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This International Student Edition is for use outside of the U.S. Tenth Edition LEADERSHIP Your studies.Your rules. Our new digital learning tools and resources will help you learn in the way that works best for you. With our exclusive partner offers and discounts­­— like free tutoring, and access to our student success center full of practical videos — we are here to support you along every step of your learning journey. Get redi your way!​Learning tools for your course! Sign up for McGraw Hill redi today!​Visit redi online to get started and access free and discounted offers. studyredi.com/study ENHANCING THE LESSONS OF EXPERIENCE Tenth Edition LEADERSHIP ENHANCING THE LESSONS OF EXPERIENCE Richard L. Hughes Robert C. Ginnett 90000 EAN 9 781265 107888 mheducation.com/highered Hughes Ginnett Curphy ISBN: 978-1-265-10788-8 MHID: 1-265-10788-2 Gordon J. Curphy Leadership Enhancing the Lessons of Experience Tenth Edition Richard L. Hughes Robert C. Ginnett Gordon J. Curphy Final LEADERSHIP Published by McGraw Hill LLC, 1325 Avenue of the Americas, New York, NY 10121. Copyright ©2022 by McGraw Hill LLC. All rights reserved. Printed in the United States of America. No part of this publication may be reproduced or distributed in any form or by any means, or stored in a database or retrieval system, without the prior written consent of McGraw Hill LLC, including, but not limited to, in any network or other electronic storage or transmission, or broadcast for distance learning. Some ancillaries, including electronic and print components, may not be available to customers outside the United States. This book is printed on acid-free paper. 1 2 3 4 5 6 7 8 9 LCR 24 23 22 21 ISBN 978-1-265-10788-8 MHID 1-265-10788-2 Cover Image: Construction: Ariel Skelley/Blend Images LLC; Backpackers: Brand X Pictures/Superstock: Surgeons: Chris Ryan/age fotostock All credits appearing on page or at the end of the book are considered to be an extension of the copyright page. 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 LLC, and McGraw Hill LLC does not guarantee the accuracy of the information presented at these sites. mheducation.com/highered hug07882_ISE.pdf November 17, 2020 About the Authors Rich Hughes has served on the faculties of both the Center for Creative Leadership (CCL), the U.S. Air Force Academy, and Denver Seminary. CCL is an international organization devoted to behavioral science research and leadership education. Rich 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. Rich 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 high-performance 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 U.S. 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 an MBA, an MA, an MPhil, 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; 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 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.” FOREWORD v 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 follow-through. You may even learn about “loneliness at the top.” However, if you are 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 With each new edition, we have found ourselves both pleasantly surprised (as in “You mean there’ll be another one?”) and also momentarily uncertain just what new material on leadership we might add—all the while knowing that in this dynamic field, there is always new material to add. Illustrations from history and current leadership practice seem inexhaustible, and there is always new research that deepens both our conceptual understanding and appreciation of evolving trends in the field. We continue in this tenth edition with the general approach we have followed for a number of preceding editions. The book’s overall structure remains essentially the same, following our conceptualization of leadership as a process involving an interaction among leaders, followers, and situations. So once again Part One of our text looks at the nature of the leadership process itself as well as how a person becomes a better leader. Part Two is titled Focus on the Leader, with Parts Three and Four logically following as Focus on the Followers and Focus on the Situation. And also continuing the format of previous editions, there is a specific “skills chapter” in each of those parts addressing essential leadership competencies appropriate to each of those four broad areas. As you would expect, this new edition brings research updates to virtually every chapter as well as updates to our Highlights, Profiles in Leadership, and Mini-Case features. Generally speaking, we have tried to make “one-for-one” trades on these features so as new material was added, less relevant or interesting material was eliminated. As a result, our new set of Highlights includes topics such as these (among others): • • • • • • • • • • Growth versus fixed mindsets The ethics of dropping atom bombs on Hiroshima and Nagasaki Lawrence Kohlberg’s theory of moral development Moral