According to hogan and warrenfelz, which of the following skills is the most difficult to change?

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Leadership Enhancing the Lessons of Experience Seventh Edition

Richard L. Hughes Robert C. Ginnett Gordon J. Curphy

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LEADERSHIP: ENHANCING THE LESSONS OF EXPERIENCE

Published by McGraw-Hill/Irwin, a business unit of The McGraw-Hill Companies, Inc., 1221 Avenue of the Americas, New York, NY, 10020. Copyright © 2012, 2009, 2006, 2002, 1999, 1996, 1993 by The McGraw-Hill Companies, Inc. All rights reserved. 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 The McGraw-Hill Companies, Inc., 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.

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ISBN 978-0-07-811265-2

MHID 0-07-811265-6

Vice president and editor-in-chief: Brent Gordon Executive director of development: Ann Torbert Managing development editor: Laura Hurst Spell Development editor: Jane Beck Vice president and director of marketing: Robin J. Zwettler Marketing director: Amee Mosley Associate marketing manager: Jaime Halteman Vice president of editing, design, and production: Sesha Bolisetty Project manager: Dana M. Pauley Senior buyer: Carol A. Bielski Design coordinator: Joanne Mennemeier Senior media project manager: Susan Lombardi Media project manager: Suresh Babu, Hurix Systems Pvt. Ltd. Typeface: 10/12 Palatino Compositor: Aptara®, Inc. Printer: R. R. Donnelley

Library of Congress Cataloging-in-Publication Data

Hughes, Richard L. Leadership : enhancing the lessons of experience / Richard L. Hughes, Robert C. Ginnett, Gordon J. Curphy. — 7th ed. p. cm. Includes index. ISBN-13: 978-0-07-811265-2 (alk. paper) ISBN-10: 0-07-811265-6 (alk. paper) 1. Leadership. I. Ginnett, Robert C. II. Curphy, Gordon J. III. Title. HM1261.H84 2012 303.394—dc22 2010052313

www.mhhe.com

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iii

About the Authors Rich Hughes has served on the faculties of both the Center for Creative Leadership (CCL) and the U.S. Air Force Academy. CCL is an interna- tional organization devoted to behavioral science research and leadership education. He worked there with senior executives from all sectors in the areas of strategic leadership and organizational culture change. At the Air Force Academy he served for a decade as head of its Department of Be- havioral Sciences and Leadership. He is a clinical psychologist and a grad- uate 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 leader- ship of high-performance teams and organizations. He is the developer of the Team Leadership Model, © which provides the theoretical framework for many interventions in organizations where teamwork is critical. This model and its real-time application have made him an internationally rec- ognized expert in his field. He has worked with hundreds of organiza- tions including Novartis, Prudential, Fonterra, Mars, GlaxoSmithKlein, Boston Scientific, Daimler Benz, NASA, the Defense and Central Intelli- gence Agencies, the National Security Agency, United and Delta Airlines, Textron, and the United States Army, Navy, and Air Force. Prior to work- ing 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 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 worked at the Kennedy Space Center in the post- Challenger period. Robert is an organizational psychologist whose educa- tion includes a master of business administration degree, a master of arts, a master of philosophy, and a PhD from Yale University.

Gordy Curphy is the president of C3, a human resource consulting firm that helps public and private sector clients achieve better results through people. Gordy has over 25 years of leadership and technical expertise in job analysis and competency modeling; hourly staffing systems; multirater feedback systems; performance management design and implementation; leadership development design, delivery, and evaluation; survey construc- tion, administration, and analysis; assessment center methodology; executive coaching, training, and team building; succession planning; team and organizational effectiveness; and strategic and business planning.

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iv About the Authors

Prior to forming his own consulting firm, Gordy spent 10 years as a vice president of institutional leadership at the Blandin Foundation and as a vice president and general manager at Personnel Decisions International. He is an industrial/organizational psychologist and a graduate of the U.S. Air Force Academy. He has an MA from the University of St. Mary’s and a PhD in industrial/organizational psychology from the University of Minnesota.

