Description
Who do you think experiences greater stress, leaders or followers—explain (how and why)? How do you handle stress? Do you think the way you handle stressor will help you in a future leadership role?Leadership
Enhancing the Lessons of Experience
Ninth Edition
Richard L. Hughes
Robert C. Ginnett
Gordon J. Curphy
LEADERSHIP: ENHANCING THE LESSONS OF EXPERIENCE, NINTH EDITION
Published by McGraw-Hill Education, 2 Penn Plaza, New York, NY 10121. Copyright © 2019 by McGraw-Hill
Education. All rights reserved. Printed in the United States of America. Previous editions © 2015, 2012, and
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1 2 3 4 5 6 7 8 9 LCR/LCR 23 22 21 20 19
ISBN 978-1-259-96326-1 (bound edition)
MHID 1-259-96326-8 (bound edition)
ISBN 978-1-260-16765-8 (loose-leaf edition)
MHID 1-260-16765-8 (loose-leaf edition)
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Library of Congress Cataloging-in-Publication Data
Hughes, Richard L., 1946– author. | Ginnett, Robert C., author. |
Curphy, Gordon J., author.
Leadership: enhancing the lessons of experience / Richard L. Hughes,
Robert C. Ginnett, Gordon J. Curphy.
Ninth Edition. | New York: McGraw-Hill Education, [2018]
LCCN 2017048123| ISBN 9781259963261 (acid-free paper) |
ISBN 1259963268 (acid-free paper)
LCSH: Leadership.
LCC HM1261 .H84 2018 | DDC 303.3/4—dc23
LC record available at https://lccn.loc.gov/2017048123
The Internet addresses listed in the text were accurate at the time of publication. The inclusion of a website does
not indicate an endorsement by the authors or McGraw-Hill Education, and McGraw-Hill Education does not
guarantee the accuracy of the information presented at these sites.
mheducation.com/highered
About the Authors
Rich Hughes has served on the faculties of both the Center for Creative Leadership
(CCL) and the U.S. Air Force Academy. CCL is an international organization
devoted to behavioral science research and leadership education. He worked
there with senior executives from all sectors in the areas of strategic leadership
and organizational culture change. At the Air Force Academy he served for a
decade as head of its Department of Behavioral Sciences and Leadership. He
later served at the Academy as its Transformation Chair. In that capacity he
worked with senior leaders across the Academy to help guide organizational
transformation of the Academy in ways to ensure it is meeting its mission of
producing leaders of character. He is a clinical psychologist and a graduate of
the U.S. Air Force Academy. He has an MA from the University of Texas and a
PhD from the University of Wyoming.
Robert Ginnett is an independent consultant specializing in the leadership of highperformance teams and organizations. He has worked with hundreds of for-profit
organizations as well as NASA, the Defense and Central Intelligence Agencies, the
National Security Agency, and the United States Army, Navy, and Air Force. Prior
to working independently, Robert was a senior fellow at the Center for Creative
Leadership and a tenured professor at the U.S. Air Force Academy, where he also
served as the director of leadership and counseling. Additionally, he served in numerous line and staff positions in the military, including leadership of an 875-man
combat force and covert operations teams in the Vietnam War. He spent over
10 years working as a researcher for the National Aeronautics and Space Administration, focusing his early work in aviation crew resource management, and later at
the Kennedy Space Center in the post-Challenger period. Robert is an organizational psychologist whose education includes a master of business administration
degree, a master of arts, a master of philosophy, and a PhD from Yale University.
He now enjoys doing pro bono work with local fire and police departments and
teaching leadership courses at the Gettysburg National Military Park.
Gordy Curphy is a managing partner at Curphy Leadership Solutions and has been
running his own consulting business since 2002. As a leadership consultant Gordy
has worked with numerous Fortune 500 firms to deliver more than 2,500 executive
assessments, 150 executive coaching programs, 200 team engagements, and 150 leadership training programs. He has also played a critical role in helping organizations
formulate winning strategies, drive major change initiatives, and improve business
results. Gordy has published numerous books and articles and presented extensively
on such topics as business, community, school, military, and team leadership; the
role of personality and intelligence in leadership; building high-performing
teams; leading virtual teams; teams at the top; managerial incompetence;
iii
iv About the Authors
followership; on-boarding; succession planning; and employee engagement. Prior to
starting his own firm Gordy spent a year as the vice president of institutional leadership at the Blandin Foundation, eight years as a vice president and general manager
at Personnel Decisions International, and six years as a professor at the U.S. Air
Force Academy. He has a BS from the U.S. Air Force Academy and a PhD in industrial and organizational psychology from the University of Minnesota.
Foreword
The first edition of this popular, widely used textbook was published in 1993, and
the authors have continually upgraded it with each new edition including this one.
In a sense, no new foreword is needed; many principles of leadership are timeless. For example, references to Shakespeare and Machiavelli need no updating.
However, the authors have refreshed examples and anecdotes, and they have kept
up with the contemporary research and writing of leadership experts. Unfortunately, many of the reasons why leaders fail have also proved timeless. Flawed
strategies, indecisiveness, arrogance, the naked pursuit of power, inept followers,
the inability to build teams, and societal changes have resulted in corrupt governments, lost wars, failed businesses, repressive regimes around the globe, and sexual
discrimination and/or harassment. These occurrences remind us that leadership
can be used for selfless or selfish reasons, and it is up to those in charge to decide
why they choose to lead.
Such examples keep this book fresh and relevant; but the earlier foreword,
reprinted here, still captures the tone, spirit, and achievements of these authors’ work.
Often the only difference between chaos and a smoothly functioning operation
is leadership; this book is about that difference.
The authors are psychologists; therefore, the book has a distinctly psychological
tone. You, as a reader, are going to be asked to think about leadership the way psychologists do. There is much here about psychological tests and surveys, about studies done in psychological laboratories, and about psychological analyses of good
(and poor) leadership. You will often run across common psychological concepts
in these pages, such as personality, values, attitudes, perceptions, and self-esteem,
plus some not-so-common “jargon-y” phrases like double-loop learning, expectancy
theory, and perceived inequity. This is not the same kind of book that would be
written by coaches, sales managers, economists, political scientists, or generals.
Be not dismayed. Because these authors are also teachers with a good eye and
ear for what students find interesting, they write clearly and cleanly, and they have
also included a host of entertaining, stimulating snapshots of leadership: quotes,
anecdotal Highlights, and personal glimpses from a wide range of intriguing people, each offered as an illustration of some scholarly point.
Also, because the authors are, or have been at one time or another, together or
singly, not only psychologists and teachers but also children, students, Boy Scouts,
parents, professors (at the U.S. Air Force Academy), Air Force officers, pilots,
church members, athletes, administrators, insatiable readers, and convivial raconteurs, their stories and examples are drawn from a wide range of personal sources,
and their anecdotes ring true.
As psychologists and scholars, they have reviewed here a wide range of psychological studies, other scientific inquiries, personal reflections of leaders, and philosophic writings on the topic of leadership. In distilling this material, they have
drawn many practical conclusions useful for current and potential leaders. There
v
vi Foreword
are suggestions here for goal setting, for running meetings, for negotiating, for managing conflict within groups, and for handling your own personal stress, to mention just a few.
All leaders, no matter what their age and station, can find some useful tips here,
ranging over subjects such as body language, keeping a journal, and how to relax
under tension.
In several ways the authors have tried to help you, the reader, feel what it would
be like “to be in charge.” For example, they have posed quandaries such as the following: You are in a leadership position with a budget provided by an outside funding source. You believe strongly in, say, Topic A, and have taken a strong, visible
public stance on that topic. The head of your funding source takes you aside and
says, “We disagree with your stance on Topic A. Please tone down your public
statements, or we will have to take another look at your budget for next year.”
What would you do? Quit? Speak up and lose your budget? Tone down your
public statements and feel dishonest? There’s no easy answer, and it’s not an unusual situation for a leader to be in. Sooner or later, all leaders have to confront
just how much outside interference they will tolerate in order to be able to carry
out programs they believe in.
The authors emphasize the value of experience in leadership development, a
conclusion I thoroughly agree with. Virtually every leader who makes it to the top
of whatever pyramid he or she happens to be climbing does so by building on
earlier experiences. The successful leaders are those who learn from these earlier
experiences, by reflecting on and analyzing them to help solve larger future challenges. In this vein, let me make a suggestion. Actually, let me assign you some
homework. (I know, I know, this is a peculiar approach in a book foreword; but
stay with me—I have a point.)
Your Assignment: To gain some useful leadership experience, persuade eight
people to do some notable activity together for at least two hours that they would
not otherwise do without your intervention. Your only restriction is that you cannot tell them why you are doing this.
It can be any eight people: friends, family, teammates, club members, neighbors,
students, working colleagues. It can be any activity, except that it should be something more substantial than watching television, eating, going to a movie, or just
sitting around talking. It could be a roller-skating party, an organized debate, a songfest, a long hike, a visit to a museum, or volunteer work such as picking up
litter or visiting a nursing home. If you will take it upon yourself to make something
happen in the world that would not have otherwise happened without you, you will
be engaging in an act of leadership with all of its attendant barriers, burdens, and
pleasures, and you will quickly learn the relevance of many of the topics that the
authors discuss in this book. If you try the eight-person-two-hour experience first
and read this book later, you will have a much better understanding of how complicated an act of leadership can be. You will learn about the difficulties of developing
a vision (“Now that we are together, what are we going to do?”), of motivating others, of setting agendas and timetables, of securing resources, of the need for followthrough. You may even learn about “loneliness at the top.” However, if you are
Foreword vii
successful, you will also experience the thrill that comes from successful leadership.
One person can make a difference by enriching the lives of others, if only for a few
hours. And for all of the frustrations and complexities of leadership, the tingling
satisfaction that comes from success can become almost addictive. The capacity for
making things happen can become its own motivation. With an early success, even
if it is only with eight people for two hours, you may well be on your way to a leadership future.
The authors believe that leadership development involves reflecting on one’s
own experiences. Reading this book in the context of your own leadership experience can aid in that process. Their book is comprehensive, scholarly, stimulating,
entertaining, and relevant for anyone who wishes to better understand the dynamics
of leadership, and to improve her or his own personal performance.
David P. Campbell
Psychologist/Author
Preface
Perhaps by the time they are fortunate enough to have completed eight editions
of a textbook, it is a bit natural for authors to believe something like, “Well, now
we’ve got it just about right . . . there couldn’t be too many changes for the next
edition” (that is, this one). Of course, there are changes because this is a new
edition. Some of the changes are rather general and pervasive in nature while
others represent targeted changes in specific chapters of an otherwise successful
text. The more general and pervasive changes are those things one would expect
to find in the new edition of any textbook: the inclusion of recent research findings across all chapters as well as extensive rework in the vast majority of
chapters of the very popular Highlights. The latter work involved the addition of
numerous new Highlights as well as the elimination of those that had become
dated and/or less central to the material in their respective chapters. Examples
of the new Highlights include bullying bosses, gender stereotyping, and possible
evolutionary roots to the pull toward greater organizational transparency. There
are also many new Profiles in Leadership covering leaders as diverse as
Sheikh Zayed, founder of the United Arab Emirates; Stan Lee, who was the
creative genius behind Marvel Comics; and Lin-Manuel Miranda, whose musical
Hamilton became a Broadway phenomenon.
The most significant structural change to the book involved changes to the
8th edition’s Chapter 9 (“Motivation, Satisfaction and Performance”). In order
to better address the extensive academic literature in those broad areas we divided the material into two chapters. In this 9th edition, Chapter 9 is now titled
“Motivation, Performance and Effectiveness;” it includes the five motivational
theories from before along with a detailed description of the performance management cycle (planning, monitoring, and evaluating performance) as well as
common ways to measure team and organizational effectiveness. Chapter 10 is
a new chapter entitled “Satisfaction, Engagement, and Potential.” It includes substantially enhanced content on engagement as well as a detailed discussion on
potential, including readiness and succession planning. And while all the chapters were revised in several ways, two other chapters saw relatively greater
change. Chapter 6 has substantially more content on the subject of emotional
intelligence as well as more extensive treatment of strength based leadership and
neuroleadership. Chapter 12 includes expanded treatment of organizational
culture types. And as noted above, all chapters include updates on relevant
research and changes in Highlights and Profiles in Leadership.
As always, we are indebted to the superb editorial staff at McGraw-Hill Education including Laura Hurst Spell, associate portfolio manager; Rick Hecker, content project manager; and Tracy Jensen, freelance development editor. They all
have been wise, supportive, helpful, and pleasant partners in this process, and it
has been our good fortune to know and work with such a professional team. We are
viii
Preface ix
grateful for the scholarly and insightful perspectives of the following scholars who
provided helpful feedback on particular portions of the text:
Patricia Ann Castelli
Lawrence Technological University
Gerald J Herbison
The American College
Gary Corona
Florida State College at Jacksonville
Rajnandini Pillai
California State University San Marcos
Nathaniel Vargas Gallegos
Chadron State College
Benjamin Redekop
Christopher Newport University
Once again we dedicate this book to the leaders of the past from
whom we have learned, the leaders of today whose behaviors and
actions shape our ever-changing world, and the leaders of tomorrow
whom we hope will benefit from the lessons in this book as they
face the challenges of change and globalization in an increasingly
interconnected world.
Richard L. Hughes
Robert C. Ginnett
Gordon J. Curphy
Brief Contents
PART ONE:
Chapter 10:
Leadership Is a Process, Not
a Position 1
atisfaction, Engagement,
S
and Potential 390
Chapter 11:
roups, Teams, and Their
G
Leadership 423
Chapter 1: What Do We Mean
by Leadership? 2
Chapter 2:
Leader Development
Chapter 3:
kills for Developing
S
Yourself as a Leader 82
40
PART TWO:
Focus on the Leader
109
Chapter 4: Power and Influence
Chapter 6: Leadership Attributes
176
Chapter 7: Leadership Behavior
245
Chapter 8: Skills for Building Personal
Credibility and Influencing
Others 284
PART THREE:
Chapter 9:
x
PART FOUR:
Focus on the Situation
321
otivation, Performance,
M
and Effectiveness 335
505
Chapter 13:
The Situation
Chapter 14:
Contingency Theories
of Leadership 546
Chapter 15:
eadership and
L
Change 580
Chapter 16:
he Dark Side of
T
Leadership 636
110
Chapter 5: Values, Ethics, and
Character 143
Focus on the Followers
Chapter 12: Skills for Developing
Others 470
507
Chapter 17: Skills for Optimizing
Leadership as Situations
Change 694
Contents
Preface viii
Reflection and Leadership Development
Single- and Double-Loop Learning
PART ONE
Leadership Is a Process, Not a Position
Chapter 1
What Do We Mean by Leadership?
Introduction 2
What Is Leadership?
1
2
3
Leadership Myths
12
Myth: Good Leadership Is All Common Sense 12
Myth: Leaders Are Born, Not Made 13
Myth: The Only School You Learn Leadership from
Is the School of Hard Knocks 14
The Interactional Framework for Analyzing
Leadership 15
The Leader 16
The Followers 17
The Situation 22
Illustrating the Interactional Framework: Women
in Leadership Roles 24
There Is No Simple Recipe for Effective
Leadership 30
Summary 32
Chapter 2
Leader Development 40
Introduction 40
The Action–Observation–Reflection Model
The Key Role of Perception in the Spiral
of Experience 45
Perception and Observation 45
Perception and Reflection 47
Perception and Action 48
Making the Most of Your Leadership Experiences:
Learning to Learn from Experience 54
Leader Development in College 57
Leader Development in Organizational Settings
Action Learning 64
Development Planning 65
Coaching 67
Mentoring 69
Building Your Own Leadership Self-Image
Summary 74
Leadership Is Both a Science and an Art 6
Leadership Is Both Rational and Emotional 7
Leadership and Management 9
59
72
Chapter 3
Skills for Developing Yourself as a Leader 82
Introduction 82
Your First 90 Days as a Leader
83
Before You Start: Do Your Homework 83
The First Day: You Get Only One Chance
to Make a First Impression 84
The First Two Weeks: Lay the Foundation 85
The First Two Months: Strategy, Structure,
and Staffing 87
The Third Month: Communicate and Drive Change
Learning from Experience
88
89
Creating Opportunities to Get Feedback
Taking a 10 Percent Stretch 89
Learning from Others 90
Keeping a Journal 90
Having a Developmental Plan 92
Building Technical Competence
42
49
53
89
92
Determining How the Job Contributes to the Overall
Mission 93
Becoming an Expert in the Job 94
Seeking Opportunities to Broaden Experiences 94
Building Effective Relationships with Superiors 95
Understanding the Superior’s World 96
Adapting to the Superior’s Style 96
xi
xii Contents
Building Effective Relationships with Peers
97
Recognizing Common Interests and Goals 98
Understanding Peers’ Tasks, Problems, and Rewards 98
Practicing a Theory Y Attitude 99
Development Planning 99
Conducting a GAPS Analysis 100
Identifying and Prioritizing Development Needs:
Gaps of GAPS 102
Bridging the Gaps: Building a Development
Plan 103
Reflecting on Learning: Modifying Development
Plans 105
Transferring Learning to New Environments 105
Authentic Leadership 158
Servant Leadership 159
The Roles of Ethics and Values in Organizational
Leadership 162
Leading by Example: The Good, the Bad,
and the Ugly 163
Creating and Sustaining an Ethical Climate
165
Summary 168
Chapter 6
Leadership Attributes 176
Introduction 176
Personality Traits and Leadership 177
PART TWO
What Is Personality? 177
The Five Factor or OCEAN Model of Personality
Implications of the Five Factor or OCEAN
Model 186
Focus on the Leader 109
Chapter 4
Power and Influence 110
181
Personality Types and Leadership 190
The Differences between Traits and Types 190
Psychological Preferences as a Personality Typology 190
Implications of Preferences and Types 193
Introduction 110
Some Important Distinctions 110
Power and Leadership 114
Sources of Leader Power 114
A Taxonomy of Social Power 117
Expert Power 118
Referent Power 118
Legitimate Power 119
Reward Power 120
Coercive Power 121
Concluding Thoughts about French and Raven’s Power
Taxonomy 124
Leader Motives 126
Influence Tactics 129
Types of Influence Tactics 129
Influence Tactics and Power 130
A Concluding Thought about Influence Tactics
Character-Based Approaches to Leadership 157
134
Summary 136
Chapter 5
Values, Ethics, and Character 143
Introduction 143
Leadership and “Doing the Right Things” 143
Values 145
Moral Reasoning and Character-Based Leadership 148
Intelligence and Leadership 199
What Is Intelligence? 199
The Triarchic Theory of Intelligence 200
Implications of the Triarchic Theory of Intelligence 205
Intelligence and Stress: Cognitive Resources Theory 210
Emotional Intelligence and Leadership 213
What Is Emotional Intelligence? 213
Can Emotional Intelligence Be Measured
and Developed? 216
Implications of Emotional Intelligence 218
Summary
222
Chapter 7
Leadership Behavior 245
Introduction 245
Studies of Leadership Behavior
Why Study Leadership Behavior?