challenges of leadership The dangers of hubris The relationship between humility and charisma Helicopter parenting and its impact on a person’s leadership potential The accelerating rate of change in the world The Space Shuttle Challenger disaster The impact of the COVID-19 pandemic Similarly, our Profiles in Leadership introduce new subjects as diverse as Harry Truman, Fred Rogers, U.S. Secretary of State Michael Pompeo, and 20th-century German theologian Dietrich Bonhoeffer (who was part of the plot to assassinate Adolf Hitler). New Mini-Cases include the examination of Army Lieutenant General Laura Yeager, the first woman to command a combat division in the U.S. Army; Carlsson Systems Ltd. (CSL); and the nuclear disaster at the Chernobyl power plant in the former Soviet Union. The greatest structural change to the book (i.e., to the table of contents) pertains to a new approach to the subject matter covered in the ninth edition’s Chapters 9 and 10. The subject matter per se remains essentially the same, but we believe it is treated more appropriately in three rather than just two chapters. Therefore, in this tenth edition Chapter 9 is titled “Follower Motivation,” Chapter 10 is titled “Follower Satisfaction and Engagement,” and Chapter 11 is titled “Follower Performance, Effectiveness, and Potential.” You will also see other changes to the content of certain chapters, including a Highlight on punishment in Chapter 4, “Power and Influence”; the subject matter seems more appropriate in that chapter than in the final chapter of the book, where it previously had been presented as a leadership skill. We also moved coverage of the Vroom and Yetton model of decision-making from the chapter on contingency theories of leadership to a skills chapter (Chapter 8). And there is also updated material on high-performing teams and geographically dispersed teams in Chapter 12 (“Groups, Teams, and Their Leadership”). PREFACE vii As always, we are indebted to the superb editorial staff at McGraw-Hill Education including Michael Ablassmeir, Director; Laura Hurst Spell, Associate Portfolio Manager; Melissa Leick, Senior Content Project Manager; Emily Windelborn, Assessment Content Project Manager; Alyson Platt, Copy Editor; Beth Blech, Designer; Sarah Blasco, Product Developer; Vinoth Prabhakaran, Vendor Customer Service Representative; and Lisa Granger, Marketing Manager. We are also indebted to the experienced and insightful perspectives of the following scholars who provided helpful feedback to guide changes to the tenth and previous editions: Douglas Lee Akins, North Central Texas College; Barbara Altman, Texas A&M; Lynn Becker, University of Central Florida; Audrey Blume, Wilmington University; Barry Boyd, Texas A&M University; Patricia Ann Castelli, Lawrence Technological University; Elizabeth Cooper, University of Rhode Island; Marian M. Extejt, Bridgewater State University; Cherly Furdge, North Central Texas College; Diane D. Galbraith, Slippery Rock University; Melissa K. Gibson, Edinboro University; Dr. Gerry Herbison, The American College of Financial Services; Cecil Douglas Johnson, Georgia Gwinnett College; Barbara Limbach, Chadron State College; Michael Monahan, Frostburg State University; Kevin O’Neill, State University of New York at Plattsburgh; Michelle Roach; Susan Pope, University of Akron; Dr. Eric Terry, Miami Dade College; Debra Touchton, Stetson University; Richard S. Voss, Troy University; and Belinda Johnson, White Morehouse College. Finally, there is one small set of changes to this edition we want to mention. They are not remarkable in either their volume or particular insight; in truth, they represent literally last-minute changes. That is because it was only in our final stage of prepublication work that—like the rest of the world—we found ourselves in the midst of the coronavirus pandemic. And as we progressed through weeks and months of “sheltering at home,” we found ourselves becoming increasingly mindful of questions like “How are our leaders responding to this crisis?” and “How might this change life—and leadership—in the future?” As this edition goes to press, we do not yet pretend to know the answers to these questions. But we do believe the enormity of the issues deserves at least some acknowledgment and thoughtful reflection in this text—however superficially we may do so now. Therefore, here and there as it was even possible in the process, we’ve added a Highlight or end-of-chapter questions and activities regarding the pandemic—and for that we appreciate the publisher’s considerable flexibility. And precisely because of the timing of these events, and somewhat in the same spirit and consciousness of the impact the pandemic is having on all our lives, we want to dedicate this edition to the first responders and medical personnel who so bravely, tirelessly, and selflessly are risking their lives to help us all. Richard L. Hughes Robert C. Ginnett Gordon J. Curphy ® FOR INSTRUCTORS You’re in the driver’s seat. Want to build your own course? No problem. Prefer to use our turnkey, prebuilt course? Easy. Want to make changes throughout the semester? Sure. And you’ll save time with Connect’s auto-grading too. 65% Less Time Grading They’ll thank you for it. Adaptive study resources like SmartBook® 2.0 help your students be better prepared in less time. You can transform your class time from dull definitions to dynamic debates. 