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v

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—the seventh. For this newest edition I’ve written some- thing of a new foreword. In a sense, no new foreword is needed; many principles of leadership are timeless. For example, their references to Shakespeare and Machiavelli need no updating. However, they have refreshed their examples and an- ecdotes, and they have kept up with the contemporary research and writ- ing of leadership experts. Ironically, one of their most riveting new examples falls into the “Dark Side of Leadership” chapter, where they in- clude the horrific example of Richard Fuld, the CEO who presided over the disintegration, destruction, and bankruptcy of Lehman Brothers, the fourth-largest investment bank in the world. Over a five-year period (when he was paid a total of $300,000,000), Fuld kept stretching the rubber band of increasingly risky investments while at the same time stretching another rubber band of tricky financial reporting until they both snapped simultaneously, bringing the world’s financial system close to the brink of disaster. His actions cost the jobs of 25,000 employees and the loss of bil- lions of dollars by investors. Yeoman work by other leaders avoided the brink but could not prevent a painful economic recession. This brutal ex- ample, in a perverse way, once again emphasizes the power of leadership. Such examples keep this book fresh and relevant; but the earlier fore- word, 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 psy- chological tone. You, as a reader, are going to be asked to think about lead- ership 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 of- ten 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 scien- tists, 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: cartoons, quotes, anecdotal Highlights, and

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vi Foreword

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, insatia- ble 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 cur- rent 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 quanda- ries such as the following: You are in a leadership position with a budget provided by an outside funding source. You believe strongly in, say, Topic A, and have taken a strong, visible public stance on that topic. The head of your funding source takes you aside and says, “We disagree with your stance on Topic A. Please tone down your public statements, or we will have to take another look at your budget for next year.” What would you do? Quit? Speak up and lose your budget? Tone down your public statements and feel dishonest? There’s no easy answer, and it’s not an unusual situation for a leader to be in. Sooner or later, all lead- ers 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 develop- ment, 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 sug- gestion. 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, per- suade 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

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Foreword vii

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 plea- sures, 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 ex- perience first and read this book later, you will have a much better under- standing 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 leader- ship, 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 lead- ership 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

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viii

Preface

Perhaps by the time they are fortunate enough to have completed six edi- tions of a textbook, it is a bit natural for authors to believe something like, “Well, now we’ve got it just about right . . . there couldn’t be too many changes for the next edition” (that is, this one). But as our experience con- sistently has been since the first edition, the helpful suggestions of users and reviewers always provide helpful grist for improvement. The changes made in this edition are far more extensive than we would have predicted a year ago, and we believe this edition is better because of them. We have made a number of significant changes to this book’s structure and format as well as the kind of normal updates you would expect (such as adding timely references, including new Highlights, and pruning dated stories). Let us briefly review here some of the major changes to this edi- tion. Some of these can be characterized as a generalized effort to better integrate material covered in multiple chapters in previous editions into single chapters in this edition. For example, we have combined material from the first two chapters in all previous editions into the first chapter of this edition with an overall leaner and more consolidated treatment of the material. As another example, we have moved material about mentoring, coaching, and development planning from the chapter about leader be- havior into the chapter about leader development while also eliminating material from earlier editions of the development chapter that over time had become somewhat out of date. Another major change is the complete elimination of the chapter about assessing leadership. We struggled with this chapter through all previous editions in our efforts to adequately cover material that we believe important but that to many others is dry and perhaps not that important in an introduc- tory course. We finally concluded that the cost of an entire chapter that either was not covered by many of our textbook users, or was found problematic by others who did, was simply not worth it. (Sneakily, we must admit that a lit- tle of that material might have found its way into other chapters.) The chapter now called “Leadership, Ethics and Values” also includes many changes. There is an extended treatment of ethical leadership, and more explicit linkages are drawn among ethics, values, ethical leadership, authentic leadership, and servant leadership. In the spirit of consolidation and integration, some material about character development from other chapters in the previous edition is now included in this chapter instead. Finally, the “Leading across Cultures” section, which was in the “Leader- ship and Values” chapter of our sixth edition, is now part of “The Situa- tion” chapter in this edition because it fits better there thematically. Speaking about our chapter addressing the role of the situation in lead- ership, it also has undergone other significant changes. In general, these

