Leadership enhancing the lessons of experience 6th edition

Leadership Enhancing the Lessons of Experience Ninth Edition

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

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LEADERSHIP: ENHANCING THE LESSONS OF EXPERIENCE, NINTH EDITION

Published by McGraw-Hill Education, 2 Penn Plaza, New York, NY 10121. Copyright © 2019 by McGraw-Hill Education. All rights reserved. Printed in the United States of America. Previous editions © 2015, 2012, and 2009. 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 Education, including, but not limited to, in any network or other electronic storage or transmission, or broadcast for distance learning.

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This book is printed on acid-free paper.

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ISBN 978-1-259-96326-1 (bound edition) MHID 1-259-96326-8 (bound edition) ISBN 978-1-260-16765-8 (loose-leaf edition) MHID 1-260-16765-8 (loose-leaf edition)

Portfolio Manager: Laura Hurst Spell Marketing Manager: Debbie Clare Content Project Managers: Rick Hecker and Rachel Townsend Buyer: Susan K. Culbertson Design: Matt Backhaus Content Licensing Specialist: Melisa Seegmiller Cover Image: ©Giovanni Rinaldi/Getty Images Compositor: MPS Limited

All credits appearing on page or at the end of the book are considered to be an extension of the copyright page.

Library of Congress Cataloging-in-Publication Data

Hughes, Richard L., 1946– author. | Ginnett, Robert C., author. |  Curphy, Gordon J., author.  Leadership: enhancing the lessons of experience / Richard L. Hughes,  Robert C. Ginnett, Gordon J. Curphy.  Ninth Edition. | New York: McGraw-Hill Education, [2018]  LCCN 2017048123| ISBN 9781259963261 (acid-free paper) |  ISBN 1259963268 (acid-free paper)  LCSH: Leadership.  LCC HM1261 .H84 2018 | DDC 303.3/4—dc23  LC record available at https://lccn.loc.gov/2017048123

The Internet addresses listed in the text were accurate at the time of publication. The inclusion of a website does not indicate an endorsement by the authors or McGraw-Hill Education, and McGraw-Hill Education does not guarantee the accuracy of the information presented at these sites.

mheducation.com/highered

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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 international organization devoted to behavioral science research and leadership education. He worked there with senior executives from all sectors in the areas of strategic leadership and organizational culture change. At the Air Force Academy he served for a decade as head of its Department of Behavioral Sciences and Leadership. He later served at the Academy as its Transformation Chair. In that capacity he worked with senior leaders across the Academy to help guide organizational transformation of the Academy in ways to ensure it is meeting its mission of producing leaders of character. He is a clinical psychologist and a graduate of the U.S. Air Force Academy. He has an MA from the University of Texas and a PhD from the University of Wyoming.

Robert Ginnett is an independent consultant specializing in the leadership of 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 United States Army, Navy, and Air Force. Prior to working independently, Robert was a senior fellow at the Center for Creative Leadership and a tenured professor at the U.S. Air Force Academy, where he also served as the director of leadership and counseling. Additionally, he served in nu- merous 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 Adminis- tration, focusing his early work in aviation crew resource management, and later at the Kennedy Space Center in the post-Challenger period. Robert is an organiza- tional psychologist whose education includes a master of business administration degree, a master of arts, a master of philosophy, and a PhD from Yale University. He now enjoys doing pro bono work with local fire and police departments and teaching leadership courses at the Gettysburg National Military Park.

Gordy Curphy is a managing partner at Curphy Leadership Solutions and has been running his own consulting business since 2002. As a leadership consultant Gordy has worked with numerous Fortune 500 firms to deliver more than 2,500 executive assessments, 150 executive coaching programs, 200 team engagements, and 150 lead- ership 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;

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iv About the Authors

followership; on-boarding; succession planning; and employee engagement. Prior to starting his own firm Gordy spent a year as the vice president of institutional leader- ship 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 indus- trial and 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.