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Top: Jenner Images/Getty Images, Left: Hero Images/Getty Images, Right: Hero Images/Getty Images Brief Contents PART ONE: Leadership Is a Process, Not a Position Chapter 1: Chapter 2: Chapter 3: 1 What Do We Mean by Leadership? 2 Leader Development 40 Skills for Developing Yourself as a Leader 78 PART TWO: Focus on the Leader Chapter 4: Chapter 5: Chapter 6: Chapter 7: Chapter 8: 100 Power and Influence 101 Values, Ethics, and Character 135 Leadership Attributes 167 Leadership Behavior 224 Skills for Building Personal Credibility and Influencing Others PART THREE: Focus on the Followers Chapter 9: Chapter 10: Chapter 11: Chapter 12: Chapter 13: 301 Follower Motivation 313 Follower Satisfaction and Engagement 355 Follower Performance, Effectiveness, and Potential 382 Groups, Teams, and Their Leadership 416 Skills for Developing Others 459 PART FOUR: Focus on the Situation Chapter 14: Chapter 15: Chapter 16: Chapter 17: Chapter 18: Index 686 490 The Situation 492 Contingency Theories of Leadership 531 Leadership and Change 556 The Dark Side of Leadership 612 Skills for Optimizing Leadership as Situations Change 668 266 Contents Preface vi PART ONE Leadership Is a Process, Not a Position 1 Chapter 1 What Do We Mean by Leadership? 2 Introduction 2 What Is Leadership? 3 Leadership Is Both a Science and an Art 6 Leadership Is Both Rational and Emotional 7 Leadership and Management 9 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 23 Illustrating the Interactional Framework: Women in Leadership Roles 24 There Is No Simple Recipe for Effective Leadership 30 Summary 32 Minicase: Laura Yeager Assumes Command of an Army Infantry Division 34 Chapter 2 Leader Development 40 Introduction 40 The Action–Observation–Reflection Model 42 The Key Role of Perception in the Spiral of Experience 44 Perception and Observation 45 Perception and Reflection 47 Perception and Action 48 Reflection and Leadership Development 49 Single- and Double-Loop Learning 51 Making the Most of Your Leadership Experiences: Learning to Learn from Experience 52 Leader Development in College 56 Leader Development in Organizational Settings 57 Action Learning 62 Development Planning 63 Coaching 64 Mentoring 68 Building Your Own Leadership Self-Image 69 Summary 70 Minicase: Developing Leaders at UPS 72 Chapter 3 Skills for Developing Yourself as a Leader 78 Introduction 78 Your First 90 Days as a Leader 78 Before You Start: Do Your Homework 79 The First Day: You Get Only One Chance to Make a First Impression 80 The First Two Weeks: Lay the Foundation 80 The First Two Months: Strategy, Structure, and Staffing 82 The Third Month: Communicate and Drive Change 83 Learning from Experience 83 Creating Opportunities to Get Feedback 84 Taking a 10 Percent Stretch 84 Learning from Others 85 Keeping a Journal 85 Having a Developmental Plan 86 xii CONTENTS Building Technical Competence 87 Determining How the Job Contributes to the Overall Mission 88 Becoming an Expert in the Job 88 Seeking Opportunities to Broaden Experiences 88 Building Effective Relationships with Superiors 89 Understanding the Superior’s World 89 Adapting to the Superior’s Style 90 Building Effective Relationships with Peers 91 Recognizing Common Interests and Goals 91 Understanding Peers’ Tasks, Problems, and Rewards 91 Practicing a Theory Y Attitude 92 Development Planning 92 Conducting a GAPS Analysis 93 Identifying and Prioritizing Development Needs: Gaps of GAPS 95 Bridging the Gaps: Building a Development Plan 95 Reflecting on Learning: Modifying Development Plans 97 Transferring Learning to New Environments 97 PART TWO Focus on the Leader 100 Chapter 4 Power and Influence 101 Introduction 101 Some Important Distinctions 101 Power and Leadership 105 Sources of Leader Power 105 A Taxonomy of Social Power 108 Expert Power 108 Referent Power 109 Legitimate Power 110 Reward Power 110 Coercive Power 111 Concluding Thoughts about French and Raven’s Power Taxonomy 117 Leader Motives 119 Influence Tactics 122 Types of Influence Tactics 122 Influence Tactics and Power 123 A Concluding Thought about Influence Tactics 128 Summary 128 Minicase: The Prime Minister’s Powerful Better Half 130 Chapter 5 Values, Ethics, and Character 135 Introduction 135 Leadership and “Doing the Right Things” 135 Values 137 Moral Reasoning and Character-Based Leadership 140 Character-Based Approaches to Leadership 148 Authentic Leadership 149 Servant Leadership 150 The Roles of Ethics and Values in Organizational Leadership 153 Leading by Example: The Good, the Bad, and the Ugly 154 Creating and Sustaining an Ethical Climate 156 Summary 159 Minicase: Balancing Priorities at Clif Bar 161 Chapter 6 Leadership Attributes 167 Introduction 167 Personality Traits and Leadership 168 What Is Personality? 