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Preface ix

changes represent our effort to reorient the chapter more toward leader- ship issues than toward organizational behavior or management. Thus the chapter not only discusses the leadership challenges of leading glob- ally but also explores the topic of organizational culture. The chapter also takes a new look at the role of leadership in dealing with increasing envi- ronmental change. The final major change to this edition reorganizes the content covered in our sections about leadership skills into four chapters, each one now representing the final chapter in each of the book’s four parts, and each chapter focusing on a distinctive aspect of a leader’s challenges. There also are two new skills added: “Creating a Compelling Vision” and “Your First 90 Days as a Leader.” There are other changes to the seventh edition as well, though they are generally smaller in scope and less systematic than those just mentioned. For example, greater attention is now given to LMX theory in the “Contin- gency Theories” chapter; leading virtual teams gets more extended treat- ment in “Groups, Teams, and Their Leadership”; and new Highlights and Profiles in Leadership appear throughout the book. As always, we are indebted to the superb editorial staff at McGraw- Hill/Irwin, including Jane Beck, our editorial coordinator, Laura Spell, the managing development editor, Dana Pauley, the project manager, and Jaime Halteman, our marketing manager. They all have been wise, sup- portive, helpful, and pleasant partners in this process, and it has been our good fortune to know and work with such a professional team. And as we noted at the beginning of this preface, we are also indebted to the individu- als whose evaluations and constructive suggestions about the previous edition provided the foundation for many of our revisions. We are grateful for the scholarly and insightful comments from all of our reviewers:

John Anderson Walsh College

Mark Arvisais Towson University

David Lee Baker Kent State University

Herbert Barber Virginia Military Institute

Erich Baumgartner Andrews University

Ellen Benowitz Mercer County Community College

Kenneth Campbell North Central College

Cheree Causey University of Alabama–Tuscaloosa

Jeewon Cho Montclair State University

Marie Gould Peirce College

Donald Howard Horner U.S. Naval Academy

Osmond Ingram Jr. Dallas Baptist University

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x Preface

Once again we dedicate this book to the leaders of the past from whom we have learned, the leaders of today whose behaviors and actions shape our ever-changing world, and the leaders of tomorrow who we hope will benefit from the lessons in this book as they face the challenges of change and globalization in an increasingly interconnected world.

Richard L. Hughes Robert C. Ginnett Gordon J. Curphy

Karen Jacobs LeTourneau University

Donna Rue Jenkins National University

Lanny Karns SUNY–Oswego

Stacey Kessler Montclair State University

Paulette Laubsch Fairleigh-Dickinson University–Teaneck

Charles Changuk Lee Chestnut Hill College

John Michael Lenti University of South Carolina

Kristie Loescher University of Texas–Austin

Lt. Col. Thomas Meriwether Virginia Military Institute

Howard Rudd College of Charleston

Cdr. Stephen Trainor U.S. Naval Academy

Dennis Veit University of Texas–Arlington

Deborah Wharff University of North Carolina– Pembroke

Eric Williams University of Alabama–Tuscaloosa

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xi

Brief Contents PART ONE: Leadership Is a Process, Not a Position 1

Chapter 1: What Do We Mean by Leadership? 2

Chapter 2: Leader Development 43

Chapter 3: Skills for Developing Yourself as a Leader 88

PART TWO: Focus on the Leader 117

Chapter 4: Power and Infl uence 118

Chapter 5: Leadership, Ethics and Values 150

Chapter 6: Leadership Attributes 188

Chapter 7: Leadership Behavior 242

Chapter 8: Skills for Building Personal Credibility and Infl uencing Others 277

PART THREE: Focus on the Followers 317

Chapter 9: Motivation, Satisfaction, and Performance 331

Chapter 10: Groups, Teams, and Their Leadership 390

Chapter 11: Skills for Developing Others 436

PART FOUR: Focus on the Situation 473

Chapter 12: The Situation 473

Chapter 13: Contingency Theories of Leadership 520

Chapter 14: Leadership and Change 556

Chapter 15: The Dark Side of Leadership 607

Chapter 16: Skills for Optimizing Leadership as Situations Change 657

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Contents Preface viii

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 5 Leadership Is Both Rational and Emotional 6 Leadership and Management 8