The Early Studies 248
The Leadership Grid 251
Competency Models 255
The Leadership Pipeline 259
Community Leadership 264
246
246
Contents xiii
Assessing Leadership Behaviors: Multirater
Feedback Instruments 266
Summary 274
Keep Things in Perspective
The A-B-C Model 309
Problem Solving
284
The Two Components of Credibility
Building Expertise 285
Building Trust 286
Expertise × Trust 288
Communication
Improving Creativity
285
315
Seeing Things in New Ways 315
Using Power Constructively 315
Forming Diverse Problem-Solving Groups
292
294
Demonstrate Nonverbally That You Are
Listening 295
Actively Interpret the Sender’s Message 295
Attend to the Sender’s Nonverbal Behavior 296
Avoid Becoming Defensive 297
Assertiveness
314
316
290
Know What Your Purpose Is 292
Choose an Appropriate Context and Medium
Send Clear Signals 293
Actively Ensure That Others Understand
the Message 294
Listening
310
Identifying Problems or Opportunities for
Improvement 311
Analyzing the Causes 312
Developing Alternative Solutions 312
Selecting and Implementing the Best Solution
Assessing the Impact of the Solution 314
Chapter 8
Skills for Building Personal Credibility
and Influencing Others 284
Building Credibility
309
297
Use “I” Statements 300
Speak Up for What You Need 301
Learn to Say No 301
Monitor Your Inner Dialogue 301
Be Persistent 301
Conducting Meetings
302
Determine Whether It Is Necessary 302
List the Objectives 303
Stick to the Agenda 303
Provide Pertinent Materials in Advance 303
Make It Convenient 303
Encourage Participation 303
Keep a Record 304
Effective Stress Management
304
Monitor Your Own and Your Followers’ Stress
Levels 307
Identify What Is Causing the Stress 307
Practice a Healthy Lifestyle 308
Learn How to Relax 308
Develop Supportive Relationships 308
PART THREE
Focus on the Followers
321
The Potter and Rosenbach Followership
Model 324
The Curphy and Roellig Followership
Model 327
Chapter 9
Motivation, Performance,
and Effectiveness 335
Introduction 335
Defining Motivation, Satisfaction, Engagement,
Performance, and Effectiveness 336
Understanding and Influencing Follower
Motivation 343
Motives: How Do Needs Affect Motivation? 345
Achievement Orientation: How Does Personality Affect
Motivation? 348
Goal Setting: How Do Clear Performance Targets
Affect Motivation? 353
The Operant Approach: How Do Rewards
and Punishment Affect Motivation? 355
Empowerment: How Does Decision-Making Latitude
Affect Motivation? 361
Understanding and Managing Follower
Performance and Team and Organizational
Effectiveness 365
The Performance Management Cycle: Planning 369
The Performance Management Cycle: Monitoring 370
The Performance Management Cycle: Evaluating 371
Summary
375
xiv
Contents
On the Horizon 462
Summary 463
Chapter 10
Satisfaction, Engagement,
and Potential 390
Chapter 12
Skills for Developing Others
Introduction 390
Understanding and Influencing Follower
Satisfaction 391
Global, Facet, and Life Satisfaction 395
Two Theories of Job Satisfaction 399
Organizational Justice: Does Fairness Matter? 399
Herzberg’s Two-Factor Theory: Does Meaningful
Work Make People Happy? 401
Understanding and Improving Employee
Engagement 404
Understanding Follower Potential 407
Summary 414
Group Size 427
Developmental Stages of Groups
Group Roles 430
Group Norms 433
Group Cohesion 435
424
429
Effective Team Characteristics and Team
Building 438
Team Leadership Model 445
Outputs 446
Process 447
Inputs 449
Leadership Prescriptions of the Model 449
Creation 449
Dream 450
Design 451
Development 451
Diagnosis and Leverage Points 452
Concluding Thoughts about the Team Leadership
Model 456
458
Goals Should Be Specific and Observable 471
Goals Should Be Attainable but Challenging 471
Goals Require Commitment 472
Goals Require Feedback 473
Providing Constructive Feedback
Team Building for Work Teams
Teams 438
Virtual Teams
Introduction 470
Setting Goals 470
473
Make It Helpful 475
Be Specific 476
Be Descriptive 476
Be Timely 477
Be Flexible 477
Give Positive as Well as Negative Feedback
Avoid Blame or Embarrassment 478
Chapter 11
Groups, Teams, and Their
Leadership 423
Introduction 423
Individuals versus Groups versus Teams
The Nature of Groups 426
470
478
478
Team-Building Interventions 478
What Does a Team-Building Workshop Involve?
Examples of Interventions 481
480
Building High-Performing Teams: The Rocket
Model 482
Context: What Is the Situation? 482
Mission: What Are We Trying to Accomplish? 484
Talent: Who Is on the Bus? 484
Norms: What Are the Rules? 485
Buy-In: Is Everyone Committed and Engaged? 486
Power: Do We Have Enough Resources? 486
Morale: Can’t We All Just Get Along? 487
Results: Are We Winning? 488
Implications of the Rocket Model 488
Delegating
490
Why Delegating Is Important 491
Delegation Frees Time for Other Activities 491
Delegation Develops Followers 491
Delegation Strengthens the Organization 491
Common Reasons for Avoiding Delegation 492
Delegation Takes Too Much Time 492
Delegation Is Risky 492
The Job Will Not Be Done as Well 492
The Task Is a Desirable One 492
Others Are Already Too Busy 493
Contents xv
Principles of Effective Delegation 493
Decide What to Delegate 493
Decide Whom to Delegate To 493
Make the Assignment Clear and Specific 493
Assign an Objective, Not a Procedure 494
Allow Autonomy, but Monitor Performance 494
Give Credit, Not Blame 494
Coaching
495
Forging a Partnership 496
Inspiring Commitment: Conducting a GAPS
Analysis 497
Growing Skills: Creating Development and Coaching
Plans 498
Promoting Persistence: Helping Followers
Stick to Their Plans 498
Transferring Skills: Creating a Learning
Environment 500
Concluding Comments 500
Chapter 13
The Situation
505
507
516
From the Industrial Age to the Information Age
The Formal Organization 517
The Informal Organization: Organizational
Culture 520
A Theory of Organizational Culture 524
An Afterthought on Organizational Issues
for Students and Young Leaders 527
516
549
Levels of Participation 550
Decision Quality and Acceptance 550
The Decision Tree 552
Concluding Thoughts about the Normative Decision
Model 554
The Situational Leadership® Model
556
Leader Behaviors 556
Follower Readiness 557
Prescriptions of the Model 558
Concluding Thoughts about the Situational
Leadership Model 559
The Contingency Model
560
567
Summary
573
Chapter 15
Leadership and Change
580
Introduction 580
The Rational Approach to Organizational
Change 583
527
Are Things Changing More Than They Used To?
Leading across Societal Cultures 532
What Is Societal Culture? 535
The GLOBE Study 535
Implications for Leadership Practitioners
Summary 539
The Normative Decision Model
547
549
Leader Behaviors 567
The Followers 568
The Situation 570
Prescriptions of the Theory 571
Concluding Thoughts about the Path–Goal
Theory 572
How Tasks Vary, and What That Means
for Leadership 512
Problems and Challenges 514
The Environment
Concluding Thoughts about the LMX Model
The Path–Goal Theory
Introduction 507
The Task 512
The Organization
Introduction 546
Leader–Member Exchange (LMX) Theory
546
The Least Preferred Co-worker Scale 561
Situational Favorability 562
Prescriptions of the Model 564
Concluding Thoughts about the Contingency
Model 566
PART FOUR
Focus on the Situation
Chapter 14
Contingency Theories of Leadership
528
539
Dissatisfaction 584
Model 584
Process 588
Resistance 591
Concluding Thoughts about the Rational Approach
to Organizational Change 594
xvi
Contents
The Emotional Approach to Organizational
Change: Charismatic and Transformational
Leadership 597
Charismatic Leadership: A Historical Review 597
What Are the Common Characteristics of Charismatic
and Transformational Leadership? 603
Leader Characteristics 604
Vision 605
Rhetorical Skills 605
Image and Trust Building 606
Personalized Leadership 607
Follower Characteristics 608
Identification with the Leader and the Vision 608
Heightened Emotional Levels 608
Willing Subordination to the Leader 609
Feelings of Empowerment 609
Situational Characteristics 611
Crises 611
Social Networks 612
Other Situational Characteristics 612
Concluding Thoughts about the Characteristics
of Charismatic and Transformational Leadership 613
Bass’s Theory of Transformational
and Transactional Leadership 615
Research Results of Transformational
and Transactional Leadership 616
Summary
Summary
681
Chapter 17
Skills for Optimizing Leadership
as Situations Change 694
Introduction 694
Creating a Compelling Vision
694
Ideas: The Future Picture 695
Expectations: Values and Performance
Standards 696
Emotional Energy: The Power and the Passion 697
Edge: Stories, Analogies, and Metaphors 697
Managing Conflict
698
What Is Conflict? 699
Is Conflict Always Bad? 699
Conflict Resolution Strategies 700
Negotiation
704
Prepare for the Negotiation 704
Separate the People from the Problem 704
Focus on Interests, Not Positions 704
619
Chapter 16
The Dark Side of Leadership
Poor Followership: Fire Me, Please 669
Dark-Side Personality Traits: Personality as a Method
of Birth Control 672
Leadership Motivation: Get Promoted or Be
Effective? 677
Leadership b.s.: Myths That Perpetuate Managerial
Incompetence 679
636
Introduction 636
Destructive Leadership 639
Managerial Incompetence 644
Managerial Derailment 649
The Ten Root Causes of Managerial Incompetence
and Derailment 657
Stuff Happens: Situational and Follower Factors
in Managerial Derailment 659
The Lack of Organizational Fit: Stranger in a Strange
Land 661
More Clues for the Clueless: Lack of Situational
and Self-Awareness 664
Lack of Intelligence and Expertise: Real Men
of Genius 666
Diagnosing Performance Problems in Individuals,
Groups, and Organizations 705
Expectations 706
Capabilities 706
Opportunities 706
Motivation 707
Concluding Comments on the Diagnostic Model
Team Building at the Top
707
Executive Teams Are Different 707
Applying Individual Skills and Team Skills
Tripwire Lessons 709
Punishment
708
712
Myths Surrounding the Use of Punishment 712
Punishment, Satisfaction, and Performance 713
Administering Punishment 715
Index
721
707
Part
Leadership
Is a Process,
Not a Position
1
Leader
Followers
Leadership
Situation
If any single idea is central to this book, it is that leadership is a process, not a position.
The entire first part of this book explores that idea. One is not a leader—except perhaps
in name only—merely because one holds a title or position. Leadership involves something happening as a result of the interaction between a leader and followers.
In Chapter 1 we define leadership and explore its relationship to concepts such
as management and followership, and we also introduce the interactional framework. The interactional framework is based on the idea that leadership involves
complex interactions between the leader, the followers, and the situations they are
in. That framework provides the organizing principle for the rest of the book.
Chapter 2 looks at how we can become better leaders by profiting more fully from
our experiences, which is not to say that either the study or the practice of leadership is simple. Part 1 concludes with a chapter focusing on basic leadership skills.
There also will be a corresponding skills chapter at the conclusion of each of the
other three parts in this book.
Chapter
1
What Do We Mean
by Leadership?
Introduction
It is old news now that in the last presidential election most of the country was dismayed with the candidates of the two major political parties. “Can’t we do better
than this?” was a question on the minds of many millions of Americans. In fact,
however, our collective dismay about the quality of our leaders is not limited to particular presidential candidates—it is pervasive. According to a poll by the Center for
Public Leadership at Harvard Kennedy School, 70 percent of Americans believe our
country is in desperate need of better leaders and faces national decline unless something changes.1 And a 2013 Harris Poll showed that the percentage of people expressing even some confidence in governmental, corporate, and financial leadership
has plummeted from about 90 percent to 60 percent since 1996.2 Yet we also sometimes see stories of extraordinary leadership by otherwise ordinary people.
In the spring of 1972, an airplane flew across the Andes mountains carrying its
crew and 40 passengers. Most of the passengers were members of an amateur
Uruguayan rugby team en route to a game in Chile. The plane never arrived. It
crashed in snow-covered mountains, breaking into several pieces on impact. The
main part of the fuselage slid like a toboggan down a steep valley, coming to rest in
waist-deep snow. Although a number of people died immediately or within a day of
the impact, the picture for the 28 survivors was not much better. The fuselage offered little protection from the extreme cold, food supplies were scant, and a number of passengers had serious injuries from the crash. Over the next few days,
several surviving passengers became psychotic and several others died from their
injuries. The passengers who were relatively uninjured set out to do what they
could to improve their chances of survival.
Several worked on “weatherproofing” the wreckage; others found ways to get
water; and those with medical training took care of the injured. Although shaken
by the crash, the survivors initially were confident they would be found. These feelings gradually gave way to despair as search and rescue teams failed to find the
wreckage. With the passing of several weeks and no sign of rescue in sight, the remaining passengers decided to mount expeditions to determine the best way to
2
Chapter 1 What Do We Mean by Leadership? 3
Lives of great men all
remind us We can make
our lives sublime And,
departing, leave behind
us Footprints on the sands
of time.
Henry Wadsworth
Longfellow,
American poet
escape. The most physically fit were chosen to go on the expeditions because the
thin mountain air and the deep snow made the trips difficult. The results of the
trips were both frustrating and demoralizing: The expedition members determined
they were in the middle of the Andes mountains, and walking out to find help was
believed to be impossible. Just when the survivors thought nothing worse could
possibly happen, an avalanche hit the wreckage and killed several more of them.
The remaining survivors concluded they would not be rescued, and their only
hope was for someone to leave the wreckage and find help. Three of the fittest passengers were chosen for the final expedition, and everyone else’s work was directed
toward improving the expedition’s chances of success. The three expedition members were given more food and were exempted from routine survival activities; the
rest spent most of their energies securing supplies for the trip. Two months after
the plane crash, the expedition members set out on their final attempt to find help.
After hiking for 10 days through some of the most rugged terrain in the world, the
expedition stumbled across a group of Chilean peasants tending cattle. One of the
expedition members stated, “I come from a plane that fell in the mountains. I am
Uruguayan . . .” Eventually 14 other survivors were rescued.
When the full account of their survival became known, it was not without controversy. It had required extreme and unsettling measures: The survivors had lived
only by eating the flesh of their deceased comrades. Nonetheless, their story is one
of the most moving survival dramas of all time, magnificently told by Piers Paul
Read in Alive.3 It is a story of tragedy and courage, and it is a story of leadership.
Perhaps a story of survival in the Andes is so far removed from everyday experience that it does not seem to hold any relevant lessons about leadership for you
personally. But consider some of the basic issues the Andes survivors faced: tension between individual and group goals, dealing with the different needs and personalities of group members, and keeping hope alive in the face of adversity. These
issues are not so different from those facing many groups we’re a part of. We can
also look at the Andes experience for examples of the emergence of informal leaders in groups. Before the flight, a young man named Parrado was awkward and shy,
a “second-stringer” both athletically and socially. Nonetheless, this unlikely hero
became the best loved and most respected among the survivors for his courage,
optimism, fairness, and emotional support. Persuasiveness in group decision making also was an important part of leadership among the Andes survivors. During
the difficult discussions preceding the agonizing decision to survive on the flesh of
their deceased comrades, one of the rugby players made his reasoning clear: “I
know that if my dead body could help you stay alive, then I would want you to use
it. In fact, if I do die and you don’t eat me, then I’ll come back from wherever I am
and give you a good kick in the ass.”4
What Is Leadership?
The Andes story and the experiences of many other leaders we’ll introduce to you
in a series of profiles sprinkled throughout the chapters provide numerous examples of leadership. But just what is leadership? People who do research on
4 Part One Leadership Is a Process, Not a Position
The halls of fame are
open wide and they are
always full. Some go in
by the door called “push”
and some by the door
called “pull.”
Stanley Baldwin,
British prime
minister in the 1930s
Remember the difference
between a boss and a
leader: a boss says,
“Go!”—a leader says,
“Let’s go!”
leadership disagree more than you might think about what leadership really is.
Most of this disagreement stems from the fact that leadership is a complex phenomenon involving the leader, the followers, and the situation. Some leadership
researchers have focused on the personality, physical traits, or behaviors of the
leader; others have studied the relationships between leaders and followers; still
others have studied how aspects of the situation affect how leaders act. Some have
extended the latter viewpoint so far as to suggest there is no such thing as leadership; they argue that organizational successes and failures are often falsely attributed to the leader, but the situation may have a much greater impact on how the
organization functions than does any individual, including the leader.5
Perhaps the best way for you to begin to understand the complexities of leadership is to see some of the ways leadership has been defined. Leadership researchers have defined leadership in many different ways:
• The process by which an agent induces a subordinate to behave in a desired
manner.6
• Directing and coordinating the work of group members.7
• An interpersonal relation in which others comply because they want to, not because they have to.8
E. M. Kelly
• The process of influencing an organized group toward accomplishing its goals.9
• Actions that focus resources to create desirable opportunities.10
• Creating conditions for a team to be effective.11
• The ability to engage employees, the ability to build teams, and the ability to
achieve results; the first two represent the how and the latter the what of leadership.12
• A complex form of social problem solving.13
As you can see, definitions of leadership differ in many ways, and these differences have resulted in various researchers exploring disparate aspects of leadership. For example, if we were to apply these definitions to the Andes survival
scenario described earlier, some researchers would focus on the behaviors Parrado
used to keep up the morale of the survivors. Researchers who define leadership as
influencing an organized group toward accomplishing its goals would examine
how Parrado managed to convince the group to stage and support the final expedition. One’s definition of leadership might also influence just who is considered an
appropriate leader for study. Thus each group of researchers might focus on a different aspect of leadership, and each would tell a different story regarding the
leader, the followers, and the situation.
Although having many leadership definitions may seem confusing, it is important to understand that there is no single correct definition. The various definitions can help us appreciate the multitude of factors that affect leadership, as well
as different perspectives from which to view it. For example, in the first definition
just listed, the word subordinate seems to confine leadership to downward influence in hierarchical relationships; it seems to exclude informal leadership. The
second definition emphasizes the directing and coordinating aspects of leadership,
Chapter 1 What Do We Mean by Leadership? 5
“Future generations will
be living in a world that is
very different from that to
which we are accustomed.
It is essential that we prepare ourselves and our
children for that new
world.”
Sheikh Zayed bin
Sultan Al Nahyan
and thereby may deemphasize emotional aspects of leadership. The emphasis
placed in the third definition on subordinates’ “wanting to” comply with a leader’s
wishes seems to exclude any kind of coercion as a leadership tool. Further, it becomes problematic to identify ways in which a leader’s actions are really leadership
if subordinates voluntarily comply when a leader with considerable potential coercive power merely asks others to do something without explicitly threatening them.
Similarly, a key reason behind using the phrase desirable opportunities in one of the
definitions was precisely to distinguish between leadership and tyranny. And partly
because there are many different definitions of leadership, there is also a wide
range of individuals we consider leaders. In addition to the stories about leaders
and leadership that we sprinkle throughout this book, we highlight several in each
chapter in a series of Profiles in Leadership. The first of these is Profiles in Leadership 1.1, which highlights Sheikh Zayed, the founder of the United Arab Emirates.
Sheikh Zayed bin Sultan Al Nahyan
PROFILES IN LEADERSHIP 1.1
Sheikh Zayed founded the United Arab Emirates
(UAE) in 1971 and led it through arguably the world’s
greatest national transformation of the past
100 years. When he was born in 1918 the area was a
desert dominated by warring Arab tribes, and its
economy was based largely on fishing and pearldiving. But consider the UAE today:
• The city of Dubai is one of the safest cities in the
world, its airport is the busiest international airport in the world, and a new skyscraper is built
every day.
• One of those buildings, the Burj Khalifa, is the
tallest building in the world, and the Dubai Mall is
the largest shopping center in the world.
• Women hold leadership roles throughout society
including in business, government, and the military. Religious openness is evident in the major
cities with Muslim mosques, Christian churches,
Hindu temples, and even Jewish synagogues
found throughout the major cities. It is the first
country in the Arab region to enact a comprehensive law combating human trafficking.
So how did Zayed launch this amazing transformation? The story begins with the early life of the man
himself. As a boy and young man, he traveled extensively throughout the region living alongside Bedouin tribesmen, learning about their way of life in the
desert. That same thirst for learning prompted him
to conduct extensive research into the ancient history of the region, leading to his discovery that
15,000 years ago the Arabian peninsula was originally covered by thick forests and only later transformed into a desert. But those ancient forests—
transformed through eons into oil—still lay under the
desert sand. He committed himself to returning the
region to greenness.
