Succession planning in infosys ppt

Leadership Enhancing the Lessons of Experience Ninth Edition

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

hug63268_FM_i-xvi.indd 1 25/12/17 4:23 pm

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.

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/LCR 23 22 21 20 19

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

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

hug63268_FM_i-xvi.indd 2 25/12/17 4:23 pm

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;

hug63268_FM_i-xvi.indd 3 25/12/17 4:23 pm

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.

hug63268_FM_i-xvi.indd 4 25/12/17 4:23 pm

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

hug63268_FM_i-xvi.indd 5 25/12/17 4:23 pm

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

hug63268_FM_i-xvi.indd 6 25/12/17 4:23 pm

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

hug63268_FM_i-xvi.indd 7 25/12/17 4:23 pm

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

hug63268_FM_i-xvi.indd 8 25/12/17 4:23 pm

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

hug63268_FM_i-xvi.indd 9 25/12/17 4:23 pm

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

hug63268_FM_i-xvi.indd 10 25/12/17 4:23 pm

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

hug63268_FM_i-xvi.indd 11 25/12/17 4:23 pm

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

hug63268_FM_i-xvi.indd 12 25/12/17 4:24 pm

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

Introduction 335 Defining Motivation, Satisfaction, Engagement, Performance, and Effectiveness 336 Understanding and Influencing Follower Motivation 343

Motives: How Do Needs Affect Motivation? 345 Achievement Orientation: How Does Personality Affect Motivation? 348 Goal Setting: How Do Clear Performance Targets Affect Motivation? 353 The Operant Approach: How Do Rewards and Punishment Affect Motivation? 355 Empowerment: How Does Decision-Making Latitude Affect Motivation? 361

Understanding and Managing Follower Performance and Team and Organizational Effectiveness 365

The Performance Management Cycle: Planning 369 The Performance Management Cycle: Monitoring 370 The Performance Management Cycle: Evaluating 371

Summary 375

hug63268_FM_i-xvi.indd 13 25/12/17 4:24 pm

Chapter 10 Satisfaction, Engagement, and Potential 390

Introduction 390 Understanding and Influencing Follower Satisfaction 391

Global, Facet, and Life Satisfaction 395 Two Theories of Job Satisfaction 399

Organizational Justice: Does Fairness Matter? 399 Herzberg’s Two-Factor Theory: Does Meaningful Work Make People Happy? 401

Understanding and Improving Employee Engagement 404 Understanding Follower Potential 407 Summary 414

Chapter 11 Groups, Teams, and Their Leadership 423

Introduction 423 Individuals versus Groups versus Teams 424 The Nature of Groups 426

Group Size 427 Developmental Stages of Groups 429 Group Roles 430 Group Norms 433 Group Cohesion 435

Teams 438 Effective Team Characteristics and Team Building 438 Team Leadership Model 445

Outputs 446 Process 447 Inputs 449

Leadership Prescriptions of the Model 449 Creation 449 Dream 450 Design 451 Development 451 Diagnosis and Leverage Points 452

Concluding Thoughts about the Team Leadership Model 456

Virtual Teams 458

On the Horizon 462 Summary 463

Chapter 12 Skills for Developing Others 470

Introduction 470 Setting Goals 470

Goals Should Be Specific and Observable 471 Goals Should Be Attainable but Challenging 471 Goals Require Commitment 472 Goals Require Feedback 473

Providing Constructive Feedback 473 Make It Helpful 475 Be Specific 476 Be Descriptive 476 Be Timely 477 Be Flexible 477 Give Positive as Well as Negative Feedback 478 Avoid Blame or Embarrassment 478

Team Building for Work Teams 478 Team-Building Interventions 478 What Does a Team-Building Workshop Involve? 480 Examples of Interventions 481

Building High-Performing Teams: The Rocket Model 482

Context: What Is the Situation? 482 Mission: What Are We Trying to Accomplish? 484 Talent: Who Is on the Bus? 484 Norms: What Are the Rules? 485 Buy-In: Is Everyone Committed and Engaged? 486 Power: Do We Have Enough Resources? 486 Morale: Can’t We All Just Get Along? 487 Results: Are We Winning? 488 Implications of the Rocket Model 488

Delegating 490 Why Delegating Is Important 491

Delegation Frees Time for Other Activities 491 Delegation Develops Followers 491 Delegation Strengthens the Organization 491

Common Reasons for Avoiding Delegation 492 Delegation Takes Too Much Time 492 Delegation Is Risky 492 The Job Will Not Be Done as Well 492 The Task Is a Desirable One 492 Others Are Already Too Busy 493

xiv Contents

hug63268_FM_i-xvi.indd 14 25/12/17 4:24 pm

Contents xv

Principles of Effective Delegation 493 Decide What to Delegate 493 Decide Whom to Delegate To 493 Make the Assignment Clear and Specific 493 Assign an Objective, Not a Procedure 494 Allow Autonomy, but Monitor Performance 494 Give Credit, Not Blame 494