Leadership Myths 11 Myth: Good Leadership Is All Common Sense 11 Myth: Leaders Are Born, Not Made 12 Myth: The Only School You Learn Leadership from Is the School of Hard Knocks 13

The Interactional Framework for Analyzing Leadership 15

The Leader 16 The Followers 18 The Situation 26

Illustrating the Interactional Framework: Women in Leadership Roles 27 There Is No Simple Recipe for Effective Leadership 34 Summary 35

Chapter 2 Leader Development 43

Introduction 43 The Action–Observation–Reflection Model 46 The Key Role of Perception in the Spiral of Experience 49

Perception and Observation 49 Perception and Reflection 51 Perception and Action 52

Reflection and Leadership Development 54

Single- and Double-Loop Learning 54 Making the Most of Your Leadership Experiences: Learning to Learn from Experience 57

Leader Development in College 59 Leader Development in Organizational Settings 61 Action Learning 64 Development Planning 66 Coaching 69 Mentoring 74

Building Your Own Leadership Self- Image 78 Summary 78

Chapter 3 Skills for Developing Yourself as a Leader 87

Your First 90 Days as a Leader 88 Before You Start: Do Your Homework 88 The First Day: You Get Only One Chance to Make a First Impression 89 The First Two Weeks: Lay the Foundation 90 The First Two Months: Strategy, Structure, and Staffing 92 The Third Month: Communicate and Drive Change 93

Learning from Experience 94 Creating Opportunities to Get Feedback 95 Taking a 10 Percent Stretch 95 Learning from Others 96 Keeping a Journal 96 Having a Developmental Plan 97

Building Technical Competence 98 Determining How the Job Contributes to the Overall Mission 100 Becoming an Expert in the Job 100 Seeking Opportunities to Broaden Experiences 101

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Contents xiii

Building Effective Relationships with Superiors 101

Understanding the Superior’s World 102 Adapting to the Superior’s Style 103

Building Effective Relationships with Peers 104

Recognizing Common Interests and Goals 104 Understanding Peers’ Tasks, Problems, and Rewards 105 Practicing a Theory Y Attitude 105

Development Planning 106 Conducting a GAPS Analysis 107 Identifying and Prioritizing Development Needs: Gaps of GAPS 109 Bridging the Gaps: Building a Development Plan 110 Reflecting on Learning: Modifying Development Plans 110 Transferring Learning to New Environments 112

PART TWO Focus on the Leader 117

Chapter 4 Power and Influence 118

Introduction 118 Some Important Distinctions 118 Power and Leadership 121

Sources of Leader Power 122 A Taxonomy of Social Power 125 Expert Power 125 Referent Power 126 Legitimate Power 128 Reward Power 129 Coercive Power 130 Concluding Thoughts about French and Raven’s Power Taxonomy 133 Leader Motives 134

Influence Tactics 137 Types of Influence Tactics 138 Influence Tactics and Power 139 A Concluding Thought about Influence Tactics 142

Summary 142

Chapter 5 Leadership Ethics and Values 150

Introduction 150 Leadership and “Doing the Right Things” 150

Values, Ethics, and Morals 152 Are There Generational Differences in Values? 154 Moral and Ethical Reasoning and Action 157 Why Do Good People Do Bad Things? 166

Ethics and Values-Based Approaches to Leadership 168 The Roles of Ethics and Values in Organizational Leadership 172

Leading by Example: the Good, the Bad, and the Ugly 174 Creating and Sustaining an Ethical Climate 176