One element of that quest became the planting of
trees, and now more than a million trees are growing
within the UAE. He established experimental agricultural stations across the country. He initiated projects
of water distribution, conservation, and desalination.
And he believed that the real resource of any nation is
its people, and committed his considerable wealth, energy, and talents to make education for all citizens—
men and women—a top national priority. The list of his
transformations goes on: health care, wildlife conservation, and job rights, to name just a few.
This was a man who transformed a desert into a
modern, thriving region still affirming the moderate
Islamic values that his entire life embodied.
6 Part One Leadership Is a Process, Not a Position
Mindful of the Profiles in Leadership running throughout the book, you might
wonder (as we do) about just what kind of leaders ought to be profiled in these
pages. Should we use illustrations featuring leaders who rose to the top in their
respective organizations? Should we use illustrations featuring leaders who contributed significantly to enhancing the effectiveness of their organizations?
We suspect you answered yes to both questions. But there’s the rub. You see,
leaders who rise to the top in their organizations are not always the same as those
who help make their organizations more effective. As it turns out, successful
managers (i.e., those promoted quickly through the ranks) spend relatively more
time than others in organizational socializing and politicking; and they spend relatively less time than the latter on traditional management responsibilities like planning and decision making. Truly effective managers, however, make real
contributions to their organization’s performance.14 This distinction is a critical
one, even if quite thorny to untangle in leadership research.
A recent 10-year study of what separated the “best of the best” executives from
all the rest in their organizations offers some valuable insights even for people at
the very beginning of their careers (and this study was studying real effectiveness,
not just success-at-schmoozing, as described in the preceding paragraph). These
“best of the best” executives demonstrated expertise and across their careers excelled across all facets of their organization’s functions—they knew the whole business, not just a piece of it. And they also knew and cared about the people they
worked with. These top-performing leaders formed deep and trusting relationships
with others, including superiors, peers, and direct reports. They’re the kind of
people others want working for them, and the kind others want to work for. By the
way, relational failure with colleagues proved to be the quickest route to failure
among the second-best executives.15
All considered, we find that defining leadership as “the process of influencing
an organized group toward accomplishing its goals” is fairly comprehensive and
helpful. Several implications of this definition are worth further examination.
Leadership Is Both a Science and an Art
Saying leadership is both a science and an art emphasizes the subject of leadership
as a field of scholarly inquiry, as well as certain aspects of the practice of leadership. The scope of the science of leadership is reflected in the number of studies—
approximately 8,000—cited in an authoritative reference work, Bass & Stogdill’s
Handbook of Leadership: Theory, Research, and Managerial Applications.16 A review
of leadership theory and research over the past 25 years notes the expanding
breadth and complexity of scholarly thought about leadership in the preceding
quarter century. For example, leadership involves dozens of different theoretical
domains and a wide variety of methods for studying it.17
However, being an expert on leadership research is neither necessary nor sufficient for being a good leader. Some managers may be effective leaders without ever
having taken a course or training program in leadership, and some scholars in the
field of leadership may be relatively poor leaders themselves. What’s more, new
academic models of leadership consider the “locus” of leadership (where
Chapter 1 What Do We Mean by Leadership? 7
Any fool can keep a rule.
God gave him a brain to
know when to break the
rule.
General Willard
W. Scott
A democracy cannot follow a leader unless he is
dramatized. A man to be
a hero must not content
himself with heroic virtues
and anonymous action.
He must talk and explain
as he acts—drama.
William Allen White,
American writer and
editor, Emporia
Gazette
leadership emanates from) as not just coming from an individual leader (whether
holding a formal position or not, as we’ll explore later in this chapter) but also as
emanating alternatively from groups or even from an entire organization.18
Nonetheless, knowing something about leadership research is relevant to leadership effectiveness. Scholarship may not be a prerequisite for leadership effectiveness, but understanding some of the major research findings can help individuals
better analyze situations using a variety of perspectives. That, in turn, can tell leaders how to be more effective. Even so, because skills in analyzing and responding
to situations vary greatly across leaders, leadership will always remain partly an art
as well as a science. Highlight 1.1 raises the question of whether leadership should
be considered a true science or not.
Leadership Is Both Rational and Emotional
Leadership involves both the rational and emotional sides of human experience.
Leadership includes actions and influences based on reason and logic as well as
those based on inspiration and passion. We do not want to cultivate merely intellectualized leaders who respond with only logical predictability. Because people
differ in their thoughts and feelings, hopes and dreams, needs and fears, goals and
ambitions, and strengths and weaknesses, leadership situations can be complex.
People are both rational and emotional, so leaders can use rational techniques and
emotional appeals to influence followers, but they must also weigh the rational and
emotional consequences of their actions.
Is the Study of Leadership a “Real” Science?
HIGHLIGHT 1.1
In this chapter we posit that leadership is both a science and an art. Most people, we think, accept the
idea that some element of leadership is an art in the
sense that it can’t be completely prescribed or routinized into a set of rules to follow, that there is an
inherent personal element to leadership. Perhaps
even because of that, many people are skeptical
about the idea that the study of leadership can be a
“real” science like physics and chemistry. Even
when acknowledging that thousands of empirical
studies of leadership have been published, many
still resist the idea that it is in any way analogous to
the “hard” sciences.
It might interest you to know, then, that a lively
debate is ongoing today among leadership scholars
about whether leadership ought to model itself
after physics. And the debate is about more than
“physics envy.” The debate is reminiscent of the
early twentieth century, when some of the great
minds in psychology proposed that psychological
theory should be based on formal and explicit mathematical models rather than armchair speculation.
Today’s debate about the field of leadership looks at
the phenomena from a systems perspective and
revolves around the extent to which there may be
fundamental similarities between leadership and
thermodynamics.
So are you willing to consider the possibility that
the dynamics governing molecular bonding can also
explain how human beings organize themselves to
accomplish a shared objective?
Source: R. B. Kaiser, “Beyond Physics Envy? An Introduc-
tion to the Special Issue,” Consulting Psychology Journal:
Practice & Research 66 (2014), pp. 259–60.
8 Part One Leadership Is a Process, Not a Position
A full appreciation of leadership involves looking at both of these sides of human nature. Good leadership is more than just calculation and planning, or following a checklist, even though rational analysis can enhance good leadership. Good
leadership also involves touching others’ feelings; emotions play an important role
in leadership, too. Just one example of this is the civil rights movement of the
1960s, which was based on emotions as well as on principles. Dr. Martin Luther
King Jr. inspired many people to action; he touched people’s hearts as well as their
minds.
Aroused feelings, however, can be used either positively or negatively, constructively or destructively. Some leaders have been able to inspire others to deeds of
great purpose and courage. By contrast, as images of Adolf Hitler’s mass rallies or
present-day angry mobs attest, group frenzy can readily become group mindlessness. As another example, emotional appeals by the Reverend Jim Jones resulted
in approximately 800 of his followers volitionally committing suicide.
The mere presence of a group (even without heightened emotional levels) can
also cause people to act differently than when they are alone. For example, in airline cockpit crews, there are clear lines of authority from the captain down to the
first officer (second in command) and so on. So strong are the norms surrounding
the authority of the captain that some first officers will not take control of the
airplane from the captain even in the event of impending disaster. Foushee reported a study wherein airline captains in simulator training intentionally feigned
incapacitation so that the response of the rest of the crew could be observed.19 The
feigned incapacitations occurred at a predetermined point during the plane’s final
approach in landing, and the simulation involved conditions of poor weather and
visibility. Approximately 25 percent of the first officers in these simulated flights
allowed the plane to crash. For some reason, the first officers did not take control
even when it was clear the captain was allowing the aircraft to deviate from the
parameters of a safe approach. This example demonstrates how group dynamics
can influence the behavior of group members even when emotional levels are not
high. (Believe it or not, airline crews are so well trained that this is not an emotional situation.) In sum, it should be apparent that leadership involves followers’
feelings and nonrational behavior as well as rational behavior. Leaders need to
consider both the rational and the emotional consequences of their actions.
In fact, some scholars have suggested that the very idea of leadership may be
rooted in our emotional needs. Belief in the potency of leadership, however—what
has been called the romance of leadership—may be a cultural myth that has utility primarily insofar as it affects how people create meaning about causal events in
complex social systems. Such a myth, for example, may be operating in the tendency of many people in the business world to automatically attribute a company’s
success or failure to its leadership. Rather than being a casual factor in a company’s success, however, it might be the case that “leadership” is merely a romanticized notion—an obsession people want to and need to believe in.20 Related to this
may be a tendency to attribute a leader’s success primarily if not entirely to that
person’s unique individual qualities. That idea is further explored in Profiles in
Leadership 1.2.
Chapter 1 What Do We Mean by Leadership? 9
Bill Gates’s Head Start
PROFILES IN LEADERSHIP 1.2
Belief in an individual’s potential to overcome great
odds and achieve success through talent, strength,
and perseverance is common in America, but usually there is more than meets the eye in such success stories. Malcolm Gladwell’s best seller Outliers
presents a fascinating exploration of how situational
factors contribute to success in addition to the kinds
of individual qualities we often assume are allimportant. Have you ever thought, for example, that
Bill Gates was able to create Microsoft because he’s
just brilliant and visionary?
Well, let’s take for granted he is brilliant and
visionary—there’s plenty of evidence of that. The
point here, however, is that’s not always enough
(and maybe it’s never enough). Here are some of the
things that placed Bill Gates, with all his intelligence
and vision, at the right time in the right place:
• Gates was born to a wealthy family in Seattle that
ortunately, at about the same time, a group called
F
the Computer Center Corporation was formed at
the University of Washington to lease computer
time. One of its founders, coincidentally a parent at
Gates’s own school, thought the school’s computer
club could get time on the computer in exchange
for testing the company’s new software programs.
Gates then started a regular schedule of taking the
bus after school to the company’s offices, where he
programmed long into the evening. During one
seven-month period, Gates and his fellow computer club members averaged eight hours a day,
seven days a week, of computer time.
• When Gates was a high school senior, another
extraordinary opportunity presented itself. A major national company (TRW) needed programmers with specialized experience—exactly, as it
turned out, the kind of experience the kids at
Gates’s school had been getting. Gates successfully lobbied his teachers to let him spend a
spring doing this work in another part of the state
for independent study credit.
placed him in a private school for seventh grade.
In 1968, his second year there, the school started
a computer club—even before most colleges had
computer clubs.
• By the time Gates dropped out of Harvard after his
about computers used computer cards, a tedious
and mind-numbing process. The computer at
Gates’s school, however, was linked to a mainframe
in downtown Seattle. Thus in 1968 Bill Gates was
practicing computer programming via time-sharing
as an eighth grader; few others in the world then
had such opportunity, whatever their age.
It appears that Gates’s success is at least partly
an example of the right person being in the right
place at just the right time.
• In the 1960s virtually everyone who was learning
• Even at a wealthy private school like the one Gates
attended, however, funds ran out to cover the high
costs of buying time on a mainframe computer.
If you want some ham,
you gotta go into the
smokehouse.
Huey Long, governor
of Louisiana,
1928–1932
sophomore year, he had accumulated more than
10,000 hours of programming experience. It was,
he’s said, a better exposure to software development than anyone else at a young age could have
had—and all because of a lucky series of events.
Source: Malcolm Gladwell, Outliers: The Story of Success (New York: Little, Brown and Company, 2008).
Leadership and Management
In trying to answer the question “What is leadership?” it is natural to look at the relationship between leadership and management. To many people, the word
management suggests words like efficiency, planning, paperwork, procedures, regulations, control, and consistency. Leadership is often more associated with words like
risk taking, dynamic, creativity, change, and vision. Some people say leadership is
fundamentally a value-choosing, and thus a value-laden, activity, whereas management
10 Part One Leadership Is a Process, Not a Position
is not. Leaders are thought to do the right things, whereas managers are thought to do
things right.21,22 Here are some other distinctions between managers and leaders:23
• Managers administer; leaders innovate.
• Managers maintain; leaders develop.
• Managers control; leaders inspire.
• Managers have a short-term view; leaders, a long-term view.
• Managers ask how and when; leaders ask what and why.
• Managers imitate; leaders originate.
• Managers accept the status quo; leaders challenge it.
While acknowledging this general distinction between leadership and management
is essentially accurate and even useful, however, it has had unintended negative effects:
“Some leaders now see their job as just coming up with big and vague ideas, and they
treat implementing them, or even engaging in conversation and planning about the
details of them, as mere ‘management’ work that is beneath their station and stature.”24
Zaleznik goes so far as to say these differences reflect fundamentally different
personality types: Leaders and managers are basically different kinds of people.25 He
says some people are managers by nature; other people are leaders by nature. One is
not better than the other; they are just different. Their differences, in fact, can be useful because organizations typically need both functions performed well. For example,
consider again the U.S. civil rights movement in the 1960s. Dr. Martin Luther King
Jr. gave life and direction to the civil rights movement in America. He gave dignity
and hope of freer participation in national life to people who before had little reason
to expect it. He inspired the world with his vision and eloquence, and he changed the
way we live together. America is a different nation today because of him. Was
Dr. Martin Luther King Jr. a leader? Of course. Was he a manager? Somehow that
does not seem to fit, and the civil rights movement might have failed if it had not
been for the managerial talents of his supporting staff. Leadership and management
complement each other, and both are vital to organizational success.
With regard to the issue of leadership versus management, the authors of this
book take a middle-of-the-road position. We think of leadership and management
as closely related but distinguishable functions. Our view of the relationship is depicted in Figure 1.1, which shows leadership and management as two overlapping
FIGURE 1.1
Leadership and
Management Overlap
Leadership
Management
Chapter 1
What Do We Mean by Leadership? 11
functions. Although some functions performed by leaders and managers may be
unique, there is also an area of overlap. In reading Highlight 1.2, do you see more
good management in the response to the 1906 San Francisco earthquake, more
good leadership, or both? And in Profiles in Leadership 1.3 you can read about
leaders from two different eras in American history.
The Response of Leadership to a Natural Disaster
HIGHLIGHT 1.2
Much has been written about the inadequate
response of local, state, and federal agencies to
Hurricane Katrina. It may be instructive to compare
the response of government agencies to a natural
disaster on a different coast a century earlier: the
San Francisco earthquake and fire of 1906.
While the precipitant disaster was the earthquake itself, much destruction resulted from the
consequent fire, one disaster aggravating the
impact of the others. Poles throughout the city fell, taking the high-tension wires they were carrying with
them. Gas pipes broke; chimneys fell, dropping hot
coals into thousands of gallons of gas spilled by broken fuel tanks; stoves and heaters in homes toppled
over; and in moments fires erupted across the city.
Because the earthquake’s first tremors also broke
water pipes throughout the city, fire hydrants everywhere suddenly went dry, making fighting the fires
virtually impossible. In objective terms, the disaster
is estimated to have killed as many as 3,000 people,
rendered more than 200,000 homeless, and by
some measures caused $195 billion in property loss
as measured by today’s dollars.
How did authorities respond to the crisis when
there were far fewer agencies with presumed
response plans to combat disasters, and when hightech communication methods were unheard of?
Consider these two examples:
• The ranking officer assigned to a U.S. Army post
in San Francisco was away when the earthquake
struck, so it was up to his deputy to help organize
the army’s and federal government’s response.
The deputy immediately cabled W
ashington, D.C.,
requesting tents, rations, and medicine. Secretary
of War William Howard Taft, who would become
the next U.S. president, responded by immediately dispatching 200,000 rations from Washington state. In a matter of days, every tent in the
U.S. Army had been sent to San Francisco, and
the longest hospital train in history was
dispatched from Virginia.
• Perhaps the most impressive example of leader-
ship initiative in the face of the 1906 disaster was
that of the U.S. Post Office. It recovered its ability
to function in short order without losing a single
item that was being handled when the earthquake struck. And because the earthquake had
effectively destroyed the city’s telegraphic connection (telegrams inside the city were temporarily being delivered by the post office), a critical
question arose: How could people struck by the
disaster communicate with their families elsewhere? The city postmaster immediately announced that all citizens of San Francisco could
use the post office to inform their families and
loved ones of their condition and needs. He further stipulated that for outgoing private letters it
would not matter whether the envelopes bore
stamps. This was what was needed: Circumstances demanded that people be able to communicate with friends and family whether or not
they could find or pay for stamps.
This should remind us that modern leadership is not
necessarily better leadership, and that leadership in
government is not always bureaucratic and can be
both humane and innovative.
12 Part One Leadership Is a Process, Not a Position
A Tale of Two Leaders
PROFILES IN LEADERSHIP 1.3
In 2015 the musical Hamilton opened on Broadway.
It would go on to win a Pulitzer Prize and 11 Tony
awards. It tells the story of Alexander Hamilton, a
founding father whose singularly important role in
our history has been largely forgotten.
If you are like most people—at least before
Hamilton opened on Broadway—you probably know
very little about Alexander Hamilton’s life. So consider just a few noteworthy pieces of his life story:
• He was born out of wedlock to a mixed-race cou-
ple in the West Indies in 1755. He served an apprenticeship in St. Croix with a trading company
where his experience with seafaring traders and
smugglers provided insight key to his later establishment of the U.S. Coast Guard and customs
service.
• He attended college in the American colonies,
and at the age of 22 served as George Washington’s private secretary and as his unofficial chiefof-staff during the Revolutionary War. He was the
main architect of the new American government
following the Constitutional Convention of 1787.
Rather impressive accomplishments for someone you had not heard much about before the musical became popular. But Lin-Manuel Miranda
became fascinated with the character when he read
Ron Chernow’s excellent biography of Hamilton. It
inspired him to write the musical (both the script and
the music) and to star in the title role.
And just as many Americans have become newly
acquainted with Alexander Hamilton the leader,
many have come to appreciate Lin-Manuel Miranda
the leader as well. Among his accomplishments was
his selection as one of Time magazine’s 100 most
influential people of 2016. In reflecting on the award
and his own legacy, he told Time magazine, “We
have this amount of time. It’s the tiniest grain of sand
of time we’re allowed on this earth, and what do we
leave behind? I think that question has gnawed at
me as long as I’ve been conscious. That’s something
that Hamilton outright states in our show, and I think
that’s something I share with him.”
Sources: R. Chernow, Alexander Hamilton (New York:
Penguin, 2004); J. McGregor, “How Hamilton’s Lin-Manuel
Miranda Makes Us Think about Legacy,” Washington
Post, May 4, 2016.
Leadership Myths
Few things pose a greater obstacle to leadership development than certain unsubstantiated and self-limiting beliefs about leadership. Therefore, before we begin examining leadership and leadership development in more detail, we consider what
they are not. Here we examine several beliefs (we call them myths) that stand in
the way of fully understanding and developing leadership.
Myth: Good Leadership Is All Common Sense
At face value, this myth says one needs only common sense to be a good leader. It
also implies, however, that most if not all of the studies of leadership reported in
scholarly journals and books only confirm what anyone with common sense already knows.
The problem, of course, is with the ambiguous term common sense. It implies a
common body of practical knowledge about life that virtually any reasonable person with moderate experience has acquired. A simple experiment, however, may
convince you that common sense may be less common than you think. Ask a few
Chapter 1 What Do We Mean by Leadership? 13
If you miss seven balls
out of ten, you’re batting
three hundred and that’s
good enough for the Hall
of Fame. You can’t score
if you keep the bat on
your shoulder.
Walter B. Wriston,
chairman of Citicorp,
1970–1984
friends or acquaintances whether the old folk wisdom “Absence makes the heart
grow fonder” is true or false. Most will say it is true. After that, ask a different
group whether the old folk wisdom “Out of sight, out of mind” is true or false.
Most of that group will answer true as well, even though the two proverbs are contradictory.
A similar thing sometimes happens when people hear about the results of studies concerning human behavior. On hearing the results, people may say, “Who
needed a study to learn that? I knew it all the time.” However, several experiments showed that events were much more surprising when subjects had to guess
the outcome of an experiment than when subjects were told the outcome.26,27 What
seems obvious after you know the results and what you (or anyone else) would
have predicted beforehand are not the same thing. Hindsight is always 20/20.