168 The Five Factor or OCEAN Model of Personality 173 CONTENTS Implications of the Five-Factor or OCEAN Model 177 An Alternative to Traits: Personality Types 181 Emotional Intelligence and Leadership 183 What Is Emotional Intelligence? 183 Can Emotional Intelligence Be Measured and Developed? 187 Implications of Emotional Intelligence 187 Intelligence and Leadership 191 What Is Intelligence? 191 The Triarchic Theory of Intelligence 193 Implications of the Triarchic Theory of Intelligence 198 Intelligence and Stress: Cognitive Resources Theory 203 Summary 206 Minicase: Lessons on Leadership from Ann Fudge 208 Chapter 7 Leadership Behavior 224 Introduction 224 Studies of Leadership Behavior 225 Why Study Leadership Behavior? 225 The Early Studies 228 The Leadership Grid 230 Competency Models 233 The Leadership Pipeline 238 Community Leadership 244 Assessing Leadership Behaviors: Multirater Feedback Instruments 247 Summary 254 Minicase: Paying Attention Pays Off for Andra Rush 256 Chapter 8 Skills for Building Personal Credibility and Influencing Others 266 Introduction 266 Building Credibility 266 xiii The Two Components of Credibility 267 Building Expertise 267 Building Trust 268 Expertise × Trust 269 Communication 270 Know What Your Purpose Is 273 Choose an Appropriate Context and Medium 273 Send Clear Signals 273 Actively Ensure That Others Understand the Message 274 Listening 275 Demonstrate Nonverbally That You Are Listening 275 Actively Interpret the Sender’s Message 276 Attend to the Sender’s Nonverbal Behavior 276 Avoid Becoming Defensive 277 Assertiveness 277 Use “I” Statements 279 Speak Up for What You Need 280 Learn to Say No 280 Monitor Your Inner Dialogue 280 Be Persistent 281 Conducting Meetings 281 Determine Whether It Is Necessary 282 List the Objectives 282 Stick to the Agenda 282 Provide Pertinent Materials in Advance 282 Make It Convenient 282 Encourage Participation 283 Keep a Record 283 Effective Stress Management 283 Monitor Your Own and Your Followers’ Stress Levels 286 Identify What Is Causing the Stress 286 Practice a Healthy Lifestyle 286 Learn How to Relax 286 Develop Supportive Relationships 287 Keep Things in Perspective 287 xiv CONTENTS The A-B-C Model 287 Chapter 10 Follower Satisfaction and Engagement 355 Problem Solving 288 Identifying Problems or Opportunities for Improvement 289 Analyzing the Causes 292 Developing Alternative Solutions 292 Selecting and Implementing the Best Solution 294 Assessing the Impact of the Solution 294 Improving Creativity 295 Seeing Things in New Ways 295 Using Power Constructively 295 Forming Diverse Problem-Solving Groups 296 PART THREE Focus on the Followers 301 The Potter and Rosenbach Followership Model 303 The Curphy and Roellig Followership Model 306 Chapter 9 Follower Motivation 313 Introduction 313 Defining Motivation, Satisfaction, Engagement, Performance, and Effectiveness 314 Understanding and Influencing Follower Motivation 320 Motives: How Do Needs Affect Motivation? 322 Achievement Orientation: How Does Personality Affect Motivation? 325 Goal Setting: How Do Clear Performance Targets Affect Motivation? 331 The Operant Approach: How Do Rewards and Punishment Affect Motivation? 333 Empowerment: How Does Decision-Making Latitude Affect Motivation? 338 Summary 342 Minicase: Initech versus the Coffee Bean 344 Introduction 355 Understanding and Influencing Follower Satisfaction 356 Global, Facet, and Life Satisfaction 360 Two Theories of Job Satisfaction 365 Understanding and Improving Employee Engagement 369 Summary 373 Minicase: The Case of the Troubled Casino 375 Chapter 11 Follower Performance, Effectiveness, and Potential 382 Introduction 382 Understanding and Managing Follower Performance 384 The Performance Management Cycle: Planning 387 The Performance Management Cycle: Monitoring 388 The Performance Management Cycle: Evaluating 389 Understanding and Managing Unit and Team Effectiveness 395 Understanding Follower Potential 399 Summary 408 Minicase: Who Shall Rule? 410 Chapter 12 Groups, Teams, and Their Leadership 416 Introduction 416 Individuals versus Groups versus Teams 417 The Nature of Groups 419 Group Size 419 Developmental Stages of Groups 421 Group Roles 422 Group Norms 425 CONTENTS Group Cohesion 426 Teams 429 Effective Team Characteristics and Team Building 429 Team Leadership Model 435 Outputs 436 Process 437 Inputs 439 Leadership Prescriptions of the Model 440 Creation 440 Dream 440 Design 441 Development 441 Diagnosis and Leverage Points 442 Concluding Thoughts about the Team Leadership Model 445 Virtual Teams 445 On the Horizon 451 Summary 452 Minicase: Integrating Teams at Hernandez & Associates 454 Chapter 13 Skills for Developing Others 459 Introduction 459 Setting Goals 459 Goals Should Be Specific and Observable 460 Goals Should Be Attainable but Challenging 460 Goals Require Commitment 460 Goals Require Feedback 461 Providing Constructive Feedback 461 Make It Helpful 463 Be Specific 464 Be Descriptive 464 Be Timely 465 Be Flexible 465 Give Positive as Well as Negative Feedback 465 Avoid Blame or Embarrassment 466 xv Team Building for Work Teams 466 Team-Building Interventions 466 What Does a Team-Building Workshop Involve? 