In a sense, no new foreword is needed; many principles of leadership are time- less. 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. Unfortu- nately, 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 govern- ments, 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 psy- chologists do. There is much here about psychological tests and surveys, about stud- ies 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 peo- ple, 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 racon- teurs, 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 psycho- logical studies, other scientific inquiries, personal reflections of leaders, and philo- sophic writings on the topic of leadership. In distilling this material, they have drawn many practical conclusions useful for current and potential leaders. There

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vi Foreword

are suggestions here for goal setting, for running meetings, for negotiating, for man- aging conflict within groups, and for handling your own personal stress, to men- tion 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 fol- lowing: You are in a leadership position with a budget provided by an outside fund- ing 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 un- usual 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 chal- lenges. 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 can- not 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 some- thing 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 song- fest, 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 compli- cated 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 oth- ers, 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

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Foreword vii

successful, you will also experience the thrill that comes from successful leadership. One person can make a difference by enriching the lives of others, if only for a few hours. And for all of the frustrations and complexities of leadership, the tingling satisfaction that comes from success can become almost addictive. The capacity for making things happen can become its own motivation. With an early success, even if it is only with eight people for two hours, you may well be on your way to a leader- ship future.

The authors believe that leadership development involves reflecting on one’s own experiences. Reading this book in the context of your own leadership experi- ence 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

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viii

Preface

Perhaps by the time they are fortunate enough to have completed eight editions of a textbook, it is a bit natural for authors to believe something like, “Well, now we’ve got it just about right . . . there couldn’t be too many changes for the next edition” (that is, this one). Of course, there are changes because this is a new edition. Some of the changes are rather general and pervasive in nature while others represent targeted changes in specific chapters of an otherwise successful text. The more general and pervasive changes are those things one would expect to find in the new edition of any textbook: the inclusion of recent research find- ings across all chapters as well as extensive rework in the vast majority of chapters of the very popular Highlights. The latter work involved the addition of numerous new Highlights as well as the elimination of those that had become dated and/or less central to the material in their respective chapters. Examples of the new Highlights include bullying bosses, gender stereotyping, and possible evolutionary roots to the pull toward greater organizational transparency. There are also many new Profiles in Leadership covering leaders as diverse as Sheikh Zayed, founder of the United Arab Emirates; Stan Lee, who was the creative genius behind Marvel Comics; and Lin-Manuel Miranda, whose musical Hamilton became a Broadway phenomenon.

The most significant structural change to the book involved changes to the 8th edition’s Chapter 9 (“Motivation, Satisfaction and Performance”). In order to better address the extensive academic literature in those broad areas we di- vided the material into two chapters. In this 9th edition, Chapter 9 is now titled “Motivation, Performance and Effectiveness;” it includes the five motivational theories from before along with a detailed description of the performance man- agement cycle (planning, monitoring, and evaluating performance) as well as common ways to measure team and organizational effectiveness. Chapter 10 is a new chapter entitled “Satisfaction, Engagement, and Potential.” It includes sub- stantially enhanced content on engagement as well as a detailed discussion on potential, including readiness and succession planning. And while all the chap- ters were revised in several ways, two other chapters saw relatively greater change. Chapter 6 has substantially more content on the subject of emotional intelligence as well as more extensive treatment of strength based leadership and neuroleadership. Chapter 12 includes expanded treatment of organizational culture types. And as noted above, all chapters include updates on relevant research and changes in Highlights and Profiles in Leadership.