The point might become clearer with a specific example. Read the following
paragraph:
After World War II, the U.S. Army spent enormous sums of money on studies only
to reach conclusions that, many believed, should have been apparent at the outset.
One, for example, was that southern soldiers were better able to stand the climate in
the hot South Sea islands than northern soldiers were.
This sounds reasonable, but there is a problem: The statement here is exactly
contrary to the actual findings. Southerners were no better than northerners in
adapting to tropical climates.28 Common sense can often play tricks on us.
Put a little differently, one challenge of understanding leadership may be to
know when common sense applies and when it does not. Do leaders need to act
confidently? Of course. But they also need to be humble enough to recognize that
others’ views are useful, too. Do leaders need to persevere when times get tough?
Yes. But they also need to recognize when times change and a new direction is
called for. If leadership were nothing more than common sense, there should be
few, if any, problems in the workplace. However, we venture to guess you have noticed more than a few problems between leaders and followers. Effective leadership
must be something more than just common sense.
Myth: Leaders Are Born, Not Made
Never reveal all of yourself to other people; hold
back something in reserve
so that people are never
quite sure if they really
know you.
Michael Korda,
author, editor
Some people believe that being a leader is either in one’s genes or not; others believe that life experiences mold the individual and that no one is born a leader.
Which view is right? In a sense, both and neither. Both views are right in that innate factors as well as formative experiences influence many sorts of behavior, including leadership. Yet both views are wrong to the extent they imply leadership is
either innate or acquired; what matters more is how these factors interact. It does
not seem useful, we believe, to think of the world as comprising two mutually exclusive types of people, leaders and nonleaders. It is more useful to address how each
person can make the most of leadership opportunities he or she faces.
It may be easier to see the pointlessness of asking whether leaders are born or
made by looking at an alternative question of far less popular interest: Are college
professors born or made? Conceptually the issues are the same, and here too the
14 Part One Leadership Is a Process, Not a Position
answer is that every college professor is both born and made. It seems clear enough
that college professors are partly “born” because (among other factors) there is a
genetic component to intelligence, and intelligence surely plays some part in becoming a college professor (well, at least a minor part!). But every college professor
is also partly “made.” One obvious way is that college professors must have advanced education in specialized fields; even with the right genes one could not become a college professor without certain requisite experiences. Becoming a college
professor depends partly on what one is born with and partly on how that inheritance is shaped through experience. The same is true of leadership.
More specifically, research indicates that many cognitive abilities and personality traits are at least partly innate.29 Thus natural talents or characteristics may offer certain advantages or disadvantages to a leader. Consider physical
characteristics: A man’s above-average height may increase others’ tendency to
think of him as a leader; it may also boost his own self-confidence. But it doesn’t
make him a leader. The same holds true for psychological characteristics that seem
related to leadership. The stability of certain characteristics over long periods (for
example, at school reunions people seem to have kept the same personalities we
remember them as having years earlier) may reinforce the impression that our basic natures are fixed, but different environments nonetheless may nurture or suppress different leadership qualities.
Myth: The Only School You Learn Leadership from Is the
School of Hard Knocks
Progress always involves
risks. You can’t steal
second base and keep
your foot on first.
Frederick B. Wilcox
Some people skeptically question whether leadership can develop through formal
study, believing instead it can be acquired only through actual experience. It is a
mistake, however, to think of formal study and learning from experience as mutually exclusive or antagonistic. In fact, they complement each other. Rather than ask
whether leadership develops from formal study or from real-life experience, it is
better to ask what kind of study will help students learn to discern critical lessons
about leadership from their own experience. Approaching the issue in such a way
recognizes the vital role of experience in leadership development, but it also admits that certain kinds of study and training can improve a person’s ability to discern important lessons about leadership from experience. It can, in other words,
accelerate the process of learning from experience.
We argue that one advantage of formally studying leadership is that formal
study provides students with a variety of ways of examining a particular leadership
situation. By studying the different ways researchers have defined and examined
leadership, students can use these definitions and theories to better understand
what is going on in any leadership situation. For example, earlier in this chapter we
used different leadership definitions as a framework for describing or analyzing the
situation facing Parrado and the survivors of the plane crash, and each definition
focused on a different aspect of leadership. These frameworks can similarly be applied to better understand the experiences one has as both a leader and a follower.
We think it is difficult for leaders, particularly novice leaders, to examine leadership situations from multiple perspectives; but we also believe developing this skill
Chapter 1
What Do We Mean by Leadership? 15
Howard Schultz
PROFILES IN LEADERSHIP 1.4
Starbucks began in 1971 as a very different company
than we know it as today. The difference is due in
large part to the way its former CEO, Howard Schultz,
reframed the kind of business Starbucks should be.
Schultz joined Starbucks in 1981 to head its marketing
and retail store operations. While on a trip to Italy in
1983, Schultz was amazed by the number and variety
of espresso bars there—1,500 in the city of Turin
alone. He concluded that the Starbucks stores in
Seattle had missed the point: Starbucks should be
not just a store but an experience—a gathering place.
Everything looks clearer in hindsight, of course,
but the Starbucks owners resisted Schultz’s vision;
Starbucks was a retailer, they insisted, not a restaurant or bar. Schultz’s strategic reframing of the Starbucks opportunity was ultimately vindicated
when—after having departed Starbucks to pursue
the same idea with another company—Schultz had
the opportunity to purchase the whole Starbucks
operation in Seattle, including its name.
Despite today’s pervasiveness of Starbucks
across the world, however, and the seeming obviousness of Schultz’s exemplary leadership, the Starbucks story has not been one of completely
consistent success. After Schultz retired as Starbucks CEO when it was a global megabrand, the
company’s performance suffered to the point
Schultz complained that it was “losing its soul.” He
was asked to return as CEO in 2008 and has tried to
resurrect Starbucks by bringing new attention to the
company’s operating efficiency and by admitting, in
effect, that some of his own earlier instinctive approach to company strategy and management
would no longer be sufficient for the new global
scale of the Starbucks operation. In fact, Schultz discovered the challenges and the road to recovery
even more daunting than he expected. Leadership—
even for one with a proven track record—is never
easy.
Schultz stepped down as Starbucks CEO for the
second time in 2017.
can help you become a better leader. Being able to analyze your experiences from
multiple perspectives may be the greatest single contribution a formal course in
leadership can give you. Maybe you can reflect on your own leadership over a cup
of coffee in Starbucks as you read about the origins of that company in Profiles in
Leadership 1.4.
The Interactional Framework for Analyzing Leadership
Perhaps the first researcher to formally recognize the importance of the leader,
follower, and situation in the leadership process was Fred Fiedler.30 Fiedler used
these three components to develop his contingency model of leadership, a theory
of leadership discussed in more detail in Chapter 14. Although we recognize
Fiedler’s contributions, we owe perhaps even more to Hollander’s transactional
approach to leadership.31 We call our approach the interactional framework.
Several aspects of this derivative of Hollander’s approach are worthy of additional comment. First, as shown in Figure 1.2, the framework depicts leadership as
a function of three elements—the leader, the followers, and the situation. Second,
a particular leadership scenario can be examined using each level of analysis separately. Although this is a useful way to understand the leadership process, we can
16 Part One
Leadership Is a Process, Not a Position
Leader
FIGURE 1.2
An Interactional
Framework for
Analyzing Leadership
Personality,
position,
expertise,
etc.
Followers
Values,
norms,
cohesiveness,
etc.
Task,
stress,
environment,
etc.
Situation
Source: Adapted from E. P. Hollander, Leadership Dynamics: A Practical Guide to Effective
Relationships (New York: Free Press, 1978).
understand the process even better if we also examine the interactions among the
three elements, or lenses, represented by the overlapping areas in the figure. For
example, we can better understand the leadership process if we not only look at the
leaders and the followers but also examine how leaders and followers affect each
other in the leadership process. Similarly, we can examine the leader and the situation separately, but we can gain a better understanding of the leadership process by
looking at how the situation can constrain or facilitate a leader’s actions and how
the leader can change different aspects of the situation to be more effective. Thus a
final important aspect of the framework is that leadership is the result of a complex
set of interactions among the leader, the followers, and the situation. These complex
interactions may be why broad generalizations about leadership are problematic:
Many factors influence the leadership process (see Highlight 1.3).
An example of one such complex interaction between leaders and followers is
evident in what have been called in-groups and out-groups. Sometimes there is a
high degree of mutual influence and attraction between the leader and a few subordinates. These subordinates belong to the in-group and can be distinguished by
their high degree of loyalty, commitment, and trust felt toward the leader. Other
subordinates belong to the out-group. Leaders have considerably more influence
with in-group followers than with out-group followers. However, this greater degree
of influence has a price. If leaders rely primarily on their formal authority to influence their followers (especially if they punish them), then leaders risk losing the
high levels of loyalty and commitment followers feel toward them.32
The Leader
This element examines primarily what the leader brings as an individual to the
leadership equation. This can include unique personal history, interests, character
traits, and motivation.
Chapter 1
I must follow the people.
Am I not their leader?
Benjamin Disraeli,
19th-century British
prime minister
The crowd will follow a
leader who marches
twenty steps in advance;
but if he is a thousand
steps in front of them,
they do not see and do
not follow him.
Georg Brandes,
Danish scholar
What Do We Mean by Leadership? 17
Leaders are not all alike, but they tend to share many characteristics. Research has
shown that leaders differ from their followers, and effective leaders differ from ineffective leaders, on various personality traits, cognitive abilities, skills, and values.33–38
Another way personality can affect leadership is through temperament, by which we
mean whether a leader is generally calm or is instead prone to emotional outbursts.
Leaders who have calm dispositions and do not attack or belittle others for bringing bad
news are more likely to get complete and timely information from subordinates than are
bosses who have explosive tempers and a reputation for killing the messenger.
Another important aspect of the leader is how he or she achieved leader status.
Leaders who are appointed by superiors may have less credibility with subordinates and get less loyalty from them than leaders who are elected or emerge by
consensus from the ranks of followers. Often emergent or elected officials are better able to influence a group toward goal achievement because of the power conferred on them by their followers. However, both elected and emergent leaders
need to be sensitive to their constituencies if they wish to remain in power.
More generally, a leader’s experience or history in a particular organization is
usually important to her or his effectiveness. For example, leaders promoted from
within an organization, by virtue of being familiar with its culture and policies, may
be ready to “hit the ground running.” In addition, leaders selected from within an
organization are typically better known by others in the organization than are leaders selected from the outside. That is likely to affect, for better or worse, the latitude others in the organization are willing to give the leader; if the leader is widely
respected for a history of accomplishment, she may be given more latitude than a
newcomer whose track record is less well known. On the other hand, many people
tend to give new leaders a fair chance to succeed, and newcomers to an organization often take time to learn the organization’s informal rules, norms, and “ropes”
before they make any radical or potentially controversial decisions.
A leader’s legitimacy also may be affected by the extent to which followers participated in the leader’s selection. When followers have had a say in the selection
or election of a leader, they tend to have a heightened sense of psychological identification with her, but they also may have higher expectations and make more demands on her.39 We also might wonder what kind of support a leader has from his
own boss. If followers sense their boss has a lot of influence with the higher-ups,
subordinates may be reluctant to take their complaints to higher levels. On the
other hand, if the boss has little influence with higher-ups, subordinates may be
more likely to make complaints at these levels.
The foregoing examples highlight the sorts of insights we can gain about leadership by focusing on the individual leader as a level of analysis. Even if we were to
examine the individual leader completely, however, our understanding of the leadership process would be incomplete.
The Followers
Followers are a critical part of the leadership equation, but their role has not always
been appreciated, at least in empirical research (but read Highlight 1.3 to see how
the role of followers has been recognized in literature). For a long time, in fact, “the
18 Part One Leadership Is a Process, Not a Position
The First Band of Brothers
HIGHLIGHT 1.3
Many of you probably have seen, or at least heard
of, the award-winning series Band of Brothers that
followed a company of the famous 101st Airborne division during World War II, based on a book of the
same title by Stephen Ambrose. You may not be
aware that an earlier band of brothers was made famous by William Shakespeare in his play Henry V.
In one of the most famous speeches by any of
Shakespeare’s characters, the young Henry V tried
to unify his followers when their daring expedition to
conquer France was failing. French soldiers followed Henry’s army along the rivers, daring them to
cross over and engage the French in battle. Just before the battle of Agincourt, Henry’s rousing words
rallied his vastly outnumbered, weary, and tattered
troops to victory. Few words of oratory have ever
better bonded a leader with his followers than
Henry’s call for unity among “we few, we happy few,
we band of brothers.”
Hundreds of years later, Henry’s speech is still a
powerful illustration of a leader who emphasized the
importance of his followers. Modern leadership
All men have some weak
points, and the more
vigorous and brilliant a
person may be, the more
strongly these weak points
stand out. It is highly
desirable, even essential,
therefore, for the more
influential members of a
general’s staff not to be
too much like the general.
Major General Hugo
Baron von FreytagLoringhoven, antiHitler conspirator
concepts like vision, charisma, relationship orientation, and empowerment are readily evident in
Henry’s interactions with his followers. Here are the
closing lines of Henry’s famous speech:
From this day to the ending of the world,
But we in it shall be remembered—
We few, we happy few, we band of brothers;
For he today that sheds his blood with me
Shall be my brother; be he ne’er so vile,
This day shall gentle his condition;
And gentlemen in England now-a-bed
Shall think themselves accurs’d they were not here,
And hold their manhoods cheap whiles any speaks
That fought with us upon Saint Crispin’s day.
Shakespeare’s insights into the complexities of
leadership should remind us that while modern research helps enlighten our understanding, it does
not represent the only, and certainly not the most
moving, perspective on leadership to which we
should pay attention.
Source: Ambrose, S.E. Band of Brothers (New York:
Simon & Schuster, 2001).
common view of leadership was that leaders actively led and subordinates, later
called followers, passively and obediently followed.”40 Over time, especially in the last
century, social change shaped people’s views of followers, and leadership theories
gradually recognized the active and important role that followers play in the leadership process.41 Today it seems natural to accept the important role followers play.
One aspect of our text’s definition of leadership is particularly worth noting in
this regard: Leadership is a social influence process shared among all members of
a group. Leadership is not restricted to the influence exerted by someone in a particular position or role; followers are part of the leadership process, too. In recent
years both practitioners and scholars have emphasized the relatedness of leadership
and followership. As Burns observed, the idea of “one-man leadership” is a contradiction in terms.42
Obvious as this point may seem, it is also clear that early leadership researchers
paid relatively little attention to the roles followers play in the leadership process.43,44 However, we know that the followers’ expectations, personality traits, maturity levels, levels of competence, and motivation affect the leadership process,
too. Highlight 1.4 describes a systematic approach to classifying different kinds of
followers that has had a major impact on research.45–48
Chapter 1
What Do We Mean by Leadership? 19
Followership Styles
HIGHLIGHT 1.4
The concept of different styles of leadership is reasonably familiar, but the idea of different styles of followership is relatively new. The very word follower
has a negative connotation to many, evoking ideas
of people who behave like sheep and need to be
told what to do. Robert Kelley, however, believes
that followers, rather than representing the antithesis of leadership, are best viewed as collaborators
with leaders in the work of organizations.
Kelley believes that different types of followers
can be described in terms of two broad dimensions.
One of them ranges from independent, critical thinking at one end to dependent, uncritical thinking on
the other end. According to Kelley, the best followers
think for themselves and offer constructive advice or
even creative solutions. The worst followers need to
be told what to do. Kelley’s other dimension ranges
from whether people are active followers or passive
followers in the extent to which they are engaged in
work. According to Kelley, the best followers are selfstarters who take initiative for themselves, whereas
the worst followers are passive, may even dodge responsibility, and need constant supervision.
Using these two dimensions, Kelley has suggested five basic styles of followership:
1. Alienated followers habitually point out all the
negative aspects of the organization to others.
While alienated followers may see themselves as
mavericks who have a healthy skepticism of the
organization, leaders often see them as cynical,
negative, and adversarial.
not to make waves. Because they do not like to
stick out, pragmatists tend to be mediocre performers who can clog the arteries of many organizations. Because it can be difficult to discern
just where they stand on issues, they present an
ambiguous image with both positive and negative characteristics. In organizational settings,
pragmatists may become experts in mastering
the bureaucratic rules that can be used to protect them.
4. Passive followers display none of the characteristics of the exemplary follower (discussed next).
They rely on the leader to do all the thinking. Furthermore, their work lacks enthusiasm. Lacking
initiative and a sense of responsibility, passive
followers require constant direction. Leaders
may see them as lazy, incompetent, or even stupid. Sometimes, however, passive followers
adopt this style to help them cope with a leader
who expects followers to behave that way.
5. Exemplary followers present a consistent picture
to both leaders and coworkers of being independent, innovative, and willing to stand up to superiors. They apply their talents for the benefit of
the organization even when confronted with
bureaucratic stumbling blocks or passive or
pragmatist coworkers. Effective leaders appreciate the value of exemplary followers. When one
of the authors was serving in a follower role in a
staff position, he was introduced by his leader to
a conference as “my favorite subordinate because he’s a loyal ‘No-Man’.”
2. Conformist followers are the “yes people” of organizations. While very active at doing the organization’s work, they can be dangerous if their
orders contradict societal standards of behavior
or organizational policy. Often this style is the result of either the demanding and authoritarian
style of the leader or the overly rigid structure of
the organization.
Exemplary followers—high on both critical dimensions of followership—are essential to organizational
success.
Leaders, therefore, would be well advised to select people who have these characteristics and, perhaps even more important, create the conditions
that encourage these behaviors.
3. Pragmatist followers are rarely committed to
their group’s work goals, but they have learned
Source: R. Kelley, The Power of Followership (New York:
Doubleday Currency, 1992).
20 Part One
Leadership Is a Process, Not a Position
The nature of followers’ motivation to do their work is also important. Workers
who share a leader’s goals and values, and who feel intrinsically rewarded for performing a job well, might be more likely to work extra hours on a time-critical
project than those whose motivation is solely monetary.
Even the number of followers reporting to a leader can have significant implications. For example, a store manager with three clerks working for him can spend
more time with each of them (or on other things) than can a manager responsible
for eight clerks and a separate delivery service; chairing a task force with 5 members is a different leadership activity than chairing a task force with 18 members.
Still other relevant variables include followers’ trust in the leader and their degree
of confidence that he or she is interested in their well-being. Another aspect of followers’ relations to a leader is described in Profiles in Leadership 1.5.
Paul Revere
PROFILES IN LEADERSHIP 1.5
A fabled story of American history is that of Paul Revere’s ride through the countryside surrounding
Boston, warning towns that the British were coming,
so that local militia could be ready to meet them. As
a result, when the British did march toward
Lexington on the following day, they faced unexpectedly fierce resistance. At Concord the British
were beaten by a ragtag group of locals, and so began the American Revolutionary War.
It has been taken for granted by generations of
Americans that the success of Paul Revere’s ride lay
in his heroism and in the self-evident importance of
the news itself. A little-known fact, however, is that
Paul Revere was not the only rider that night. A fellow revolutionary by the name of William Dawes had
the same mission: to ride simultaneously through a
separate set of towns surrounding Boston to warn
them that the British were coming. He did so, carrying the news through just as many towns as Revere
did. But his ride was not successful; those local militia leaders weren’t aroused and did not rise up to
confront the British. If they had been, Dawes would
be as famous today as Paul Revere.
Why was Revere’s ride successful when Dawes’s
ride was not? Paul Revere started a word-of-mouth
epidemic, and Dawes did not, because of differing
kinds of relationships the two men had with others.
It wasn’t, after all, the nature of the news itself that
proved ultimately important so much as the nature
of the men who carried it. Paul Revere was a gregarious and social person—what Malcolm Gladwell
calls a connector. Gladwell writes that Revere was “a
fisherman and a hunter, a cardplayer and a theaterlover, a frequenter of pubs and a successful businessman. He was active in the local Masonic Lodge
and was a member of several select social clubs.”