467 Examples of Interventions 468 Building High-Performing Teams: The Rocket Model 469 Context: What Is the Situation? 470 Mission: What Are We Trying to Accomplish? 471 Talent: Who Is on the Bus? 471 Norms: What Are the Rules? 472 Buy-In: Is Everyone Committed and Engaged? 473 Resources: Do We Have Enough? 473 Courage: Is It Safe to Challenge Each Other? 474 Results: Are We Winning? 474 Implications of the Rocket Model 475 Delegating 476 Why Delegating Is Important 477 Delegation Frees Time for Other Activities 477 Delegation Develops Followers 478 Delegation Strengthens the Organization 478 Common Reasons for Avoiding Delegation 478 Delegation Takes Too Much Time 478 Delegation Is Risky 478 The Job Will Not Be Done as Well 478 The Task Is a Desirable One 479 Others Are Already Too Busy 479 Principles of Effective Delegation 479 Decide What to Delegate 479 Decide Whom to Delegate To 479 Make the Assignment Clear and Specific 480 Assign an Objective, Not a Procedure 480 Allow Autonomy, but Monitor Performance 480 xvi CONTENTS Chapter 15 Give Credit, Not Blame 481 Coaching 481 Forging a Partnership 482 Inspiring Commitment: Conducting a GAPS Analysis 482 Growing Skills: Creating Development and Coaching Plans 483 Promoting Persistence: Helping Followers Stick to Their Plans 483 Transferring Skills: Creating a Learning Environment 485 Concluding Comments 486 PART FOUR Focus on the Situation 490 Chapter 14 The Situation 492 Introduction 492 The Task 498 How Tasks Vary, and What That Means for Leadership 498 Problems and Challenges 500 The Organization 502 From the Industrial Age to the Information Age 502 The Formal Organization 503 The Informal Organization: Organizational Culture 506 A Theory of Organizational Culture 510 An Afterthought on Organizational Issues for Students and Young Leaders 512 The Environment 513 Are Things Changing More Than They Used To? 513 Leading across Societal Cultures 517 What Is Societal Culture? 519 The GLOBE Study 520 Summary 523 Minicase: Chernobyl: Man-Made Disaster II 525 Contingency Theories of Leadership 531 Introduction 531 Leader–Member Exchange Theory 532 Concluding Thoughts about the LMX Model 533 The Situational Leadership® Model 534 Leader Behaviors 534 Follower Readiness 534 Prescriptions of the Model 536 Concluding Thoughts about the Situational Leadership Model 537 The Contingency Model 538 The Least Preferred Coworker Scale 538 Situational Favorability 539 Prescriptions of the Model 541 Concluding Thoughts about the Contingency Model 543 The Path–Goal Theory 544 Leader Behaviors 544 The Followers 546 The Situation 547 Prescriptions of the Theory 547 Concluding Thoughts about the Path–Goal Theory 548 Summary 550 Minicase: Big Changes for a Small Hospital 551 Chapter 16 Leadership and Change 556 Introduction 556 The Rational Approach to Organizational Change 560 Dissatisfaction 561 Model 562 Process 564 Resistance 568 Concluding Thoughts about the Rational Approach to Organizational Change 570 CONTENTS The Emotional Approach to Organizational Change: Charismatic and Transformational Leadership 573 Charismatic Leadership: A Historical Review 574 What Are the Common Characteristics of Charismatic and Transformational Leadership? 581 Leader Characteristics 581 Vision 582 Rhetorical Skills 583 Image and Trust Building 584 Personalized Leadership 585 Follower Characteristics 585 Identification with the Leader and the Vision 586 Heightened Emotional Levels 586 Willing Subordination to the Leader 586 Feelings of Empowerment 587 Situational Characteristics 589 Crises 589 Social Networks 590 Other Situational Characteristics 591 Concluding Thoughts about the Characteristics of Charismatic and Transformational Leadership 591 Bass’s Theory of Transformational and Transactional Leadership 593 Research Results of Transformational and Transactional Leadership 594 Summary 596 Minicase: Keeping Up with Bill Gates 598 Chapter 17 The Dark Side of Leadership 612 Introduction 612 Destructive Leadership 615 Managerial Incompetence 619 Managerial Derailment 625 The Ten Root Causes of Managerial Incompetence and Derailment 631 xvii 1 and 2—Stuff Happens: Situational and Follower Factors in Managerial Derailment 634 3—The Lack of Organizational Fit: Stranger in a Strange Land 636 4 and 5—More Clues for the Clueless: Lack of Situational and Self-Awareness 638 6—Lack of Intelligence and Expertise: Real Men of Genius 640 7—Poor Followership: Fire Me, Please 643 8—Dark-Side Personality Traits: Personality as a Method of Birth Control 646 9—Leadership Motivation: Get Promoted or Be Effective? 