As always, we are indebted to the superb editorial staff at McGraw-Hill Educa- tion including Laura Hurst Spell, associate portfolio manager; Rick Hecker, con- tent project manager; and Tracy Jensen, freelance development editor. They all have been wise, supportive, helpful, and pleasant partners in this process, and it has been our good fortune to know and work with such a professional team. We are

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Preface ix

grateful for the scholarly and insightful perspectives of the following scholars who provided helpful feedback on particular portions of the text:

Patricia Ann Castelli Lawrence Technological University

Gary Corona Florida State College at Jacksonville

Nathaniel Vargas Gallegos Chadron State College

Gerald J Herbison The American College

Rajnandini Pillai California State University San Marcos

Benjamin Redekop Christopher Newport University

Once again we dedicate this book to the leaders of the past from

whom we have learned, the leaders of today whose behaviors and

actions shape our ever-changing world, and the leaders of tomorrow

whom we hope will benefit from the lessons in this book as they

face the challenges of change and globalization in an increasingly

interconnected world.

Richard L. Hughes

Robert C. Ginnett

Gordon J. Curphy

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x

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 40

Chapter 3: Skills for Developing Yourself as a Leader 82

PART TWO: Focus on the Leader 109

Chapter 4: Power and Influence 110

Chapter 5: Values, Ethics, and Character 143

Chapter 6: Leadership Attributes 176

Chapter 7: Leadership Behavior 245

Chapter 8: Skills for Building Personal Credibility and Influencing Others 284

PART THREE: Focus on the Followers 321

Chapter 9: Motivation, Performance, and Effectiveness 335

Chapter 10: Satisfaction, Engagement, and Potential 390

Chapter 11: Groups, Teams, and Their Leadership 423

Chapter 12: Skills for Developing Others 470

PART FOUR: Focus on the Situation 505

Chapter 13: The Situation 507

Chapter 14: Contingency Theories of Leadership 546

Chapter 15: Leadership and Change 580

Chapter 16: The Dark Side of Leadership 636

Chapter 17: Skills for Optimizing Leadership as Situations Change 694

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xi

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 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 22

Illustrating the Interactional Framework: Women in Leadership Roles 24 There Is No Simple Recipe for Effective Leadership 30 Summary 32

Chapter 2 Leader Development 40

Introduction 40 The Action–Observation–Reflection Model 42 The Key Role of Perception in the Spiral of Experience 45

Perception and Observation 45 Perception and Reflection 47 Perception and Action 48

Reflection and Leadership Development 49 Single- and Double-Loop Learning 53

Making the Most of Your Leadership Experiences: Learning to Learn from Experience 54

Leader Development in College 57 Leader Development in Organizational Settings 59 Action Learning 64 Development Planning 65 Coaching 67 Mentoring 69

Building Your Own Leadership Self-Image 72 Summary 74

Chapter 3 Skills for Developing Yourself as a Leader 82

Introduction 82 Your First 90 Days as a Leader 83

Before You Start: Do Your Homework 83 The First Day: You Get Only One Chance to Make a First Impression 84 The First Two Weeks: Lay the Foundation 85 The First Two Months: Strategy, Structure, and Staffing 87 The Third Month: Communicate and Drive Change 88

Learning from Experience 89 Creating Opportunities to Get Feedback 89 Taking a 10 Percent Stretch 89 Learning from Others 90 Keeping a Journal 90 Having a Developmental Plan 92

Building Technical Competence 92 Determining How the Job Contributes to the Overall Mission 93 Becoming an Expert in the Job 94 Seeking Opportunities to Broaden Experiences 94

Building Effective Relationships with Superiors 95 Understanding the Superior’s World 96 Adapting to the Superior’s Style 96

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Building Effective Relationships with Peers 97 Recognizing Common Interests and Goals 98 Understanding Peers’ Tasks, Problems, and Rewards 98 Practicing a Theory Y Attitude 99

Development Planning 99 Conducting a GAPS Analysis 100 Identifying and Prioritizing Development Needs: Gaps of GAPS 102 Bridging the Gaps: Building a Development Plan 103 Reflecting on Learning: Modifying Development Plans 105 Transferring Learning to New Environments 105

PART TWO Focus on the Leader 109

Chapter 4 Power and Influence 110

Introduction 110 Some Important Distinctions 110 Power and Leadership 114

Sources of Leader Power 114 A Taxonomy of Social Power 117

Expert Power 118 Referent Power 118 Legitimate Power 119 Reward Power 120 Coercive Power 121

