specialist dentists’ has been reported.55           delivery of services for self-aggrandisement                 practice of dentistry, which encounters a
Some organisations and ‘influencers’ might              avarice or profiteering, rather than providing               dichotomy of interests between the provision
also endorse questionable products or                   care in the patients’ best interests, do not                 of healthcare and generating a profit. CL
advertisements for a payment without making             demonstrate CL; they instead demonstrate                     appears to be refreshing and promising.
relevant conflict of interest declarations.56           despotic leadership. With regards to CL,                     However, if stakeholders with competing
    Because these ‘influencers’ may appear to be        perhaps ethical traits of empathy, integrity and             interests do not look beyond any differences or
popular and well connected, their exaggerated           humility may better empower teammates (that                  confinements, then these may act as barriers to
or non-evidence-based claims might pass                 is, patients) to accomplish shared goals (that is,           fully engaging in collaborative pursuits. Thus,
unchallenged.56,57 This may also be the case            completing mutually agreed treatment plans                   careful and tactful stakeholder identification
when certain eminent organisations endorse              that are in the patients’ best interests).                   and engagement processes might be critical to
dubious advertisements.12,57 Was there any form             Owing to organisational failures being                   the success of CL.
of collaboration with relevant stakeholders to          linked to the unethical actions of leaders and                  Leadership extends beyond local, physical,
identify their exact needs and interests, and if        individuals, there has been an increase in the               organisational and clinical boundaries to
so, did these findings inform such ‘influential’        scholarly work of ethical leadership.63 However,             include online, digital and social media realms,
approaches? Are these types of engagements              one recent article outlines that there have been             where teledentistry, virtual conferencing and
mutually beneficial to all stakeholders? Are            accusations of racism at a dental educational                dental advertising occur. Such innovations
such ‘influencers’ collaborative leaders? Have          establishment, where Black and Minority                      may promote effective collaborations:
patients been given well-informed information           Ethnic students ‘have been subjected to racist               consulting patients and providing advice,
that facilitates the engagement in a serious            language’ from ‘teaching staff, some students,               and delivering educational programmes and
process of informed consent?                            and even patients’. This article further states              ethical marketing ventures. However, dental
    Alongside its advantages, social media usage        that there could be a ‘wider issue of racism                 organisations and professionals must be
is thought to be contributing towards increased         within the dentistry industry’.64 Discrimination             mindful of how their conduct and decision-
comparisons, envy, low self-esteem, body                ignores ethical principles and the core values of            making in such domains might impact on
dysmorphia and social anxiety.58 Advertising            CL, and it disregards stakeholder identification             the quality of collaborative engagements with
‘perfect smiles’ or ‘ideal’ facial images on this       and engagement processes. Rather, promoting                  stakeholders, and likewise, the impact of these
domain might well attract followers (that is,           equality, diversity and inclusivity, which                   stakeholders in such domains.
some potential patients and the attention of            are key concepts of CL, would be far more                       In these uncertain, ever-changing,
some other clinicians). However, how may                advantageous.                                                challenging times, and even thereafter,
such advertising affect vulnerable viewers                  Some studies, which explore leadership in                harnessing mutually beneficial relationships
that could have a facial disfigurement or body          an academic dentistry context, underline the                 based on integrity, trust, confidence and other
dysmorphia condition relating to their teeth,           need for dental educational establishments                   ethical virtues shall be more important than
mouth or face? Is such advertising an ethically         to obtain a complete integration into their                  ever. Although CL might appear idealistic,
collaborative engagement that considers                 university institutions and to cross-collaborate             there exists great potential for dental

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BRITISH DENTAL JOURNAL | VOLUME 231 NO. 6 | September 24 2021                                                                                                                            359
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