652 10—Leadership B.S.: Myths That Perpetuate Managerial Incompetence 653 Summary 655 Minicase: You Can’t Make This Stuff Up 658 Chapter 18 Skills for Optimizing Leadership as Situations Change 668 Introduction 668 Creating a Compelling Vision 668 Ideas: The Future Picture 670 Expectations: Values and Performance Standards 670 Emotional Energy: The Power and the Passion 671 Edge: Stories, Analogies, and Metaphors 671 Managing Conflict 672 What Is Conflict? 672 Is Conflict Always Bad? 672 Conflict Resolution Strategies 673 Negotiation 677 Prepare for the Negotiation 677 Separate the People from the Problem 677 Focus on Interests, Not Positions 678 Diagnosing Performance Problems in Individuals, Groups, and Organizations 678 xviii CONTENTS Expectations 679 Capabilities 679 Opportunities 679 Motivation 679 Concluding Comments on the Diagnostic Model 680 Team Building at the Top 680 Executive Teams Are Different 680 Applying Individual Skills and Team Skills 681 Tripwire Lessons 681 Trip Wire 1: Call the Performing Unit a Team but Really Manage Members as Individuals 681 Trip Wire 2: Create an Inappropriate Authority Balance 682 Trip Wire 3: Assemble a Large Group of People, Tell Them in General Terms What Needs to Be Accomplished, and Let Them “Work Out the Details” 682 Trip Wire 4: Specify Challenging Team Objectives, but Skimp on Organizational Supports 683 Trip Wire 5: Assume That Members Already Have All the Competence They Need to Work Well as a Team 684 Index 686 Final Part 1 Leadership Is a Process, Not a Position 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. hug82978_ch01_001-039.pdf November 17, 2020 Final 2 PART 1: Leadership Is a Process, Not a Position CHAPTER 1 What Do We Mean by Leadership? Introduction 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 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. hug82978_ch01_001-039.pdf November 17, 2020 Final CHAPTER 1: What Do We Mean by Leadership? 3 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. 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 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 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 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 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 Remember the difference between a boss and a leader: a boss says, “Go!”—a leader says, “Let’s go!” E. M. Kelly 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 hug82978_ch01_001-039.pdf November 17, 2020 Final 4 PART 1: Leadership Is a Process, Not a Position 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, 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. “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 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 hug82978_ch01_001-039.pdf 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 pearl-diving. But consider the UAE today: November 17, 2020 Final CHAPTER 1: What Do We Mean by Leadership? • 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 5 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. 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 (that is, 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 hug82978_ch01_001-039.pdf November 17, 2020 Final 6 PART 1: Leadership Is a Process, Not a Position 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 And using an innovative methodology of “mapping” research trends over time, a 2019 review of the leadership research between 1990 and 2017 identified 200 demonstrably “landmark” studies that indicate significant areas of study in the evolution of the field.18 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 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.19 Any fool can keep a rule. God gave him a brain to know when to break the rule. General Willard W. Scott 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—presuming, of course, that they believe evidence from research is a valid basis for informing one’s own leadership practice.20 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. 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 hug82978_ch01_001-039.pdf 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 November 17, 2020 Final CHAPTER 1: What Do We Mean by Leadership? 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 20th 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 7 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 Introduction to the Special Issue,” Consulting Psychology Journal: Practice & Research 66 (2014), pp. 259–60. Leadership Is Both Rational and Emotional 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 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. 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.21 The feigned incapacitations occurred at a predetermined point during the plane’s final approach in landing, and the sim- hug82978_ch01_001-039.pdf November 17, 2020 Final 8 PART 1: Leadership Is a Process, Not a Position ulation 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.22 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. 