He was a man with a knack for always being at the
center of things. So when he began his ride that
night, it was Revere’s nature to stop and share the
news with anyone he saw on the road, and he would
have known who the key players were in each town
to notify.
Dawes was not by nature so gregarious as Revere, and he did not have Revere’s extended social
network. It’s likely he wouldn’t have known whom to
share th…
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Who do you think experiences greater stress, leaders or followers—explain (how and why)? How do you handle stress? Do you think the way you handle stressor will help you in a future leadership role?Leadership
Enhancing the Lessons of Experience
Ninth Edition
Richard L. Hughes
Robert C. Ginnett
Gordon J. Curphy
LEADERSHIP: ENHANCING THE LESSONS OF EXPERIENCE, NINTH EDITION
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Curphy, Gordon J., author.
Leadership: enhancing the lessons of experience / Richard L. Hughes,
Robert C. Ginnett, Gordon J. Curphy.
Ninth Edition. | New York: McGraw-Hill Education, [2018]
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LCSH: Leadership.
LCC HM1261 .H84 2018 | DDC 303.3/4—dc23
LC record available at https://lccn.loc.gov/2017048123
The Internet addresses listed in the text were accurate at the time of publication. The inclusion of a website does
not indicate an endorsement by the authors or McGraw-Hill Education, and McGraw-Hill Education does not
guarantee the accuracy of the information presented at these sites.
mheducation.com/highered
About the Authors
Rich Hughes has served on the faculties of both the Center for Creative Leadership
(CCL) and the U.S. Air Force Academy. CCL is an international organization
devoted to behavioral science research and leadership education. He worked
there with senior executives from all sectors in the areas of strategic leadership
and organizational culture change. At the Air Force Academy he served for a
decade as head of its Department of Behavioral Sciences and Leadership. He
later served at the Academy as its Transformation Chair. In that capacity he
worked with senior leaders across the Academy to help guide organizational
transformation of the Academy in ways to ensure it is meeting its mission of
producing leaders of character. He is a clinical psychologist and a graduate of
the U.S. Air Force Academy. He has an MA from the University of Texas and a
PhD from the University of Wyoming.
Robert Ginnett is an independent consultant specializing in the leadership of highperformance teams and organizations. He has worked with hundreds of for-profit
organizations as well as NASA, the Defense and Central Intelligence Agencies, the
National Security Agency, and the United States Army, Navy, and Air Force. Prior
to working independently, Robert was a senior fellow at the Center for Creative
Leadership and a tenured professor at the U.S. Air Force Academy, where he also
served as the director of leadership and counseling. Additionally, he served in numerous line and staff positions in the military, including leadership of an 875-man
combat force and covert operations teams in the Vietnam War. He spent over
10 years working as a researcher for the National Aeronautics and Space Administration, focusing his early work in aviation crew resource management, and later at
the Kennedy Space Center in the post-Challenger period. Robert is an organizational psychologist whose education includes a master of business administration
degree, a master of arts, a master of philosophy, and a PhD from Yale University.
He now enjoys doing pro bono work with local fire and police departments and
teaching leadership courses at the Gettysburg National Military Park.
Gordy Curphy is a managing partner at Curphy Leadership Solutions and has been
running his own consulting business since 2002. As a leadership consultant Gordy
has worked with numerous Fortune 500 firms to deliver more than 2,500 executive
assessments, 150 executive coaching programs, 200 team engagements, and 150 leadership training programs. He has also played a critical role in helping organizations
formulate winning strategies, drive major change initiatives, and improve business
results. Gordy has published numerous books and articles and presented extensively
on such topics as business, community, school, military, and team leadership; the
role of personality and intelligence in leadership; building high-performing
teams; leading virtual teams; teams at the top; managerial incompetence;
iii
iv About the Authors
followership; on-boarding; succession planning; and employee engagement. Prior to
starting his own firm Gordy spent a year as the vice president of institutional leadership at the Blandin Foundation, eight years as a vice president and general manager
at Personnel Decisions International, and six years as a professor at the U.S. Air
Force Academy. He has a BS from the U.S. Air Force Academy and a PhD in industrial and organizational psychology from the University of Minnesota.
Foreword
The first edition of this popular, widely used textbook was published in 1993, and
the authors have continually upgraded it with each new edition including this one.
In a sense, no new foreword is needed; many principles of leadership are timeless. For example, references to Shakespeare and Machiavelli need no updating.
However, the authors have refreshed examples and anecdotes, and they have kept
up with the contemporary research and writing of leadership experts. Unfortunately, many of the reasons why leaders fail have also proved timeless. Flawed
strategies, indecisiveness, arrogance, the naked pursuit of power, inept followers,
the inability to build teams, and societal changes have resulted in corrupt governments, lost wars, failed businesses, repressive regimes around the globe, and sexual
discrimination and/or harassment. These occurrences remind us that leadership
can be used for selfless or selfish reasons, and it is up to those in charge to decide
why they choose to lead.
Such examples keep this book fresh and relevant; but the earlier foreword,
reprinted here, still captures the tone, spirit, and achievements of these authors’ work.
Often the only difference between chaos and a smoothly functioning operation
is leadership; this book is about that difference.
The authors are psychologists; therefore, the book has a distinctly psychological
tone. You, as a reader, are going to be asked to think about leadership the way psychologists do. There is much here about psychological tests and surveys, about studies done in psychological laboratories, and about psychological analyses of good
(and poor) leadership. You will often run across common psychological concepts
in these pages, such as personality, values, attitudes, perceptions, and self-esteem,
plus some not-so-common “jargon-y” phrases like double-loop learning, expectancy
theory, and perceived inequity. This is not the same kind of book that would be
written by coaches, sales managers, economists, political scientists, or generals.
Be not dismayed. Because these authors are also teachers with a good eye and
ear for what students find interesting, they write clearly and cleanly, and they have
also included a host of entertaining, stimulating snapshots of leadership: quotes,
anecdotal Highlights, and personal glimpses from a wide range of intriguing people, each offered as an illustration of some scholarly point.
Also, because the authors are, or have been at one time or another, together or
singly, not only psychologists and teachers but also children, students, Boy Scouts,
parents, professors (at the U.S. Air Force Academy), Air Force officers, pilots,
church members, athletes, administrators, insatiable readers, and convivial raconteurs, their stories and examples are drawn from a wide range of personal sources,
and their anecdotes ring true.
As psychologists and scholars, they have reviewed here a wide range of psychological studies, other scientific inquiries, personal reflections of leaders, and philosophic writings on the topic of leadership. In distilling this material, they have
drawn many practical conclusions useful for current and potential leaders. There
v
vi Foreword
are suggestions here for goal setting, for running meetings, for negotiating, for managing conflict within groups, and for handling your own personal stress, to mention just a few.
All leaders, no matter what their age and station, can find some useful tips here,
ranging over subjects such as body language, keeping a journal, and how to relax
under tension.
In several ways the authors have tried to help you, the reader, feel what it would
be like “to be in charge.” For example, they have posed quandaries such as the following: You are in a leadership position with a budget provided by an outside funding source. You believe strongly in, say, Topic A, and have taken a strong, visible
public stance on that topic. The head of your funding source takes you aside and
says, “We disagree with your stance on Topic A. Please tone down your public
statements, or we will have to take another look at your budget for next year.”
What would you do? Quit? Speak up and lose your budget? Tone down your
public statements and feel dishonest? There’s no easy answer, and it’s not an unusual situation for a leader to be in. Sooner or later, all leaders have to confront
just how much outside interference they will tolerate in order to be able to carry
out programs they believe in.
The authors emphasize the value of experience in leadership development, a
conclusion I thoroughly agree with. Virtually every leader who makes it to the top
of whatever pyramid he or she happens to be climbing does so by building on
earlier experiences. The successful leaders are those who learn from these earlier
experiences, by reflecting on and analyzing them to help solve larger future challenges. In this vein, let me make a suggestion. Actually, let me assign you some
homework. (I know, I know, this is a peculiar approach in a book foreword; but
stay with me—I have a point.)
Your Assignment: To gain some useful leadership experience, persuade eight
people to do some notable activity together for at least two hours that they would
not otherwise do without your intervention. Your only restriction is that you cannot tell them why you are doing this.
It can be any eight people: friends, family, teammates, club members, neighbors,
students, working colleagues. It can be any activity, except that it should be something more substantial than watching television, eating, going to a movie, or just
sitting around talking. It could be a roller-skating party, an organized debate, a songfest, a long hike, a visit to a museum, or volunteer work such as picking up
litter or visiting a nursing home. If you will take it upon yourself to make something
happen in the world that would not have otherwise happened without you, you will
be engaging in an act of leadership with all of its attendant barriers, burdens, and
pleasures, and you will quickly learn the relevance of many of the topics that the
authors discuss in this book. If you try the eight-person-two-hour experience first
and read this book later, you will have a much better understanding of how complicated an act of leadership can be. You will learn about the difficulties of developing
a vision (“Now that we are together, what are we going to do?”), of motivating others, of setting agendas and timetables, of securing resources, of the need for followthrough. You may even learn about “loneliness at the top.” However, if you are
Foreword vii
successful, you will also experience the thrill that comes from successful leadership.
One person can make a difference by enriching the lives of others, if only for a few
hours. And for all of the frustrations and complexities of leadership, the tingling
satisfaction that comes from success can become almost addictive. The capacity for
making things happen can become its own motivation. With an early success, even
if it is only with eight people for two hours, you may well be on your way to a leadership future.
The authors believe that leadership development involves reflecting on one’s
own experiences. Reading this book in the context of your own leadership experience can aid in that process. Their book is comprehensive, scholarly, stimulating,
entertaining, and relevant for anyone who wishes to better understand the dynamics
of leadership, and to improve her or his own personal performance.
David P. Campbell
Psychologist/Author
Preface
Perhaps by the time they are fortunate enough to have completed eight editions
of a textbook, it is a bit natural for authors to believe something like, “Well, now
we’ve got it just about right . . . there couldn’t be too many changes for the next
edition” (that is, this one). Of course, there are changes because this is a new
edition. Some of the changes are rather general and pervasive in nature while
others represent targeted changes in specific chapters of an otherwise successful
text. The more general and pervasive changes are those things one would expect
to find in the new edition of any textbook: the inclusion of recent research findings across all chapters as well as extensive rework in the vast majority of
chapters of the very popular Highlights. The latter work involved the addition of
numerous new Highlights as well as the elimination of those that had become
dated and/or less central to the material in their respective chapters. Examples
of the new Highlights include bullying bosses, gender stereotyping, and possible
evolutionary roots to the pull toward greater organizational transparency. There
are also many new Profiles in Leadership covering leaders as diverse as
Sheikh Zayed, founder of the United Arab Emirates; Stan Lee, who was the
creative genius behind Marvel Comics; and Lin-Manuel Miranda, whose musical
Hamilton became a Broadway phenomenon.
The most significant structural change to the book involved changes to the
8th edition’s Chapter 9 (“Motivation, Satisfaction and Performance”). In order
to better address the extensive academic literature in those broad areas we divided the material into two chapters. In this 9th edition, Chapter 9 is now titled
“Motivation, Performance and Effectiveness;” it includes the five motivational
theories from before along with a detailed description of the performance management cycle (planning, monitoring, and evaluating performance) as well as
common ways to measure team and organizational effectiveness. Chapter 10 is
a new chapter entitled “Satisfaction, Engagement, and Potential.” It includes substantially enhanced content on engagement as well as a detailed discussion on
potential, including readiness and succession planning. And while all the chapters were revised in several ways, two other chapters saw relatively greater
change. Chapter 6 has substantially more content on the subject of emotional
intelligence as well as more extensive treatment of strength based leadership and
neuroleadership. Chapter 12 includes expanded treatment of organizational
culture types. And as noted above, all chapters include updates on relevant
research and changes in Highlights and Profiles in Leadership.
As always, we are indebted to the superb editorial staff at McGraw-Hill Education including Laura Hurst Spell, associate portfolio manager; Rick Hecker, content project manager; and Tracy Jensen, freelance development editor. They all
have been wise, supportive, helpful, and pleasant partners in this process, and it
has been our good fortune to know and work with such a professional team. We are
viii
Preface ix
grateful for the scholarly and insightful perspectives of the following scholars who
provided helpful feedback on particular portions of the text:
Patricia Ann Castelli
Lawrence Technological University
Gerald J Herbison
The American College
Gary Corona
Florida State College at Jacksonville
Rajnandini Pillai
California State University San Marcos
Nathaniel Vargas Gallegos
Chadron State College
Benjamin Redekop
Christopher Newport University
Once again we dedicate this book to the leaders of the past from
whom we have learned, the leaders of today whose behaviors and
actions shape our ever-changing world, and the leaders of tomorrow
whom we hope will benefit from the lessons in this book as they
face the challenges of change and globalization in an increasingly
interconnected world.
Richard L. Hughes
Robert C. Ginnett
Gordon J. Curphy
Brief Contents
PART ONE:
Chapter 10:
Leadership Is a Process, Not
a Position 1
atisfaction, Engagement,
S
and Potential 390
Chapter 11:
roups, Teams, and Their
G
Leadership 423
Chapter 1: What Do We Mean
by Leadership? 2
Chapter 2:
Leader Development
Chapter 3:
kills for Developing
S
Yourself as a Leader 82
40
PART TWO:
Focus on the Leader
109
Chapter 4: Power and Influence
Chapter 6: Leadership Attributes
176
Chapter 7: Leadership Behavior
245
Chapter 8: Skills for Building Personal
Credibility and Influencing
Others 284
PART THREE:
Chapter 9:
x
PART FOUR:
Focus on the Situation
321
otivation, Performance,
M
and Effectiveness 335
505
Chapter 13:
The Situation
Chapter 14:
Contingency Theories
of Leadership 546
Chapter 15:
eadership and
L
Change 580
Chapter 16:
he Dark Side of
T
Leadership 636
110
Chapter 5: Values, Ethics, and
Character 143
Focus on the Followers
Chapter 12: Skills for Developing
Others 470
507
Chapter 17: Skills for Optimizing
Leadership as Situations
Change 694
Contents
Preface viii
Reflection and Leadership Development
Single- and Double-Loop Learning
PART ONE
Leadership Is a Process, Not a Position
Chapter 1
What Do We Mean by Leadership?
Introduction 2
What Is Leadership?
1
2
3
Leadership Myths
12
Myth: Good Leadership Is All Common Sense 12
Myth: Leaders Are Born, Not Made 13
Myth: The Only School You Learn Leadership from
Is the School of Hard Knocks 14
The Interactional Framework for Analyzing
Leadership 15
The Leader 16
The Followers 17
The Situation 22
Illustrating the Interactional Framework: Women
in Leadership Roles 24
There Is No Simple Recipe for Effective
Leadership 30
Summary 32
Chapter 2
Leader Development 40
Introduction 40
The Action–Observation–Reflection Model
The Key Role of Perception in the Spiral
of Experience 45
Perception and Observation 45
Perception and Reflection 47
Perception and Action 48
Making the Most of Your Leadership Experiences:
Learning to Learn from Experience 54
Leader Development in College 57
Leader Development in Organizational Settings
Action Learning 64
Development Planning 65
Coaching 67
Mentoring 69
Building Your Own Leadership Self-Image
Summary 74
Leadership Is Both a Science and an Art 6
Leadership Is Both Rational and Emotional 7
Leadership and Management 9
59
72
Chapter 3
Skills for Developing Yourself as a Leader 82
Introduction 82
Your First 90 Days as a Leader
83
Before You Start: Do Your Homework 83
The First Day: You Get Only One Chance
to Make a First Impression 84
The First Two Weeks: Lay the Foundation 85
The First Two Months: Strategy, Structure,
and Staffing 87
The Third Month: Communicate and Drive Change
Learning from Experience
88
89
Creating Opportunities to Get Feedback
Taking a 10 Percent Stretch 89
Learning from Others 90
Keeping a Journal 90
Having a Developmental Plan 92
Building Technical Competence
42
49
53
89
92
Determining How the Job Contributes to the Overall
Mission 93
Becoming an Expert in the Job 94
Seeking Opportunities to Broaden Experiences 94
Building Effective Relationships with Superiors 95
Understanding the Superior’s World 96
Adapting to the Superior’s Style 96
xi
xii Contents
Building Effective Relationships with Peers
97
Recognizing Common Interests and Goals 98
Understanding Peers’ Tasks, Problems, and Rewards 98
Practicing a Theory Y Attitude 99
Development Planning 99
Conducting a GAPS Analysis 100
Identifying and Prioritizing Development Needs:
Gaps of GAPS 102
Bridging the Gaps: Building a Development
Plan 103
Reflecting on Learning: Modifying Development
Plans 105
Transferring Learning to New Environments 105
Authentic Leadership 158
Servant Leadership 159
The Roles of Ethics and Values in Organizational
Leadership 162
Leading by Example: The Good, the Bad,
and the Ugly 163
Creating and Sustaining an Ethical Climate
165
Summary 168
Chapter 6
Leadership Attributes 176
Introduction 176
Personality Traits and Leadership 177
PART TWO
What Is Personality? 177
The Five Factor or OCEAN Model of Personality
Implications of the Five Factor or OCEAN
Model 186
Focus on the Leader 109
Chapter 4
Power and Influence 110
181
Personality Types and Leadership 190
The Differences between Traits and Types 190
Psychological Preferences as a Personality Typology 190
Implications of Preferences and Types 193
Introduction 110
Some Important Distinctions 110
Power and Leadership 114
Sources of Leader Power 114
A Taxonomy of Social Power 117
Expert Power 118
Referent Power 118
Legitimate Power 119
Reward Power 120
Coercive Power 121
Concluding Thoughts about French and Raven’s Power
Taxonomy 124
Leader Motives 126
Influence Tactics 129
Types of Influence Tactics 129
Influence Tactics and Power 130
A Concluding Thought about Influence Tactics
Character-Based Approaches to Leadership 157
134
Summary 136
Chapter 5
Values, Ethics, and Character 143
Introduction 143
Leadership and “Doing the Right Things” 143
Values 145
Moral Reasoning and Character-Based Leadership 148
Intelligence and Leadership 199
What Is Intelligence? 199
The Triarchic Theory of Intelligence 200
Implications of the Triarchic Theory of Intelligence 205
Intelligence and Stress: Cognitive Resources Theory 210
Emotional Intelligence and Leadership 213
What Is Emotional Intelligence? 213
Can Emotional Intelligence Be Measured
and Developed? 216
Implications of Emotional Intelligence 218
Summary
222
Chapter 7
Leadership Behavior 245
Introduction 245
Studies of Leadership Behavior
Why Study Leadership Behavior?