Summary 181

Chapter 6 Leadership Attributes 188

Introduction 188 Personality Traits and Leadership 189

What Is Personality? 189 The Five Factor or OCEAN Model of Personality 192 Implications of the Five Factor or OCEAN Model 196

Personality Types and Leadership 201 The Differences between Traits and Types 201 Psychological Preferences as a Personality Typology 202 Implications of Preferences and Types 205

Intelligence and Leadership 208 What Is Intelligence? 208 The Triarchic Theory of Intelligence 210 Implications of the Triarchic Theory of Intelligence 213 Intelligence and Stress: Cognitive Resources Theory 218

Emotional Intelligence and Leadership 220 What Is Emotional Intelligence? 220

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xiv Contents

Can Emotional Intelligence Be Measured and Developed? 225 Implications of Emotional Intelligence 226

Summary 229

Chapter 7 Leadership Behavior 242

Introduction 242 Studies of Leadership Behavior 244

Why Study Leadership Behavior? 244 The Early Studies 246 The Leadership Grid 250 Competency Models 252

The Leadership Pipeline 255 Community Leadership 259 Assessing Leadership Behaviors: Multirater Feedback Instruments 262 Summary 268

Chapter 8 Skills for Building Personal Credibility and Influencing Others 277

Building Credibility 277 The Two Components of Credibility 278 Building Expertise 278 Building Trust 279 Expertise × Trust 281

Communication 283 Know What Your Purpose Is 285 Choose an Appropriate Context and Medium 285 Send Clear Signals 286 Actively Ensure That Others Understand the Message 287

Listening 288 Demonstrate Nonverbally That You Are Listening 289 Actively Interpret the Sender’s Message 289 Attend to the Sender’s Nonverbal Behavior 290 Avoid Becoming Defensive 290

Assertiveness 291 Use “I” Statements 293 Speak Up for What You Need 295

Learn to Say No 295 Monitor Your Inner Dialogue 295 Be Persistent 296

Conducting Meetings 296 Determine Whether It Is Necessary 297 List the Objectives 297 Stick to the Agenda 298 Provide Pertinent Materials in Advance 298 Make It Convenient 298 Encourage Participation 298 Keep a Record 299

Effective Stress Management 299 Monitor Your Own and Your Followers’ Stress Levels 302 Identify What Is Causing the Stress 302 Practice a Healthy Lifestyle 303 Learn How to Relax 303 Develop Supportive Relationships 303 Keep Things in Perspective 304 The A-B-C Model 304

Problem Solving 306 Identifying Problems or Opportunities for Improvement 306 Analyzing the Causes 307 Developing Alternative Solutions 308 Selecting and Implementing the Best Solution 308 Assessing the Impact of the Solution 309

Improving Creativity 309 Seeing Things in New Ways 309 Using Power Constructively 311 Forming Diverse Problem-Solving Groups 311

PART THREE Focus on the Followers 317

The Potter and Rosenbach Followership Model 320 The Curphy Followership Model 323

Chapter 9 Motivation, Satisfaction, and Performance 331

Introduction 331

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Contents xv

Defining Motivation, Satisfaction, and Performance 332 Understanding and Influencing Follower Motivation 338

Maslow’s Hierarchy of Needs: How Does Context Affect Motivation? 340 Achievement Orientation: How Does Personality Affect Motivation? 344 Goal Setting: How Do Clear Performance Targets Affect Motivation? 346 The Operant Approach: How Do Rewards and Punishment Affect Motivation? 351 Empowerment: How Does Decision-Making Latitude Affect Motivation? 355 Motivation Summary 360

Understanding and Influencing Follower Satisfaction 362

Global, Facet, and Life Satisfaction 364 Three Theories of Job Satisfaction 369 Affectivity: Is the Cup Half Empty or Half Full? 370 Herzberg’s Two-Factor Theory: Does Meaningful Work Make People Happy? 372 Organizational Justice: Does Fairness Matter? 374