Coaching 495 Forging a Partnership 496 Inspiring Commitment: Conducting a GAPS Analysis 497 Growing Skills: Creating Development and Coaching Plans 498 Promoting Persistence: Helping Followers Stick to Their Plans 498 Transferring Skills: Creating a Learning Environment 500 Concluding Comments 500

PART FOUR Focus on the Situation 505

Chapter 13 The Situation 507

Introduction 507 The Task 512

How Tasks Vary, and What That Means for Leadership 512 Problems and Challenges 514

The Organization 516 From the Industrial Age to the Information Age 516 The Formal Organization 517 The Informal Organization: Organizational Culture 520 A Theory of Organizational Culture 524 An Afterthought on Organizational Issues for Students and Young Leaders 527

The Environment 527 Are Things Changing More Than They Used To? 528 Leading across Societal Cultures 532 What Is Societal Culture? 535 The GLOBE Study 535

Implications for Leadership Practitioners 539 Summary 539

Chapter 14 Contingency Theories of Leadership 546

Introduction 546 Leader–Member Exchange (LMX) Theory 547

Concluding Thoughts about the LMX Model 549 The Normative Decision Model 549

Levels of Participation 550 Decision Quality and Acceptance 550 The Decision Tree 552 Concluding Thoughts about the Normative Decision Model 554

The Situational Leadership® Model 556 Leader Behaviors 556 Follower Readiness 557 Prescriptions of the Model 558 Concluding Thoughts about the Situational Leadership Model 559

The Contingency Model 560 The Least Preferred Co-worker Scale 561 Situational Favorability 562 Prescriptions of the Model 564 Concluding Thoughts about the Contingency Model 566

The Path–Goal Theory 567 Leader Behaviors 567 The Followers 568 The Situation 570 Prescriptions of the Theory 571 Concluding Thoughts about the Path–Goal Theory 572

Summary 573

Chapter 15 Leadership and Change 580

Introduction 580 The Rational Approach to Organizational Change 583

Dissatisfaction 584 Model 584 Process 588 Resistance 591 Concluding Thoughts about the Rational Approach to Organizational Change 594

hug63268_FM_i-xvi.indd 15 25/12/17 4:24 pm

xvi Contents

The Emotional Approach to Organizational Change: Charismatic and Transformational Leadership 597

Charismatic Leadership: A Historical Review 597 What Are the Common Characteristics of Charismatic and Transformational Leadership? 603 Leader Characteristics 604 Vision 605 Rhetorical Skills 605 Image and Trust Building 606 Personalized Leadership 607 Follower Characteristics 608 Identification with the Leader and the Vision 608 Heightened Emotional Levels 608 Willing Subordination to the Leader 609 Feelings of Empowerment 609 Situational Characteristics 611 Crises 611 Social Networks 612 Other Situational Characteristics 612 Concluding Thoughts about the Characteristics of Charismatic and Transformational Leadership 613

Bass’s Theory of Transformational and Transactional Leadership 615

Research Results of Transformational and Transactional Leadership 616

Summary 619

Chapter 16 The Dark Side of Leadership 636

Introduction 636 Destructive Leadership 639 Managerial Incompetence 644 Managerial Derailment 649 The Ten Root Causes of Managerial Incompetence and Derailment 657

Stuff Happens: Situational and Follower Factors in Managerial Derailment 659 The Lack of Organizational Fit: Stranger in a Strange Land 661 More Clues for the Clueless: Lack of Situational and Self-Awareness 664 Lack of Intelligence and Expertise: Real Men of Genius 666

Poor Followership: Fire Me, Please 669 Dark-Side Personality Traits: Personality as a Method of Birth Control 672 Leadership Motivation: Get Promoted or Be Effective? 677 Leadership b.s.: Myths That Perpetuate Managerial Incompetence 679

Summary 681

Chapter 17 Skills for Optimizing Leadership as Situations Change 694

Introduction 694 Creating a Compelling Vision 694

Ideas: The Future Picture 695 Expectations: Values and Performance Standards 696 Emotional Energy: The Power and the Passion 697 Edge: Stories, Analogies, and Metaphors 697

Managing Conflict 698 What Is Conflict? 699 Is Conflict Always Bad? 699 Conflict Resolution Strategies 700

Negotiation 704 Prepare for the Negotiation 704 Separate the People from the Problem 704 Focus on Interests, Not Positions 704

Diagnosing Performance Problems in Individuals, Groups, and Organizations 705

Expectations 706 Capabilities 706 Opportunities 706 Motivation 707 Concluding Comments on the Diagnostic Model 707

Team Building at the Top 707 Executive Teams Are Different 707 Applying Individual Skills and Team Skills 708 Tripwire Lessons 709

Punishment 712 Myths Surrounding the Use of Punishment 712 Punishment, Satisfaction, and Performance 713 Administering Punishment 715

Index 721

hug63268_FM_i-xvi.indd 16 25/12/17 4:24 pm

Leader

LeadershipFollowers 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 some- thing 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 frame- work. 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 leader- ship 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.