The Early Studies 248
The Leadership Grid 251
Competency Models 255
The Leadership Pipeline 259
Community Leadership 264
246
246
Contents xiii
Assessing Leadership Behaviors: Multirater
Feedback Instruments 266
Summary 274
Keep Things in Perspective
The A-B-C Model 309
Problem Solving
284
The Two Components of Credibility
Building Expertise 285
Building Trust 286
Expertise × Trust 288
Communication
Improving Creativity
285
315
Seeing Things in New Ways 315
Using Power Constructively 315
Forming Diverse Problem-Solving Groups
292
294
Demonstrate Nonverbally That You Are
Listening 295
Actively Interpret the Sender’s Message 295
Attend to the Sender’s Nonverbal Behavior 296
Avoid Becoming Defensive 297
Assertiveness
314
316
290
Know What Your Purpose Is 292
Choose an Appropriate Context and Medium
Send Clear Signals 293
Actively Ensure That Others Understand
the Message 294
Listening
310
Identifying Problems or Opportunities for
Improvement 311
Analyzing the Causes 312
Developing Alternative Solutions 312
Selecting and Implementing the Best Solution
Assessing the Impact of the Solution 314
Chapter 8
Skills for Building Personal Credibility
and Influencing Others 284
Building Credibility
309
297
Use “I” Statements 300
Speak Up for What You Need 301
Learn to Say No 301
Monitor Your Inner Dialogue 301
Be Persistent 301
Conducting Meetings
302
Determine Whether It Is Necessary 302
List the Objectives 303
Stick to the Agenda 303
Provide Pertinent Materials in Advance 303
Make It Convenient 303
Encourage Participation 303
Keep a Record 304
Effective Stress Management
304
Monitor Your Own and Your Followers’ Stress
Levels 307
Identify What Is Causing the Stress 307
Practice a Healthy Lifestyle 308
Learn How to Relax 308
Develop Supportive Relationships 308
PART THREE
Focus on the Followers
321
The Potter and Rosenbach Followership
Model 324
The Curphy and Roellig Followership
Model 327
Chapter 9
Motivation, Performance,
and Effectiveness 335
Introduction 335
Defining Motivation, Satisfaction, Engagement,
Performance, and Effectiveness 336
Understanding and Influencing Follower
Motivation 343
Motives: How Do Needs Affect Motivation? 345
Achievement Orientation: How Does Personality Affect
Motivation? 348
Goal Setting: How Do Clear Performance Targets
Affect Motivation? 353
The Operant Approach: How Do Rewards
and Punishment Affect Motivation? 355
Empowerment: How Does Decision-Making Latitude
Affect Motivation? 361
Understanding and Managing Follower
Performance and Team and Organizational
Effectiveness 365
The Performance Management Cycle: Planning 369
The Performance Management Cycle: Monitoring 370
The Performance Management Cycle: Evaluating 371
Summary
375
xiv
Contents
On the Horizon 462
Summary 463
Chapter 10
Satisfaction, Engagement,
and Potential 390
Chapter 12
Skills for Developing Others
Introduction 390
Understanding and Influencing Follower
Satisfaction 391
Global, Facet, and Life Satisfaction 395
Two Theories of Job Satisfaction 399
Organizational Justice: Does Fairness Matter? 399
Herzberg’s Two-Factor Theory: Does Meaningful
Work Make People Happy? 401
Understanding and Improving Employee
Engagement 404
Understanding Follower Potential 407
Summary 414
Group Size 427
Developmental Stages of Groups
Group Roles 430
Group Norms 433
Group Cohesion 435
424
429
Effective Team Characteristics and Team
Building 438
Team Leadership Model 445
Outputs 446
Process 447
Inputs 449
Leadership Prescriptions of the Model 449
Creation 449
Dream 450
Design 451
Development 451
Diagnosis and Leverage Points 452
Concluding Thoughts about the Team Leadership
Model 456
458
Goals Should Be Specific and Observable 471
Goals Should Be Attainable but Challenging 471
Goals Require Commitment 472
Goals Require Feedback 473
Providing Constructive Feedback
Team Building for Work Teams
Teams 438
Virtual Teams
Introduction 470
Setting Goals 470
473
Make It Helpful 475
Be Specific 476
Be Descriptive 476
Be Timely 477
Be Flexible 477
Give Positive as Well as Negative Feedback
Avoid Blame or Embarrassment 478
Chapter 11
Groups, Teams, and Their
Leadership 423
Introduction 423
Individuals versus Groups versus Teams
The Nature of Groups 426
470
478
478
Team-Building Interventions 478
What Does a Team-Building Workshop Involve?
Examples of Interventions 481
480
Building High-Performing Teams: The Rocket
Model 482
Context: What Is the Situation? 482
Mission: What Are We Trying to Accomplish? 484
Talent: Who Is on the Bus? 484
Norms: What Are the Rules? 485
Buy-In: Is Everyone Committed and Engaged? 486
Power: Do We Have Enough Resources? 486
Morale: Can’t We All Just Get Along? 487
Results: Are We Winning? 488
Implications of the Rocket Model 488
Delegating
490
Why Delegating Is Important 491
Delegation Frees Time for Other Activities 491
Delegation Develops Followers 491
Delegation Strengthens the Organization 491
Common Reasons for Avoiding Delegation 492
Delegation Takes Too Much Time 492
Delegation Is Risky 492
The Job Will Not Be Done as Well 492
The Task Is a Desirable One 492
Others Are Already Too Busy 493
Contents xv
Principles of Effective Delegation 493
Decide What to Delegate 493
Decide Whom to Delegate To 493
Make the Assignment Clear and Specific 493
Assign an Objective, Not a Procedure 494
Allow Autonomy, but Monitor Performance 494
Give Credit, Not Blame 494
Coaching
495
Forging a Partnership 496
Inspiring Commitment: Conducting a GAPS
Analysis 497
Growing Skills: Creating Development and Coaching
Plans 498
Promoting Persistence: Helping Followers
Stick to Their Plans 498
Transferring Skills: Creating a Learning
Environment 500
Concluding Comments 500
Chapter 13
The Situation
505
507
516
From the Industrial Age to the Information Age
The Formal Organization 517
The Informal Organization: Organizational
Culture 520
A Theory of Organizational Culture 524
An Afterthought on Organizational Issues
for Students and Young Leaders 527
516
549
Levels of Participation 550
Decision Quality and Acceptance 550
The Decision Tree 552
Concluding Thoughts about the Normative Decision
Model 554
The Situational Leadership® Model
556
Leader Behaviors 556
Follower Readiness 557
Prescriptions of the Model 558
Concluding Thoughts about the Situational
Leadership Model 559
The Contingency Model
560
567
Summary
573
Chapter 15
Leadership and Change
580
Introduction 580
The Rational Approach to Organizational
Change 583
527
Are Things Changing More Than They Used To?
Leading across Societal Cultures 532
What Is Societal Culture? 535
The GLOBE Study 535
Implications for Leadership Practitioners
Summary 539
The Normative Decision Model
547
549
Leader Behaviors 567
The Followers 568
The Situation 570
Prescriptions of the Theory 571
Concluding Thoughts about the Path–Goal
Theory 572
How Tasks Vary, and What That Means
for Leadership 512
Problems and Challenges 514
The Environment
Concluding Thoughts about the LMX Model
The Path–Goal Theory
Introduction 507
The Task 512
The Organization
Introduction 546
Leader–Member Exchange (LMX) Theory
546
The Least Preferred Co-worker Scale 561
Situational Favorability 562
Prescriptions of the Model 564
Concluding Thoughts about the Contingency
Model 566
PART FOUR
Focus on the Situation
Chapter 14
Contingency Theories of Leadership
528
539
Dissatisfaction 584
Model 584
Process 588
Resistance 591
Concluding Thoughts about the Rational Approach
to Organizational Change 594
xvi
Contents
The Emotional Approach to Organizational
Change: Charismatic and Transformational
Leadership 597
Charismatic Leadership: A Historical Review 597
What Are the Common Characteristics of Charismatic
and Transformational Leadership? 603
Leader Characteristics 604
Vision 605
Rhetorical Skills 605
Image and Trust Building 606
Personalized Leadership 607
Follower Characteristics 608
Identification with the Leader and the Vision 608
Heightened Emotional Levels 608
Willing Subordination to the Leader 609
Feelings of Empowerment 609
Situational Characteristics 611
Crises 611
Social Networks 612
Other Situational Characteristics 612
Concluding Thoughts about the Characteristics
of Charismatic and Transformational Leadership 613
Bass’s Theory of Transformational
and Transactional Leadership 615
Research Results of Transformational
and Transactional Leadership 616
Summary
Summary
681
Chapter 17
Skills for Optimizing Leadership
as Situations Change 694
Introduction 694
Creating a Compelling Vision
694
Ideas: The Future Picture 695
Expectations: Values and Performance
Standards 696
Emotional Energy: The Power and the Passion 697
Edge: Stories, Analogies, and Metaphors 697
Managing Conflict
698
What Is Conflict? 699
Is Conflict Always Bad? 699
Conflict Resolution Strategies 700
Negotiation
704
Prepare for the Negotiation 704
Separate the People from the Problem 704
Focus on Interests, Not Positions 704
619
Chapter 16
The Dark Side of Leadership
Poor Followership: Fire Me, Please 669
Dark-Side Personality Traits: Personality as a Method
of Birth Control 672
Leadership Motivation: Get Promoted or Be
Effective? 677
Leadership b.s.: Myths That Perpetuate Managerial
Incompetence 679
636
Introduction 636
Destructive Leadership 639
Managerial Incompetence 644
Managerial Derailment 649
The Ten Root Causes of Managerial Incompetence
and Derailment 657
Stuff Happens: Situational and Follower Factors
in Managerial Derailment 659
The Lack of Organizational Fit: Stranger in a Strange
Land 661
More Clues for the Clueless: Lack of Situational
and Self-Awareness 664
Lack of Intelligence and Expertise: Real Men
of Genius 666
Diagnosing Performance Problems in Individuals,
Groups, and Organizations 705
Expectations 706
Capabilities 706
Opportunities 706
Motivation 707
Concluding Comments on the Diagnostic Model
Team Building at the Top
707
Executive Teams Are Different 707
Applying Individual Skills and Team Skills
Tripwire Lessons 709
Punishment
708
712
Myths Surrounding the Use of Punishment 712
Punishment, Satisfaction, and Performance 713
Administering Punishment 715
Index
721
707
Part
Leadership
Is a Process,
Not a Position
1
Leader
Followers
Leadership
Situation
If any single idea is central to this book, it is that leadership is a process, not a position.
The entire first part of this book explores that idea. One is not a leader—except perhaps
in name only—merely because one holds a title or position. Leadership involves something happening as a result of the interaction between a leader and followers.
In Chapter 1 we define leadership and explore its relationship to concepts such
as management and followership, and we also introduce the interactional framework. The interactional framework is based on the idea that leadership involves
complex interactions between the leader, the followers, and the situations they are
in. That framework provides the organizing principle for the rest of the book.
Chapter 2 looks at how we can become better leaders by profiting more fully from
our experiences, which is not to say that either the study or the practice of leadership is simple. Part 1 concludes with a chapter focusing on basic leadership skills.
There also will be a corresponding skills chapter at the conclusion of each of the
other three parts in this book.
Chapter
1
What Do We Mean
by Leadership?
Introduction
It is old news now that in the last presidential election most of the country was dismayed with the candidates of the two major political parties. “Can’t we do better
than this?” was a question on the minds of many millions of Americans. In fact,
however, our collective dismay about the quality of our leaders is not limited to particular presidential candidates—it is pervasive. According to a poll by the Center for
Public Leadership at Harvard Kennedy School, 70 percent of Americans believe our
country is in desperate need of better leaders and faces national decline unless something changes.1 And a 2013 Harris Poll showed that the percentage of people expressing even some confidence in governmental, corporate, and financial leadership
has plummeted from about 90 percent to 60 percent since 1996.2 Yet we also sometimes see stories of extraordinary leadership by otherwise ordinary people.
In the spring of 1972, an airplane flew across the Andes mountains carrying its
crew and 40 passengers. Most of the passengers were members of an amateur
Uruguayan rugby team en route to a game in Chile. The plane never arrived. It
crashed in snow-covered mountains, breaking into several pieces on impact. The
main part of the fuselage slid like a toboggan down a steep valley, coming to rest in
waist-deep snow. Although a number of people died immediately or within a day of
the impact, the picture for the 28 survivors was not much better. The fuselage offered little protection from the extreme cold, food supplies were scant, and a number of passengers had serious injuries from the crash. Over the next few days,
several surviving passengers became psychotic and several others died from their
injuries. The passengers who were relatively uninjured set out to do what they
could to improve their chances of survival.
Several worked on “weatherproofing” the wreckage; others found ways to get
water; and those with medical training took care of the injured. Although shaken
by the crash, the survivors initially were confident they would be found. These feelings gradually gave way to despair as search and rescue teams failed to find the
wreckage. With the passing of several weeks and no sign of rescue in sight, the remaining passengers decided to mount expeditions to determine the best way to
2
Chapter 1 What Do We Mean by Leadership? 3
Lives of great men all
remind us We can make
our lives sublime And,
departing, leave behind
us Footprints on the sands
of time.
Henry Wadsworth
Longfellow,
American poet
escape. The most physically fit were chosen to go on the expeditions because the
thin mountain air and the deep snow made the trips difficult. The results of the
trips were both frustrating and demoralizing: The expedition members determined
they were in the middle of the Andes mountains, and walking out to find help was
believed to be impossible. Just when the survivors thought nothing worse could
possibly happen, an avalanche hit the wreckage and killed several more of them.
The remaining survivors concluded they would not be rescued, and their only
hope was for someone to leave the wreckage and find help. Three of the fittest passengers were chosen for the final expedition, and everyone else’s work was directed
toward improving the expedition’s chances of success. The three expedition members were given more food and were exempted from routine survival activities; the
rest spent most of their energies securing supplies for the trip. Two months after
the plane crash, the expedition members set out on their final attempt to find help.
After hiking for 10 days through some of the most rugged terrain in the world, the
expedition stumbled across a group of Chilean peasants tending cattle. One of the
expedition members stated, “I come from a plane that fell in the mountains. I am
Uruguayan . . .” Eventually 14 other survivors were rescued.
When the full account of their survival became known, it was not without controversy. It had required extreme and unsettling measures: The survivors had lived
only by eating the flesh of their deceased comrades. Nonetheless, their story is one
of the most moving survival dramas of all time, magnificently told by Piers Paul
Read in Alive.3 It is a story of tragedy and courage, and it is a story of leadership.
Perhaps a story of survival in the Andes is so far removed from everyday experience that it does not seem to hold any relevant lessons about leadership for you
personally. But consider some of the basic issues the Andes survivors faced: tension between individual and group goals, dealing with the different needs and personalities of group members, and keeping hope alive in the face of adversity. These
issues are not so different from those facing many groups we’re a part of. We can
also look at the Andes experience for examples of the emergence of informal leaders in groups. Before the flight, a young man named Parrado was awkward and shy,
a “second-stringer” both athletically and socially. Nonetheless, this unlikely hero
became the best loved and most respected among the survivors for his courage,
optimism, fairness, and emotional support. Persuasiveness in group decision making also was an important part of leadership among the Andes survivors. During
the difficult discussions preceding the agonizing decision to survive on the flesh of
their deceased comrades, one of the rugby players made his reasoning clear: “I
know that if my dead body could help you stay alive, then I would want you to use
it. In fact, if I do die and you don’t eat me, then I’ll come back from wherever I am
and give you a good kick in the ass.”4
What Is Leadership?
The Andes story and the experiences of many other leaders we’ll introduce to you
in a series of profiles sprinkled throughout the chapters provide numerous examples of leadership. But just what is leadership? People who do research on
4 Part One Leadership Is a Process, Not a Position
The halls of fame are
open wide and they are
always full. Some go in
by the door called “push”
and some by the door
called “pull.”
Stanley Baldwin,
British prime
minister in the 1930s
Remember the difference
between a boss and a
leader: a boss says,
“Go!”—a leader says,
“Let’s go!”
leadership disagree more than you might think about what leadership really is.
Most of this disagreement stems from the fact that leadership is a complex phenomenon involving the leader, the followers, and the situation. Some leadership
researchers have focused on the personality, physical traits, or behaviors of the
leader; others have studied the relationships between leaders and followers; still
others have studied how aspects of the situation affect how leaders act. Some have
extended the latter viewpoint so far as to suggest there is no such thing as leadership; they argue that organizational successes and failures are often falsely attributed to the leader, but the situation may have a much greater impact on how the
organization functions than does any individual, including the leader.5
Perhaps the best way for you to begin to understand the complexities of leadership is to see some of the ways leadership has been defined. Leadership researchers have defined leadership in many different ways:
• The process by which an agent induces a subordinate to behave in a desired
manner.6
• Directing and coordinating the work of group members.7
• An interpersonal relation in which others comply because they want to, not because they have to.8
E. M. Kelly
• The process of influencing an organized group toward accomplishing its goals.9
• Actions that focus resources to create desirable opportunities.10
• Creating conditions for a team to be effective.11
• The ability to engage employees, the ability to build teams, and the ability to
achieve results; the first two represent the how and the latter the what of leadership.12
• A complex form of social problem solving.13
As you can see, definitions of leadership differ in many ways, and these differences have resulted in various researchers exploring disparate aspects of leadership. For example, if we were to apply these definitions to the Andes survival
scenario described earlier, some researchers would focus on the behaviors Parrado
used to keep up the morale of the survivors. Researchers who define leadership as
influencing an organized group toward accomplishing its goals would examine
how Parrado managed to convince the group to stage and support the final expedition. One’s definition of leadership might also influence just who is considered an
appropriate leader for study. Thus each group of researchers might focus on a different aspect of leadership, and each would tell a different story regarding the
leader, the followers, and the situation.
Although having many leadership definitions may seem confusing, it is important to understand that there is no single correct definition. The various definitions can help us appreciate the multitude of factors that affect leadership, as well
as different perspectives from which to view it. For example, in the first definition
just listed, the word subordinate seems to confine leadership to downward influence in hierarchical relationships; it seems to exclude informal leadership. The
second definition emphasizes the directing and coordinating aspects of leadership,
Chapter 1 What Do We Mean by Leadership? 5
“Future generations will
be living in a world that is
very different from that to
which we are accustomed.
It is essential that we prepare ourselves and our
children for that new
world.”
Sheikh Zayed bin
Sultan Al Nahyan
and thereby may deemphasize emotional aspects of leadership. The emphasis
placed in the third definition on subordinates’ “wanting to” comply with a leader’s
wishes seems to exclude any kind of coercion as a leadership tool. Further, it becomes problematic to identify ways in which a leader’s actions are really leadership
if subordinates voluntarily comply when a leader with considerable potential coercive power merely asks others to do something without explicitly threatening them.
Similarly, a key reason behind using the phrase desirable opportunities in one of the
definitions was precisely to distinguish between leadership and tyranny. And partly
because there are many different definitions of leadership, there is also a wide
range of individuals we consider leaders. In addition to the stories about leaders
and leadership that we sprinkle throughout this book, we highlight several in each
chapter in a series of Profiles in Leadership. The first of these is Profiles in Leadership 1.1, which highlights Sheikh Zayed, the founder of the United Arab Emirates.
Sheikh Zayed bin Sultan Al Nahyan
PROFILES IN LEADERSHIP 1.1
Sheikh Zayed founded the United Arab Emirates
(UAE) in 1971 and led it through arguably the world’s
greatest national transformation of the past
100 years. When he was born in 1918 the area was a
desert dominated by warring Arab tribes, and its
economy was based largely on fishing and pearldiving. But consider the UAE today:
• The city of Dubai is one of the safest cities in the
world, its airport is the busiest international airport in the world, and a new skyscraper is built
every day.
• One of those buildings, the Burj Khalifa, is the
tallest building in the world, and the Dubai Mall is
the largest shopping center in the world.
• Women hold leadership roles throughout society
including in business, government, and the military. Religious openness is evident in the major
cities with Muslim mosques, Christian churches,
Hindu temples, and even Jewish synagogues
found throughout the major cities. It is the first
country in the Arab region to enact a comprehensive law combating human trafficking.
So how did Zayed launch this amazing transformation? The story begins with the early life of the man
himself. As a boy and young man, he traveled extensively throughout the region living alongside Bedouin tribesmen, learning about their way of life in the
desert. That same thirst for learning prompted him
to conduct extensive research into the ancient history of the region, leading to his discovery that
15,000 years ago the Arabian peninsula was originally covered by thick forests and only later transformed into a desert. But those ancient forests—
transformed through eons into oil—still lay under the
desert sand. He committed himself to returning the
region to greenness.
One element of that quest became the planting of
trees, and now more than a million trees are growing
within the UAE. He established experimental agricultural stations across the country. He initiated projects
of water distribution, conservation, and desalination.
And he believed that the real resource of any nation is
its people, and committed his considerable wealth, energy, and talents to make education for all citizens—
men and women—a top national priority. The list of his
transformations goes on: health care, wildlife conservation, and job rights, to name just a few.
This was a man who transformed a desert into a
modern, thriving region still affirming the moderate
Islamic values that his entire life embodied.