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 all-important. 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: hug82978_ch01_001-039.pdf • Gates was born to a wealthy family in Seattle that 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. • In the 1960s, virtually everyone who was learning 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. • 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. Fortunately, at about the same time, a group called the Computer Center Corporation was formed at the University of Washington to lease computer November 17, 2020 Final CHAPTER 1: What Do We Mean by Leadership? 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 9 successfully lobbied his teachers to let him spend a spring doing this work in another part of the state for independent study credit. • By the time Gates dropped out of Harvard after his 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. 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. Source: Malcolm Gladwell, Outliers: The Story of Success (New York: Little, Brown and Company, 2008). Leadership and Management If you want some ham, you gotta go into the smokehouse. Huey Long, governor of Louisiana, 1928–1932 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 is not. Leaders are thought to do the right things, whereas managers are thought to do things right.23, 24 Here are some other distinctions between managers and leaders:25 • • • • • • • 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.”26 hug82978_ch01_001-039.pdf November 17, 2020 Final 10 PART 1: Leadership Is a Process, Not a Position Zaleznik goes so far as to say these differences reflect fundamentally different personality types: Leaders and managers are basically different kinds of people.27 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 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. FIGURE 1.1 Leadership and Management Overlap Leadership Management The Response of Leadership to a Natural Disaster HIGHLIGHT 1.2 After terrible natural disasters occur, it is common for observers to comment about the adequacy or inadequacy of government responsestothem. It may be instructive to compare the response of government agencies to a natural hug82978_ch01_001-039.pdf disaster that occurred more than a century ago: 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 car- November 17, 2020 Final CHAPTER 1: What Do We Mean by Leadership? rying 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 high-tech 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 Washington, 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 11 the longest hospital train in history was dispatched from Virginia. • Perhaps the most impressive example of leadership 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. 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 hug82978_ch01_001-039.pdf important role in our history has been largely forgotten. If you are like most people—at least before Hamilton opened on Broadway—you probably knew very little about Alexander Hamilton’s life. So consider just a few noteworthy pieces of his life story: November 17, 2020 Final 12 PART 1: Leadership Is a Process, Not a Position • He was born out of wedlock to a mixed-race couple 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 chief-of-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 LinManuel 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.” Largely as a result of Hamilton’s success, Miranda is now estimated to earn $105,000 a week in royalties. But his now unquestioned success does not—in his own mind, at least—make Hamilton the turning point in his life. He still lives in the same predominantly Latino neighborhood of Washington Heights where he grew up and which inspired his first Broadway musical. In recalling that milestone, he recalls, “I think honestly the biggest leap [in my life] was the first production of In The Heights, because I went from being a substitute teacher to a Broadway composer. I’ll never make a leap that big again in my life.” Sources: R. Chernow, Alexander Hamilton (New York: Penguin, 2004); J. McGregor, “How Hamilton’s Lin-Manuel Miranda Makes Us Think about Legacy,” The Washington Post, May 4, 2016; and “Miranda’s Life as a Rich Man,” The Week, November 15, 2019, p. 10. 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 hug82978_ch01_001-039.pdf November 17, 2020 Final CHAPTER 1: What Do We Mean by Leadership? 13 experiment, however, may convince you that common sense may be less common than you think. Ask a few 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. 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 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.28, 29 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.30 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 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. 