Summary 376

Chapter 10 Groups, Teams, and Their Leadership 390

Introduction 390 Individuals versus Groups versus Teams 391 The Nature of Groups 393

Group Size 394 Developmental Stages of Groups 396 Group Roles 396 Group Norms 400 Group Cohesion 402

Teams 406 Effective Team Characteristics and Team Building 406 Ginnett’s Team Leadership Model 410 Outputs 410

Process 410 Inputs 415 Leadership Prescriptions of the Model 415 Creation 415 Dream 416 Design 416 Development 417 Diagnosis and Leverage Points 418 Concluding Thoughts about Ginnett’s Team Leadership Model 422

Virtual Teams 424 Summary 428

Chapter 11 Skills for Developing Others 436

Setting Goals 436 Goals Should Be Specific and Observable 437 Goals Should Be Attainable but Challenging 437 Goals Require Commitment 438 Goals Require Feedback 439

Providing Constructive Feedback 439 Make It Helpful 441 Be Specific 442 Be Descriptive 442 Be Timely 443 Be Flexible 443 Give Positive as Well as Negative Feedback 444 Avoid Blame or Embarrassment 444

Team Building for Work Teams 444 Team-Building Interventions 445 What Does a Team-Building Workshop Involve? 446 Examples of Interventions 447

Building High-Performance Teams: The Rocket Model 448

Mission 450 Talent 450 Norms 451 Buy-In 452 Power 453 Morale 453 Results 454 Implications of the Rocket Model 455

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xvi Contents

Delegating 457 Why Delegating Is Important 457 Delegation Frees Time for Other Activities 457 Delegation Develops Followers 458 Delegation Strengthens the Organization 458 Common Reasons for Avoiding Delegation 458 Delegation Takes Too Much Time 458 Delegation Is Risky 458 The Job Will Not Be Done as Well 459 The Task Is a Desirable One 459 Others Are Already Too Busy 459 Principles of Effective Delegation 459 Decide What to Delegate 459 Decide Whom to Delegate To 460 Make the Assignment Clear and Specific 460 Assign an Objective, Not a Procedure 460 Allow Autonomy, but Monitor Performance 461 Give Credit, Not Blame 461

Coaching 462 Forging a Partnership 463 Inspiring Commitment: Conducting a GAPS Analysis 464 Growing Skills: Creating Development and Coaching Plans 465 Promoting Persistence: Helping Followers Stick to Their Plans 466 Transferring Skills: Creating a Learning Environment 467 Concluding Comments 468

PART FOUR Focus on the Situation 473

Chapter 12 The Situation 475

Introduction 475 The Task 480

How Tasks Vary, and What That Means for Leadership 480 Problems and Challenges 482

The Organization 484 From the Industrial Age to the Information Age 484 The Formal Organization 486 The Informal Organization: Organizational Culture 489 A Theory of Organizational Culture 495 An Afterthought on Organizational Issues for Students and Young Leaders 498

The Environment 498 Are Things Changing More Than They Used To? 499

Leading across Societal Cultures 502 What Is Societal Culture? 506 The GLOBE Study 506

Implications for Leadership Practitioners 511 Summary 512

Chapter 13 Contingency Theories of Leadership 520

Introduction 520 Leader–Member Exchange (LMX) Theory 521

Concluding Thoughts about the LMX Model 522

The Normative Decision Model 523 Levels of Participation 523 Decision Quality and Acceptance 523 The Decision Tree 525 Concluding Thoughts about the Normative Decision Model 528

The Situational Leadership® Model 530 Leader Behaviors 530 Follower Readiness 532 Prescriptions of the Model 532 Concluding Thoughts about the Situational Leadership® Model 533

The Contingency Model 535 The Least Preferred Coworker Scale 535 Situational Favorability 537 Prescriptions of the Model 538 Concluding Thoughts about the Contingency Model 540

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Contents xvii

The Path–Goal Theory 542 Leader Behaviors 542 The Followers 543 The Situation 545 Prescriptions of the Theory 546 Concluding Thoughts about the Path–Goal Theory 547