6 Part One Leadership Is a Process, Not a Position
Mindful of the Profiles in Leadership running throughout the book, you might
wonder (as we do) about just what kind of leaders ought to be profiled in these
pages. Should we use illustrations featuring leaders who rose to the top in their
respective organizations? Should we use illustrations featuring leaders who contributed significantly to enhancing the effectiveness of their organizations?
We suspect you answered yes to both questions. But there’s the rub. You see,
leaders who rise to the top in their organizations are not always the same as those
who help make their organizations more effective. As it turns out, successful
managers (i.e., those promoted quickly through the ranks) spend relatively more
time than others in organizational socializing and politicking; and they spend relatively less time than the latter on traditional management responsibilities like planning and decision making. Truly effective managers, however, make real
contributions to their organization’s performance.14 This distinction is a critical
one, even if quite thorny to untangle in leadership research.
A recent 10-year study of what separated the “best of the best” executives from
all the rest in their organizations offers some valuable insights even for people at
the very beginning of their careers (and this study was studying real effectiveness,
not just success-at-schmoozing, as described in the preceding paragraph). These
“best of the best” executives demonstrated expertise and across their careers excelled across all facets of their organization’s functions—they knew the whole business, not just a piece of it. And they also knew and cared about the people they
worked with. These top-performing leaders formed deep and trusting relationships
with others, including superiors, peers, and direct reports. They’re the kind of
people others want working for them, and the kind others want to work for. By the
way, relational failure with colleagues proved to be the quickest route to failure
among the second-best executives.15
All considered, we find that defining leadership as “the process of influencing
an organized group toward accomplishing its goals” is fairly comprehensive and
helpful. Several implications of this definition are worth further examination.
Leadership Is Both a Science and an Art
Saying leadership is both a science and an art emphasizes the subject of leadership
as a field of scholarly inquiry, as well as certain aspects of the practice of leadership. The scope of the science of leadership is reflected in the number of studies—
approximately 8,000—cited in an authoritative reference work, Bass & Stogdill’s
Handbook of Leadership: Theory, Research, and Managerial Applications.16 A review
of leadership theory and research over the past 25 years notes the expanding
breadth and complexity of scholarly thought about leadership in the preceding
quarter century. For example, leadership involves dozens of different theoretical
domains and a wide variety of methods for studying it.17
However, being an expert on leadership research is neither necessary nor sufficient for being a good leader. Some managers may be effective leaders without ever
having taken a course or training program in leadership, and some scholars in the
field of leadership may be relatively poor leaders themselves. What’s more, new
academic models of leadership consider the “locus” of leadership (where
Chapter 1 What Do We Mean by Leadership? 7
Any fool can keep a rule.
God gave him a brain to
know when to break the
rule.
General Willard
W. Scott
A democracy cannot follow a leader unless he is
dramatized. A man to be
a hero must not content
himself with heroic virtues
and anonymous action.
He must talk and explain
as he acts—drama.
William Allen White,
American writer and
editor, Emporia
Gazette
leadership emanates from) as not just coming from an individual leader (whether
holding a formal position or not, as we’ll explore later in this chapter) but also as
emanating alternatively from groups or even from an entire organization.18
Nonetheless, knowing something about leadership research is relevant to leadership effectiveness. Scholarship may not be a prerequisite for leadership effectiveness, but understanding some of the major research findings can help individuals
better analyze situations using a variety of perspectives. That, in turn, can tell leaders how to be more effective. Even so, because skills in analyzing and responding
to situations vary greatly across leaders, leadership will always remain partly an art
as well as a science. Highlight 1.1 raises the question of whether leadership should
be considered a true science or not.
Leadership Is Both Rational and Emotional
Leadership involves both the rational and emotional sides of human experience.
Leadership includes actions and influences based on reason and logic as well as
those based on inspiration and passion. We do not want to cultivate merely intellectualized leaders who respond with only logical predictability. Because people
differ in their thoughts and feelings, hopes and dreams, needs and fears, goals and
ambitions, and strengths and weaknesses, leadership situations can be complex.
People are both rational and emotional, so leaders can use rational techniques and
emotional appeals to influence followers, but they must also weigh the rational and
emotional consequences of their actions.
Is the Study of Leadership a “Real” Science?
HIGHLIGHT 1.1
In this chapter we posit that leadership is both a science and an art. Most people, we think, accept the
idea that some element of leadership is an art in the
sense that it can’t be completely prescribed or routinized into a set of rules to follow, that there is an
inherent personal element to leadership. Perhaps
even because of that, many people are skeptical
about the idea that the study of leadership can be a
“real” science like physics and chemistry. Even
when acknowledging that thousands of empirical
studies of leadership have been published, many
still resist the idea that it is in any way analogous to
the “hard” sciences.
It might interest you to know, then, that a lively
debate is ongoing today among leadership scholars
about whether leadership ought to model itself
after physics. And the debate is about more than
“physics envy.” The debate is reminiscent of the
early twentieth century, when some of the great
minds in psychology proposed that psychological
theory should be based on formal and explicit mathematical models rather than armchair speculation.
Today’s debate about the field of leadership looks at
the phenomena from a systems perspective and
revolves around the extent to which there may be
fundamental similarities between leadership and
thermodynamics.
So are you willing to consider the possibility that
the dynamics governing molecular bonding can also
explain how human beings organize themselves to
accomplish a shared objective?
Source: R. B. Kaiser, “Beyond Physics Envy? An Introduc-
tion to the Special Issue,” Consulting Psychology Journal:
Practice & Research 66 (2014), pp. 259–60.
8 Part One Leadership Is a Process, Not a Position
A full appreciation of leadership involves looking at both of these sides of human nature. Good leadership is more than just calculation and planning, or following a checklist, even though rational analysis can enhance good leadership. Good
leadership also involves touching others’ feelings; emotions play an important role
in leadership, too. Just one example of this is the civil rights movement of the
1960s, which was based on emotions as well as on principles. Dr. Martin Luther
King Jr. inspired many people to action; he touched people’s hearts as well as their
minds.
Aroused feelings, however, can be used either positively or negatively, constructively or destructively. Some leaders have been able to inspire others to deeds of
great purpose and courage. By contrast, as images of Adolf Hitler’s mass rallies or
present-day angry mobs attest, group frenzy can readily become group mindlessness. As another example, emotional appeals by the Reverend Jim Jones resulted
in approximately 800 of his followers volitionally committing suicide.
The mere presence of a group (even without heightened emotional levels) can
also cause people to act differently than when they are alone. For example, in airline cockpit crews, there are clear lines of authority from the captain down to the
first officer (second in command) and so on. So strong are the norms surrounding
the authority of the captain that some first officers will not take control of the
airplane from the captain even in the event of impending disaster. Foushee reported a study wherein airline captains in simulator training intentionally feigned
incapacitation so that the response of the rest of the crew could be observed.19 The
feigned incapacitations occurred at a predetermined point during the plane’s final
approach in landing, and the simulation involved conditions of poor weather and
visibility. Approximately 25 percent of the first officers in these simulated flights
allowed the plane to crash. For some reason, the first officers did not take control
even when it was clear the captain was allowing the aircraft to deviate from the
parameters of a safe approach. This example demonstrates how group dynamics
can influence the behavior of group members even when emotional levels are not
high. (Believe it or not, airline crews are so well trained that this is not an emotional situation.) In sum, it should be apparent that leadership involves followers’
feelings and nonrational behavior as well as rational behavior. Leaders need to
consider both the rational and the emotional consequences of their actions.
In fact, some scholars have suggested that the very idea of leadership may be
rooted in our emotional needs. Belief in the potency of leadership, however—what
has been called the romance of leadership—may be a cultural myth that has utility primarily insofar as it affects how people create meaning about causal events in
complex social systems. Such a myth, for example, may be operating in the tendency of many people in the business world to automatically attribute a company’s
success or failure to its leadership. Rather than being a casual factor in a company’s success, however, it might be the case that “leadership” is merely a romanticized notion—an obsession people want to and need to believe in.20 Related to this
may be a tendency to attribute a leader’s success primarily if not entirely to that
person’s unique individual qualities. That idea is further explored in Profiles in
Leadership 1.2.
Chapter 1 What Do We Mean by Leadership? 9
Bill Gates’s Head Start
PROFILES IN LEADERSHIP 1.2
Belief in an individual’s potential to overcome great
odds and achieve success through talent, strength,
and perseverance is common in America, but usually there is more than meets the eye in such success stories. Malcolm Gladwell’s best seller Outliers
presents a fascinating exploration of how situational
factors contribute to success in addition to the kinds
of individual qualities we often assume are allimportant. Have you ever thought, for example, that
Bill Gates was able to create Microsoft because he’s
just brilliant and visionary?
Well, let’s take for granted he is brilliant and
visionary—there’s plenty of evidence of that. The
point here, however, is that’s not always enough
(and maybe it’s never enough). Here are some of the
things that placed Bill Gates, with all his intelligence
and vision, at the right time in the right place:
• Gates was born to a wealthy family in Seattle that
ortunately, at about the same time, a group called
F
the Computer Center Corporation was formed at
the University of Washington to lease computer
time. One of its founders, coincidentally a parent at
Gates’s own school, thought the school’s computer
club could get time on the computer in exchange
for testing the company’s new software programs.
Gates then started a regular schedule of taking the
bus after school to the company’s offices, where he
programmed long into the evening. During one
seven-month period, Gates and his fellow computer club members averaged eight hours a day,
seven days a week, of computer time.
• When Gates was a high school senior, another
extraordinary opportunity presented itself. A major national company (TRW) needed programmers with specialized experience—exactly, as it
turned out, the kind of experience the kids at
Gates’s school had been getting. Gates successfully lobbied his teachers to let him spend a
spring doing this work in another part of the state
for independent study credit.
placed him in a private school for seventh grade.
In 1968, his second year there, the school started
a computer club—even before most colleges had
computer clubs.
• By the time Gates dropped out of Harvard after his
about computers used computer cards, a tedious
and mind-numbing process. The computer at
Gates’s school, however, was linked to a mainframe
in downtown Seattle. Thus in 1968 Bill Gates was
practicing computer programming via time-sharing
as an eighth grader; few others in the world then
had such opportunity, whatever their age.
It appears that Gates’s success is at least partly
an example of the right person being in the right
place at just the right time.
• In the 1960s virtually everyone who was learning
• Even at a wealthy private school like the one Gates
attended, however, funds ran out to cover the high
costs of buying time on a mainframe computer.
If you want some ham,
you gotta go into the
smokehouse.
Huey Long, governor
of Louisiana,
1928–1932
sophomore year, he had accumulated more than
10,000 hours of programming experience. It was,
he’s said, a better exposure to software development than anyone else at a young age could have
had—and all because of a lucky series of events.
Source: Malcolm Gladwell, Outliers: The Story of Success (New York: Little, Brown and Company, 2008).
Leadership and Management
In trying to answer the question “What is leadership?” it is natural to look at the relationship between leadership and management. To many people, the word
management suggests words like efficiency, planning, paperwork, procedures, regulations, control, and consistency. Leadership is often more associated with words like
risk taking, dynamic, creativity, change, and vision. Some people say leadership is
fundamentally a value-choosing, and thus a value-laden, activity, whereas management
10 Part One Leadership Is a Process, Not a Position
is not. Leaders are thought to do the right things, whereas managers are thought to do
things right.21,22 Here are some other distinctions between managers and leaders:23
• Managers administer; leaders innovate.
• Managers maintain; leaders develop.
• Managers control; leaders inspire.
• Managers have a short-term view; leaders, a long-term view.
• Managers ask how and when; leaders ask what and why.
• Managers imitate; leaders originate.
• Managers accept the status quo; leaders challenge it.
While acknowledging this general distinction between leadership and management
is essentially accurate and even useful, however, it has had unintended negative effects:
“Some leaders now see their job as just coming up with big and vague ideas, and they
treat implementing them, or even engaging in conversation and planning about the
details of them, as mere ‘management’ work that is beneath their station and stature.”24
Zaleznik goes so far as to say these differences reflect fundamentally different
personality types: Leaders and managers are basically different kinds of people.25 He
says some people are managers by nature; other people are leaders by nature. One is
not better than the other; they are just different. Their differences, in fact, can be useful because organizations typically need both functions performed well. For example,
consider again the U.S. civil rights movement in the 1960s. Dr. Martin Luther King
Jr. gave life and direction to the civil rights movement in America. He gave dignity
and hope of freer participation in national life to people who before had little reason
to expect it. He inspired the world with his vision and eloquence, and he changed the
way we live together. America is a different nation today because of him. Was
Dr. Martin Luther King Jr. a leader? Of course. Was he a manager? Somehow that
does not seem to fit, and the civil rights movement might have failed if it had not
been for the managerial talents of his supporting staff. Leadership and management
complement each other, and both are vital to organizational success.
With regard to the issue of leadership versus management, the authors of this
book take a middle-of-the-road position. We think of leadership and management
as closely related but distinguishable functions. Our view of the relationship is depicted in Figure 1.1, which shows leadership and management as two overlapping
FIGURE 1.1
Leadership and
Management Overlap
Leadership
Management
Chapter 1
What Do We Mean by Leadership? 11
functions. Although some functions performed by leaders and managers may be
unique, there is also an area of overlap. In reading Highlight 1.2, do you see more
good management in the response to the 1906 San Francisco earthquake, more
good leadership, or both? And in Profiles in Leadership 1.3 you can read about
leaders from two different eras in American history.
The Response of Leadership to a Natural Disaster
HIGHLIGHT 1.2
Much has been written about the inadequate
response of local, state, and federal agencies to
Hurricane Katrina. It may be instructive to compare
the response of government agencies to a natural
disaster on a different coast a century earlier: the
San Francisco earthquake and fire of 1906.
While the precipitant disaster was the earthquake itself, much destruction resulted from the
consequent fire, one disaster aggravating the
impact of the others. Poles throughout the city fell, taking the high-tension wires they were carrying with
them. Gas pipes broke; chimneys fell, dropping hot
coals into thousands of gallons of gas spilled by broken fuel tanks; stoves and heaters in homes toppled
over; and in moments fires erupted across the city.
Because the earthquake’s first tremors also broke
water pipes throughout the city, fire hydrants everywhere suddenly went dry, making fighting the fires
virtually impossible. In objective terms, the disaster
is estimated to have killed as many as 3,000 people,
rendered more than 200,000 homeless, and by
some measures caused $195 billion in property loss
as measured by today’s dollars.
How did authorities respond to the crisis when
there were far fewer agencies with presumed
response plans to combat disasters, and when hightech communication methods were unheard of?
Consider these two examples:
• The ranking officer assigned to a U.S. Army post
in San Francisco was away when the earthquake
struck, so it was up to his deputy to help organize
the army’s and federal government’s response.
The deputy immediately cabled W
ashington, D.C.,
requesting tents, rations, and medicine. Secretary
of War William Howard Taft, who would become
the next U.S. president, responded by immediately dispatching 200,000 rations from Washington state. In a matter of days, every tent in the
U.S. Army had been sent to San Francisco, and
the longest hospital train in history was
dispatched from Virginia.
• Perhaps the most impressive example of leader-
ship initiative in the face of the 1906 disaster was
that of the U.S. Post Office. It recovered its ability
to function in short order without losing a single
item that was being handled when the earthquake struck. And because the earthquake had
effectively destroyed the city’s telegraphic connection (telegrams inside the city were temporarily being delivered by the post office), a critical
question arose: How could people struck by the
disaster communicate with their families elsewhere? The city postmaster immediately announced that all citizens of San Francisco could
use the post office to inform their families and
loved ones of their condition and needs. He further stipulated that for outgoing private letters it
would not matter whether the envelopes bore
stamps. This was what was needed: Circumstances demanded that people be able to communicate with friends and family whether or not
they could find or pay for stamps.
This should remind us that modern leadership is not
necessarily better leadership, and that leadership in
government is not always bureaucratic and can be
both humane and innovative.
12 Part One Leadership Is a Process, Not a Position
A Tale of Two Leaders
PROFILES IN LEADERSHIP 1.3
In 2015 the musical Hamilton opened on Broadway.
It would go on to win a Pulitzer Prize and 11 Tony
awards. It tells the story of Alexander Hamilton, a
founding father whose singularly important role in
our history has been largely forgotten.
If you are like most people—at least before
Hamilton opened on Broadway—you probably know
very little about Alexander Hamilton’s life. So consider just a few noteworthy pieces of his life story:
• He was born out of wedlock to a mixed-race cou-
ple in the West Indies in 1755. He served an apprenticeship in St. Croix with a trading company
where his experience with seafaring traders and
smugglers provided insight key to his later establishment of the U.S. Coast Guard and customs
service.
• He attended college in the American colonies,
and at the age of 22 served as George Washington’s private secretary and as his unofficial chiefof-staff during the Revolutionary War. He was the
main architect of the new American government
following the Constitutional Convention of 1787.
Rather impressive accomplishments for someone you had not heard much about before the musical became popular. But Lin-Manuel Miranda
became fascinated with the character when he read
Ron Chernow’s excellent biography of Hamilton. It
inspired him to write the musical (both the script and
the music) and to star in the title role.
And just as many Americans have become newly
acquainted with Alexander Hamilton the leader,
many have come to appreciate Lin-Manuel Miranda
the leader as well. Among his accomplishments was
his selection as one of Time magazine’s 100 most
influential people of 2016. In reflecting on the award
and his own legacy, he told Time magazine, “We
have this amount of time. It’s the tiniest grain of sand
of time we’re allowed on this earth, and what do we
leave behind? I think that question has gnawed at
me as long as I’ve been conscious. That’s something
that Hamilton outright states in our show, and I think
that’s something I share with him.”
Sources: R. Chernow, Alexander Hamilton (New York:
Penguin, 2004); J. McGregor, “How Hamilton’s Lin-Manuel
Miranda Makes Us Think about Legacy,” Washington
Post, May 4, 2016.
Leadership Myths
Few things pose a greater obstacle to leadership development than certain unsubstantiated and self-limiting beliefs about leadership. Therefore, before we begin examining leadership and leadership development in more detail, we consider what
they are not. Here we examine several beliefs (we call them myths) that stand in
the way of fully understanding and developing leadership.
Myth: Good Leadership Is All Common Sense
At face value, this myth says one needs only common sense to be a good leader. It
also implies, however, that most if not all of the studies of leadership reported in
scholarly journals and books only confirm what anyone with common sense already knows.
The problem, of course, is with the ambiguous term common sense. It implies a
common body of practical knowledge about life that virtually any reasonable person with moderate experience has acquired. A simple experiment, however, may
convince you that common sense may be less common than you think. Ask a few
Chapter 1 What Do We Mean by Leadership? 13
If you miss seven balls
out of ten, you’re batting
three hundred and that’s
good enough for the Hall
of Fame. You can’t score
if you keep the bat on
your shoulder.
Walter B. Wriston,
chairman of Citicorp,
1970–1984
friends or acquaintances whether the old folk wisdom “Absence makes the heart
grow fonder” is true or false. Most will say it is true. After that, ask a different
group whether the old folk wisdom “Out of sight, out of mind” is true or false.
Most of that group will answer true as well, even though the two proverbs are contradictory.
A similar thing sometimes happens when people hear about the results of studies concerning human behavior. On hearing the results, people may say, “Who
needed a study to learn that? I knew it all the time.” However, several experiments showed that events were much more surprising when subjects had to guess
the outcome of an experiment than when subjects were told the outcome.26,27 What
seems obvious after you know the results and what you (or anyone else) would
have predicted beforehand are not the same thing. Hindsight is always 20/20.
The point might become clearer with a specific example. Read the following
paragraph:
After World War II, the U.S. Army spent enormous sums of money on studies only
to reach conclusions that, many believed, should have been apparent at the outset.
One, for example, was that southern soldiers were better able to stand the climate in
the hot South Sea islands than northern soldiers were.