Concluding Thoughts about French and Raven’s Power Taxonomy 124 Leader Motives 126

Influence Tactics 129 Types of Influence Tactics 129 Influence Tactics and Power 130 A Concluding Thought about Influence Tactics 134

Summary 136

Chapter 5 Values, Ethics, and Character 143

Introduction 143 Leadership and “Doing the Right Things” 143

Values 145 Moral Reasoning and Character-Based Leadership 148

Character-Based Approaches to Leadership 157 Authentic Leadership 158 Servant Leadership 159

The Roles of Ethics and Values in Organizational Leadership 162

Leading by Example: The Good, the Bad, and the Ugly 163 Creating and Sustaining an Ethical Climate 165

Summary 168

Chapter 6 Leadership Attributes 176

Introduction 176 Personality Traits and Leadership 177

What Is Personality? 177 The Five Factor or OCEAN Model of Personality 181 Implications of the Five Factor or OCEAN Model 186

Personality Types and Leadership 190 The Differences between Traits and Types 190 Psychological Preferences as a Personality Typology 190 Implications of Preferences and Types 193

Intelligence and Leadership 199 What Is Intelligence? 199 The Triarchic Theory of Intelligence 200 Implications of the Triarchic Theory of Intelligence 205 Intelligence and Stress: Cognitive Resources Theory 210

Emotional Intelligence and Leadership 213 What Is Emotional Intelligence? 213 Can Emotional Intelligence Be Measured and Developed? 216 Implications of Emotional Intelligence 218

Summary 222

Chapter 7 Leadership Behavior 245

Introduction 245 Studies of Leadership Behavior 246

Why Study Leadership Behavior? 246 The Early Studies 248 The Leadership Grid 251 Competency Models 255

The Leadership Pipeline 259 Community Leadership 264

xii Contents

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Contents xiii

Assessing Leadership Behaviors: Multirater Feedback Instruments 266 Summary 274

Chapter 8 Skills for Building Personal Credibility and Influencing Others 284

Building Credibility 284 The Two Components of Credibility 285 Building Expertise 285 Building Trust 286 Expertise × Trust 288

Communication 290 Know What Your Purpose Is 292 Choose an Appropriate Context and Medium 292 Send Clear Signals 293 Actively Ensure That Others Understand the Message 294

Listening 294 Demonstrate Nonverbally That You Are Listening 295 Actively Interpret the Sender’s Message 295 Attend to the Sender’s Nonverbal Behavior 296 Avoid Becoming Defensive 297

Assertiveness 297 Use “I” Statements 300 Speak Up for What You Need 301 Learn to Say No 301 Monitor Your Inner Dialogue 301 Be Persistent 301

Conducting Meetings 302 Determine Whether It Is Necessary 302 List the Objectives 303 Stick to the Agenda 303 Provide Pertinent Materials in Advance 303 Make It Convenient 303 Encourage Participation 303 Keep a Record 304

Effective Stress Management 304 Monitor Your Own and Your Followers’ Stress Levels 307 Identify What Is Causing the Stress 307 Practice a Healthy Lifestyle 308 Learn How to Relax 308 Develop Supportive Relationships 308

Keep Things in Perspective 309 The A-B-C Model 309

Problem Solving 310 Identifying Problems or Opportunities for Improvement 311 Analyzing the Causes 312 Developing Alternative Solutions 312 Selecting and Implementing the Best Solution 314 Assessing the Impact of the Solution 314

Improving Creativity 315 Seeing Things in New Ways 315 Using Power Constructively 315 Forming Diverse Problem-Solving Groups 316

PART THREE Focus on the Followers 321 The Potter and Rosenbach Followership Model 324 The Curphy and Roellig Followership Model 327

Chapter 9 Motivation, Performance, and Effectiveness 335