Summary 549

Chapter 14 Leadership and Change 556

Introduction 556 The Rational Approach to Organizational Change 557

Dissatisfaction 560 Model 561 Process 564 Resistance 567 Concluding Comments about the Rational Approach to Organizational Change 570

The Emotional Approach to Organizational Change: Charismatic and Transformational Leadership 573

Charismatic Leadership: A Historical Review 573 What Are the Common Characteristics of Charismatic and Transformational Leadership? 580

Leader Characteristics 581 Vision 581 Rhetorical Skills 582 Image and Trust Building 582 Personalized Leadership 583

Follower Characteristics 584 Identification with the Leader and the Vision 584 Heightened Emotional Levels 585 Willing Subordination to the Leader 585 Feelings of Empowerment 585

Situational Characteristics 586 Crises 586 Social Networks 587 Other Situational Characteristics 587

Concluding Thoughts about the Characteristics of Charismatic and Transformational Leadership 587 Bass’s Theory of Transformational and Transactional Leadership 590

Research Results of Transformational and Transactional Leadership 592

Summary 594

Chapter 15 The Dark Side of Leadership 607

Introduction 607 Bad Leadership 610 Managerial Incompetence 614 Managerial Derailment 620 The Six Root Causes of Managerial Incompetence and Derailment 628

Stuff Happens: Situational and Follower Factors in Managerial Derailment 630 The Lack of Organizational Fit: Stranger in a Strange Land 632 More Clues for the Clueless: Lack of Situational and Self-Awareness 635 Lack of Intelligence, Subject Matter Expertise, and Team-Building Know-How: Real Genius 637 Poor Followership: Fire Me, Please 640 Dark-Side Personality Traits: Personality as a Method of Birth Control 643

Summary 648

Chapter 16 Skills for Optimizing Leadership as Situations Change 657

Creating a Compelling Vision 657 Ideas: The Future Picture 658 Expectations: Values and Performance Standards 659 Emotional Energy: The Power and the Passion 660 Edge: Stories, Analogies, and Metaphors 661

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Managing Conflict 662 What Is Conflict? 662 Is Conflict Always Bad? 663 Conflict Resolution Strategies 664

Negotiation 668 Prepare for the Negotiation 668 Separate the People from the Problem 668 Focus on Interests, Not Positions 668

Diagnosing Performance Problems in Individuals, Groups, and Organizations 669

Expectations 670 Capabilities 670 Opportunities 671

Motivation 671 Concluding Comments on the Diagnostic Model 671

Team Building at the Top 671 Executive Teams Are Different 672 Applying Individual Skills and Team Skills 672 Tripwire Lessons 673

Punishment 676 Myths Surrounding the Use of Punishment 677 Punishment, Satisfaction, and Performance 678 Administering Punishment 682

Index 686

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Part Leadership Is a Process, Not a Position

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 con- cepts 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 fol- lowers, and the situations they are in. That framework provides the orga- nizing 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.

1 Leader

LeadershipFollowers Situation

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2

Chapter 1 What Do We Mean by Leadership?

Introduction

In the spring of 1972, an airplane flew across the Andes mountains car- rying 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. Al- though a number of people died immediately or within a day of the im- pact, 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 rela- tively 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 in- jured. Although shaken by the crash, the survivors initially were confi- dent 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 de- termined 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.

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Chapter 1 What Do We Mean by Leadership? 3

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 tend- ing cattle. One of the expedition members stated, “I come from a plane that fell in the mountains. I am Uruguayan . . .” Eventually 14 other survi- vors were rescued. When the full account of their survival became known, it was not with- out controversy. It had required extreme and unsettling measures: the sur- vivors 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 . 1 It is a story of trag- edy and courage, and it is a story of leadership. Perhaps a story of survival in the Andes is so far removed from every- day 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, deal- ing with the different needs and personalities of group members, and keeping hope alive in the face of adversity. These issues are not so differ- ent 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 boy 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 ago- nizing 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.” 2