This sounds reasonable, but there is a problem: The statement here is exactly
contrary to the actual findings. Southerners were no better than northerners in
adapting to tropical climates.28 Common sense can often play tricks on us.
Put a little differently, one challenge of understanding leadership may be to
know when common sense applies and when it does not. Do leaders need to act
confidently? Of course. But they also need to be humble enough to recognize that
others’ views are useful, too. Do leaders need to persevere when times get tough?
Yes. But they also need to recognize when times change and a new direction is
called for. If leadership were nothing more than common sense, there should be
few, if any, problems in the workplace. However, we venture to guess you have noticed more than a few problems between leaders and followers. Effective leadership
must be something more than just common sense.
Myth: Leaders Are Born, Not Made
Never reveal all of yourself to other people; hold
back something in reserve
so that people are never
quite sure if they really
know you.
Michael Korda,
author, editor
Some people believe that being a leader is either in one’s genes or not; others believe that life experiences mold the individual and that no one is born a leader.
Which view is right? In a sense, both and neither. Both views are right in that innate factors as well as formative experiences influence many sorts of behavior, including leadership. Yet both views are wrong to the extent they imply leadership is
either innate or acquired; what matters more is how these factors interact. It does
not seem useful, we believe, to think of the world as comprising two mutually exclusive types of people, leaders and nonleaders. It is more useful to address how each
person can make the most of leadership opportunities he or she faces.
It may be easier to see the pointlessness of asking whether leaders are born or
made by looking at an alternative question of far less popular interest: Are college
professors born or made? Conceptually the issues are the same, and here too the
14 Part One Leadership Is a Process, Not a Position
answer is that every college professor is both born and made. It seems clear enough
that college professors are partly “born” because (among other factors) there is a
genetic component to intelligence, and intelligence surely plays some part in becoming a college professor (well, at least a minor part!). But every college professor
is also partly “made.” One obvious way is that college professors must have advanced education in specialized fields; even with the right genes one could not become a college professor without certain requisite experiences. Becoming a college
professor depends partly on what one is born with and partly on how that inheritance is shaped through experience. The same is true of leadership.
More specifically, research indicates that many cognitive abilities and personality traits are at least partly innate.29 Thus natural talents or characteristics may offer certain advantages or disadvantages to a leader. Consider physical
characteristics: A man’s above-average height may increase others’ tendency to
think of him as a leader; it may also boost his own self-confidence. But it doesn’t
make him a leader. The same holds true for psychological characteristics that seem
related to leadership. The stability of certain characteristics over long periods (for
example, at school reunions people seem to have kept the same personalities we
remember them as having years earlier) may reinforce the impression that our basic natures are fixed, but different environments nonetheless may nurture or suppress different leadership qualities.
Myth: The Only School You Learn Leadership from Is the
School of Hard Knocks
Progress always involves
risks. You can’t steal
second base and keep
your foot on first.
Frederick B. Wilcox
Some people skeptically question whether leadership can develop through formal
study, believing instead it can be acquired only through actual experience. It is a
mistake, however, to think of formal study and learning from experience as mutually exclusive or antagonistic. In fact, they complement each other. Rather than ask
whether leadership develops from formal study or from real-life experience, it is
better to ask what kind of study will help students learn to discern critical lessons
about leadership from their own experience. Approaching the issue in such a way
recognizes the vital role of experience in leadership development, but it also admits that certain kinds of study and training can improve a person’s ability to discern important lessons about leadership from experience. It can, in other words,
accelerate the process of learning from experience.
We argue that one advantage of formally studying leadership is that formal
study provides students with a variety of ways of examining a particular leadership
situation. By studying the different ways researchers have defined and examined
leadership, students can use these definitions and theories to better understand
what is going on in any leadership situation. For example, earlier in this chapter we
used different leadership definitions as a framework for describing or analyzing the
situation facing Parrado and the survivors of the plane crash, and each definition
focused on a different aspect of leadership. These frameworks can similarly be applied to better understand the experiences one has as both a leader and a follower.
We think it is difficult for leaders, particularly novice leaders, to examine leadership situations from multiple perspectives; but we also believe developing this skill
Chapter 1
What Do We Mean by Leadership? 15
Howard Schultz
PROFILES IN LEADERSHIP 1.4
Starbucks began in 1971 as a very different company
than we know it as today. The difference is due in
large part to the way its former CEO, Howard Schultz,
reframed the kind of business Starbucks should be.
Schultz joined Starbucks in 1981 to head its marketing
and retail store operations. While on a trip to Italy in
1983, Schultz was amazed by the number and variety
of espresso bars there—1,500 in the city of Turin
alone. He concluded that the Starbucks stores in
Seattle had missed the point: Starbucks should be
not just a store but an experience—a gathering place.
Everything looks clearer in hindsight, of course,
but the Starbucks owners resisted Schultz’s vision;
Starbucks was a retailer, they insisted, not a restaurant or bar. Schultz’s strategic reframing of the Starbucks opportunity was ultimately vindicated
when—after having departed Starbucks to pursue
the same idea with another company—Schultz had
the opportunity to purchase the whole Starbucks
operation in Seattle, including its name.
Despite today’s pervasiveness of Starbucks
across the world, however, and the seeming obviousness of Schultz’s exemplary leadership, the Starbucks story has not been one of completely
consistent success. After Schultz retired as Starbucks CEO when it was a global megabrand, the
company’s performance suffered to the point
Schultz complained that it was “losing its soul.” He
was asked to return as CEO in 2008 and has tried to
resurrect Starbucks by bringing new attention to the
company’s operating efficiency and by admitting, in
effect, that some of his own earlier instinctive approach to company strategy and management
would no longer be sufficient for the new global
scale of the Starbucks operation. In fact, Schultz discovered the challenges and the road to recovery
even more daunting than he expected. Leadership—
even for one with a proven track record—is never
easy.
Schultz stepped down as Starbucks CEO for the
second time in 2017.
can help you become a better leader. Being able to analyze your experiences from
multiple perspectives may be the greatest single contribution a formal course in
leadership can give you. Maybe you can reflect on your own leadership over a cup
of coffee in Starbucks as you read about the origins of that company in Profiles in
Leadership 1.4.
The Interactional Framework for Analyzing Leadership
Perhaps the first researcher to formally recognize the importance of the leader,
follower, and situation in the leadership process was Fred Fiedler.30 Fiedler used
these three components to develop his contingency model of leadership, a theory
of leadership discussed in more detail in Chapter 14. Although we recognize
Fiedler’s contributions, we owe perhaps even more to Hollander’s transactional
approach to leadership.31 We call our approach the interactional framework.
Several aspects of this derivative of Hollander’s approach are worthy of additional comment. First, as shown in Figure 1.2, the framework depicts leadership as
a function of three elements—the leader, the followers, and the situation. Second,
a particular leadership scenario can be examined using each level of analysis separately. Although this is a useful way to understand the leadership process, we can
16 Part One
Leadership Is a Process, Not a Position
Leader
FIGURE 1.2
An Interactional
Framework for
Analyzing Leadership
Personality,
position,
expertise,
etc.
Followers
Values,
norms,
cohesiveness,
etc.
Task,
stress,
environment,
etc.
Situation
Source: Adapted from E. P. Hollander, Leadership Dynamics: A Practical Guide to Effective
Relationships (New York: Free Press, 1978).
understand the process even better if we also examine the interactions among the
three elements, or lenses, represented by the overlapping areas in the figure. For
example, we can better understand the leadership process if we not only look at the
leaders and the followers but also examine how leaders and followers affect each
other in the leadership process. Similarly, we can examine the leader and the situation separately, but we can gain a better understanding of the leadership process by
looking at how the situation can constrain or facilitate a leader’s actions and how
the leader can change different aspects of the situation to be more effective. Thus a
final important aspect of the framework is that leadership is the result of a complex
set of interactions among the leader, the followers, and the situation. These complex
interactions may be why broad generalizations about leadership are problematic:
Many factors influence the leadership process (see Highlight 1.3).
An example of one such complex interaction between leaders and followers is
evident in what have been called in-groups and out-groups. Sometimes there is a
high degree of mutual influence and attraction between the leader and a few subordinates. These subordinates belong to the in-group and can be distinguished by
their high degree of loyalty, commitment, and trust felt toward the leader. Other
subordinates belong to the out-group. Leaders have considerably more influence
with in-group followers than with out-group followers. However, this greater degree
of influence has a price. If leaders rely primarily on their formal authority to influence their followers (especially if they punish them), then leaders risk losing the
high levels of loyalty and commitment followers feel toward them.32
The Leader
This element examines primarily what the leader brings as an individual to the
leadership equation. This can include unique personal history, interests, character
traits, and motivation.
Chapter 1
I must follow the people.
Am I not their leader?
Benjamin Disraeli,
19th-century British
prime minister
The crowd will follow a
leader who marches
twenty steps in advance;
but if he is a thousand
steps in front of them,
they do not see and do
not follow him.
Georg Brandes,
Danish scholar
What Do We Mean by Leadership? 17
Leaders are not all alike, but they tend to share many characteristics. Research has
shown that leaders differ from their followers, and effective leaders differ from ineffective leaders, on various personality traits, cognitive abilities, skills, and values.33–38
Another way personality can affect leadership is through temperament, by which we
mean whether a leader is generally calm or is instead prone to emotional outbursts.
Leaders who have calm dispositions and do not attack or belittle others for bringing bad
news are more likely to get complete and timely information from subordinates than are
bosses who have explosive tempers and a reputation for killing the messenger.
Another important aspect of the leader is how he or she achieved leader status.
Leaders who are appointed by superiors may have less credibility with subordinates and get less loyalty from them than leaders who are elected or emerge by
consensus from the ranks of followers. Often emergent or elected officials are better able to influence a group toward goal achievement because of the power conferred on them by their followers. However, both elected and emergent leaders
need to be sensitive to their constituencies if they wish to remain in power.
More generally, a leader’s experience or history in a particular organization is
usually important to her or his effectiveness. For example, leaders promoted from
within an organization, by virtue of being familiar with its culture and policies, may
be ready to “hit the ground running.” In addition, leaders selected from within an
organization are typically better known by others in the organization than are leaders selected from the outside. That is likely to affect, for better or worse, the latitude others in the organization are willing to give the leader; if the leader is widely
respected for a history of accomplishment, she may be given more latitude than a
newcomer whose track record is less well known. On the other hand, many people
tend to give new leaders a fair chance to succeed, and newcomers to an organization often take time to learn the organization’s informal rules, norms, and “ropes”
before they make any radical or potentially controversial decisions.
A leader’s legitimacy also may be affected by the extent to which followers participated in the leader’s selection. When followers have had a say in the selection
or election of a leader, they tend to have a heightened sense of psychological identification with her, but they also may have higher expectations and make more demands on her.39 We also might wonder what kind of support a leader has from his
own boss. If followers sense their boss has a lot of influence with the higher-ups,
subordinates may be reluctant to take their complaints to higher levels. On the
other hand, if the boss has little influence with higher-ups, subordinates may be
more likely to make complaints at these levels.
The foregoing examples highlight the sorts of insights we can gain about leadership by focusing on the individual leader as a level of analysis. Even if we were to
examine the individual leader completely, however, our understanding of the leadership process would be incomplete.
The Followers
Followers are a critical part of the leadership equation, but their role has not always
been appreciated, at least in empirical research (but read Highlight 1.3 to see how
the role of followers has been recognized in literature). For a long time, in fact, “the
18 Part One Leadership Is a Process, Not a Position
The First Band of Brothers
HIGHLIGHT 1.3
Many of you probably have seen, or at least heard
of, the award-winning series Band of Brothers that
followed a company of the famous 101st Airborne division during World War II, based on a book of the
same title by Stephen Ambrose. You may not be
aware that an earlier band of brothers was made famous by William Shakespeare in his play Henry V.
In one of the most famous speeches by any of
Shakespeare’s characters, the young Henry V tried
to unify his followers when their daring expedition to
conquer France was failing. French soldiers followed Henry’s army along the rivers, daring them to
cross over and engage the French in battle. Just before the battle of Agincourt, Henry’s rousing words
rallied his vastly outnumbered, weary, and tattered
troops to victory. Few words of oratory have ever
better bonded a leader with his followers than
Henry’s call for unity among “we few, we happy few,
we band of brothers.”
Hundreds of years later, Henry’s speech is still a
powerful illustration of a leader who emphasized the
importance of his followers. Modern leadership
All men have some weak
points, and the more
vigorous and brilliant a
person may be, the more
strongly these weak points
stand out. It is highly
desirable, even essential,
therefore, for the more
influential members of a
general’s staff not to be
too much like the general.
Major General Hugo
Baron von FreytagLoringhoven, antiHitler conspirator
concepts like vision, charisma, relationship orientation, and empowerment are readily evident in
Henry’s interactions with his followers. Here are the
closing lines of Henry’s famous speech:
From this day to the ending of the world,
But we in it shall be remembered—
We few, we happy few, we band of brothers;
For he today that sheds his blood with me
Shall be my brother; be he ne’er so vile,
This day shall gentle his condition;
And gentlemen in England now-a-bed
Shall think themselves accurs’d they were not here,
And hold their manhoods cheap whiles any speaks
That fought with us upon Saint Crispin’s day.
Shakespeare’s insights into the complexities of
leadership should remind us that while modern research helps enlighten our understanding, it does
not represent the only, and certainly not the most
moving, perspective on leadership to which we
should pay attention.
Source: Ambrose, S.E. Band of Brothers (New York:
Simon & Schuster, 2001).
common view of leadership was that leaders actively led and subordinates, later
called followers, passively and obediently followed.”40 Over time, especially in the last
century, social change shaped people’s views of followers, and leadership theories
gradually recognized the active and important role that followers play in the leadership process.41 Today it seems natural to accept the important role followers play.
One aspect of our text’s definition of leadership is particularly worth noting in
this regard: Leadership is a social influence process shared among all members of
a group. Leadership is not restricted to the influence exerted by someone in a particular position or role; followers are part of the leadership process, too. In recent
years both practitioners and scholars have emphasized the relatedness of leadership
and followership. As Burns observed, the idea of “one-man leadership” is a contradiction in terms.42
Obvious as this point may seem, it is also clear that early leadership researchers
paid relatively little attention to the roles followers play in the leadership process.43,44 However, we know that the followers’ expectations, personality traits, maturity levels, levels of competence, and motivation affect the leadership process,
too. Highlight 1.4 describes a systematic approach to classifying different kinds of
followers that has had a major impact on research.45–48
Chapter 1
What Do We Mean by Leadership? 19
Followership Styles
HIGHLIGHT 1.4
The concept of different styles of leadership is reasonably familiar, but the idea of different styles of followership is relatively new. The very word follower
has a negative connotation to many, evoking ideas
of people who behave like sheep and need to be
told what to do. Robert Kelley, however, believes
that followers, rather than representing the antithesis of leadership, are best viewed as collaborators
with leaders in the work of organizations.
Kelley believes that different types of followers
can be described in terms of two broad dimensions.
One of them ranges from independent, critical thinking at one end to dependent, uncritical thinking on
the other end. According to Kelley, the best followers
think for themselves and offer constructive advice or
even creative solutions. The worst followers need to
be told what to do. Kelley’s other dimension ranges
from whether people are active followers or passive
followers in the extent to which they are engaged in
work. According to Kelley, the best followers are selfstarters who take initiative for themselves, whereas
the worst followers are passive, may even dodge responsibility, and need constant supervision.
Using these two dimensions, Kelley has suggested five basic styles of followership:
1. Alienated followers habitually point out all the
negative aspects of the organization to others.
While alienated followers may see themselves as
mavericks who have a healthy skepticism of the
organization, leaders often see them as cynical,
negative, and adversarial.
not to make waves. Because they do not like to
stick out, pragmatists tend to be mediocre performers who can clog the arteries of many organizations. Because it can be difficult to discern
just where they stand on issues, they present an
ambiguous image with both positive and negative characteristics. In organizational settings,
pragmatists may become experts in mastering
the bureaucratic rules that can be used to protect them.
4. Passive followers display none of the characteristics of the exemplary follower (discussed next).
They rely on the leader to do all the thinking. Furthermore, their work lacks enthusiasm. Lacking
initiative and a sense of responsibility, passive
followers require constant direction. Leaders
may see them as lazy, incompetent, or even stupid. Sometimes, however, passive followers
adopt this style to help them cope with a leader
who expects followers to behave that way.
5. Exemplary followers present a consistent picture
to both leaders and coworkers of being independent, innovative, and willing to stand up to superiors. They apply their talents for the benefit of
the organization even when confronted with
bureaucratic stumbling blocks or passive or
pragmatist coworkers. Effective leaders appreciate the value of exemplary followers. When one
of the authors was serving in a follower role in a
staff position, he was introduced by his leader to
a conference as “my favorite subordinate because he’s a loyal ‘No-Man’.”
2. Conformist followers are the “yes people” of organizations. While very active at doing the organization’s work, they can be dangerous if their
orders contradict societal standards of behavior
or organizational policy. Often this style is the result of either the demanding and authoritarian
style of the leader or the overly rigid structure of
the organization.
Exemplary followers—high on both critical dimensions of followership—are essential to organizational
success.
Leaders, therefore, would be well advised to select people who have these characteristics and, perhaps even more important, create the conditions
that encourage these behaviors.
3. Pragmatist followers are rarely committed to
their group’s work goals, but they have learned
Source: R. Kelley, The Power of Followership (New York:
Doubleday Currency, 1992).
20 Part One
Leadership Is a Process, Not a Position
The nature of followers’ motivation to do their work is also important. Workers
who share a leader’s goals and values, and who feel intrinsically rewarded for performing a job well, might be more likely to work extra hours on a time-critical
project than those whose motivation is solely monetary.
Even the number of followers reporting to a leader can have significant implications. For example, a store manager with three clerks working for him can spend
more time with each of them (or on other things) than can a manager responsible
for eight clerks and a separate delivery service; chairing a task force with 5 members is a different leadership activity than chairing a task force with 18 members.
Still other relevant variables include followers’ trust in the leader and their degree
of confidence that he or she is interested in their well-being. Another aspect of followers’ relations to a leader is described in Profiles in Leadership 1.5.
Paul Revere
PROFILES IN LEADERSHIP 1.5
A fabled story of American history is that of Paul Revere’s ride through the countryside surrounding
Boston, warning towns that the British were coming,
so that local militia could be ready to meet them. As
a result, when the British did march toward
Lexington on the following day, they faced unexpectedly fierce resistance. At Concord the British
were beaten by a ragtag group of locals, and so began the American Revolutionary War.
It has been taken for granted by generations of
Americans that the success of Paul Revere’s ride lay
in his heroism and in the self-evident importance of
the news itself. A little-known fact, however, is that
Paul Revere was not the only rider that night. A fellow revolutionary by the name of William Dawes had
the same mission: to ride simultaneously through a
separate set of towns surrounding Boston to warn
them that the British were coming. He did so, carrying the news through just as many towns as Revere
did. But his ride was not successful; those local militia leaders weren’t aroused and did not rise up to
confront the British. If they had been, Dawes would
be as famous today as Paul Revere.
Why was Revere’s ride successful when Dawes’s
ride was not? Paul Revere started a word-of-mouth
epidemic, and Dawes did not, because of differing
kinds of relationships the two men had with others.
It wasn’t, after all, the nature of the news itself that
proved ultimately important so much as the nature
of the men who carried it. Paul Revere was a gregarious and social person—what Malcolm Gladwell
calls a connector. Gladwell writes that Revere was “a
fisherman and a hunter, a cardplayer and a theaterlover, a frequenter of pubs and a successful businessman. He was active in the local Masonic Lodge
and was a member of several select social clubs.”
He was a man with a knack for always being at the
center of things. So when he began his ride that
night, it was Revere’s nature to stop and share the
news with anyone he saw on the road, and he would
have known who the key players were in each town
to notify.
Dawes was not by nature so gregarious as Revere, and he did not have Revere’s extended social
network. It’s likely he wouldn’t have known whom to
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)
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