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 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 answer is that every college professor is both born and made. It seems clear hug82978_ch01_001-039.pdf November 17, 2020 Final 14 PART 1: Leadership Is a Process, Not a Position 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.31 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 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. hug82978_ch01_001-039.pdf November 17, 2020 Final CHAPTER 1: What Do We Mean by Leadership? 15 Harry Truman Takes Charge PROFILES IN LEADERSHIP 1.4 The first four months of Harry Truman’s presidency might be the most important four months in American history in politically shaping today’s world. Truman assumed the presidency upon the death of Franklin Delano Roosevelt (FDR) in 1945, and Roosevelt was not an easy act to follow. FDR had served in the office longer than anyone before (or since) and was widely regarded as one of the greatest and most popular presidents in history. Truman, on the other hand, was described as the “prototypical ordinary man.” He had no college degree and never had enough money to own a home. His only slightly tongue-in-cheek self-description is revealing: “My choice early in life was either to be a piano player in a whorehouse or a politician. And to tell the truth, there’s hardly any difference.” He would recall the day of FDR’s death—in 1945, during what would be the last year of WWII—as the day “the whole weight of the moon and the stars fell on me.” When told by First Lady Eleanor Roosevelt of her husband’s death, he immediately asked if there was anything he could do to help her. She answered, “Is there anything we can do for you? For you are the one in trouble now.” He could not have known on that first day all that he would be facing, because there was much, even as vice president, that he had not been made privy to. Late on his first day as president, the Secretary of War told him about a project underway to develop a weapon of incomprehensible destructive power. It was called the Manhattan Project, and the weapon was the atom bomb. Only four months later, Truman would have to decide whether to use it to end the war. During the first four months of his presidency, he also oversaw the collapse of the Nazi empire, fire-bombings of Japanese cities that killed hundreds of thousands of people, and the creation of the United Nations. He is now regarded as among the greatest of American presidents of all time. Source: A. J. Baime, The Accidental President: Harry S. Truman and the Fourth Months That Changed the World (Boston: Mariner Books, 2017). 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.32 Fiedler used these three components to develop his contingency model of leadership, a theory of leadership discussed in more detail in Chapter 15. Although we recognize Fiedler’s contributions, we owe perhaps even more to Hollander’s transactional approach to leadership.33 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 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 hug82978_ch01_001-039.pdf November 17, 2020 Final 16 PART 1: Leadership Is a Process, Not a Position 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.34 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. 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.35, 36, 37, 38, 39, 40 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 FIGURE 1.2 An Interactional Framework for Analyzing Leadership Leader 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). hug82978_ch01_001-039.pdf November 17, 2020 Final CHAPTER 1: What Do We Mean by Leadership? 17 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.41 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. I must follow the people. Am I not their leader? Benjamin Disraeli, 19th-century British prime minister 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 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 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 common view of leadership was that leaders actively led and subordinates, later called followers, passively and obediently followed.”42 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.43 Today it seems natural to accept the important role followers play. hug82978_ch01_001-039.pdf November 17, 2020 Final 18 PART 1: Leadership Is a Process, Not a Position The First Band of Brothers HIGHLIGHT 1.3 Perhaps you have seen or heard of the awardwinning 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. sized the importance of his followers. Modern leadership 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. 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.” 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. Hundreds of years later, Henry’s speech is still a powerful illustration of a leader who empha- Source: S. E. Ambrose, Band of Brothers (New York: Simon & Schuster, 2001). 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 …

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