Leadership Is a Process, Not a Position

Part 1

hug63268_ch01_001-039.indd 1 25/12/17 3:30 pm

2

1Chapter

Introduction It is old news now that in the last presidential election most of the country was dis- mayed with the candidates of the two major political parties. “Can’t we do better than this?” was a question on the minds of many millions of Americans. In fact, however, our collective dismay about the quality of our leaders is not limited to par- ticular presidential candidates—it is pervasive. According to a poll by the Center for Public Leadership at Harvard Kennedy School, 70 percent of Americans believe our country is in desperate need of better leaders and faces national decline unless some- thing changes.1 And a 2013 Harris Poll showed that the percentage of people ex- pressing even some confidence in governmental, corporate, and financial leadership has plummeted from about 90 percent to 60 percent since 1996.2 Yet we also some- times 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 of- fered little protection from the extreme cold, food supplies were scant, and a num- ber 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 feel- ings 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 re- maining passengers decided to mount expeditions to determine the best way to

What Do We Mean by Leadership?

hug63268_ch01_001-039.indd 2 25/12/17 3:30 pm

Chapter 1 What Do We Mean by Leadership? 3

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 pas- sengers were chosen for the final expedition, and everyone else’s work was directed toward improving the expedition’s chances of success. The three expedition mem- bers were given more food and were exempted from routine survival activities; the rest spent most of their energies securing supplies for the trip. Two months after the plane crash, the expedition members set out on their final attempt to find help. After hiking for 10 days through some of the most rugged terrain in the world, the expedition stumbled across a group of Chilean peasants tending cattle. One of the expedition members stated, “I come from a plane that fell in the mountains. I am Uruguayan . . .” Eventually 14 other survivors were rescued.

When the full account of their survival became known, it was not without con- troversy. It had required extreme and unsettling measures: The survivors had lived only by eating the flesh of their deceased comrades. Nonetheless, their story is one of the most moving survival dramas of all time, magnificently told by Piers Paul Read in Alive.3 It is a story of tragedy and courage, and it is a story of leadership.

Perhaps a story of survival in the Andes is so far removed from everyday experi- ence 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: ten- sion between individual and group goals, dealing with the different needs and per- sonalities 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 lead- ers 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 mak- ing also was an important part of leadership among the Andes survivors. During the difficult discussions preceding the agonizing decision to survive on the flesh of their deceased comrades, one of the rugby players made his reasoning clear: “I know that if my dead body could help you stay alive, then I would want you to use it. In fact, if I do die and you don’t eat me, then I’ll come back from wherever I am and give you a good kick in the ass.”4

What Is Leadership? The Andes story and the experiences of many other leaders we’ll introduce to you in a series of profiles sprinkled throughout the chapters provide numerous exam- ples of leadership. But just what is leadership? People who do research on

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

hug63268_ch01_001-039.indd 3 25/12/17 3:30 pm

4 Part One Leadership Is a Process, Not a Position

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 phe- nomenon 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 leader- ship; they argue that organizational successes and failures are often falsely attrib- uted to the leader, but the situation may have a much greater impact on how the organization functions than does any individual, including the leader.5

Perhaps the best way for you to begin to understand the complexities of leader- ship is to see some of the ways leadership has been defined. Leadership research- ers 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 be- cause they have to.8

• 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 leader- ship.12

• A complex form of social problem solving.13

As you can see, definitions of leadership differ in many ways, and these differ- ences have resulted in various researchers exploring disparate aspects of leader- ship. 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 expedi- tion. 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 dif- ferent 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 impor- tant to understand that there is no single correct definition. The various defini- tions 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 influ- ence in hierarchical relationships; it seems to exclude informal leadership. The second definition emphasizes the directing and coordinating aspects of 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

Remember the difference between a boss and a leader: a boss says, “Go!”—a leader says, “Let’s go!”

E. M. Kelly

hug63268_ch01_001-039.indd 4 25/12/17 3:30 pm

Chapter 1 What Do We Mean by Leadership? 5

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 be- comes problematic to identify ways in which a leader’s actions are really leadership if subordinates voluntarily comply when a leader with considerable potential coer- cive 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 Leader- ship 1.1, which highlights Sheikh Zayed, the founder of the United Arab Emirates.

Sheikh Zayed bin Sultan Al Nahyan

PROFILES IN LEADERSHIP 1.1 Sheikh Zayed founded the United Arab Emirates (UAE) in 1971 and led it through arguably the world’s greatest national transformation of the past 100 years. When he was born in 1918 the area was a desert dominated by warring Arab tribes, and its economy was based largely on fishing and pearl- diving. But consider the UAE today:

• The city of Dubai is one of the safest cities in the world, its airport is the busiest international air- port 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 mili- tary. 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 comprehen- sive law combating human trafficking.

So how did Zayed launch this amazing transforma- tion? The story begins with the early life of the man

himself. As a boy and young man, he traveled exten- sively throughout the region living alongside Bed- ouin tribesmen, learning about their way of life in the desert. That same thirst for learning prompted him to conduct extensive research into the ancient his- tory of the region, leading to his discovery that 15,000 years ago the Arabian peninsula was origi- nally covered by thick forests and only later trans- formed 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 agricul- tural 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, en- ergy, 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 conser- vation, 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.

“Future generations will be living in a world that is very different from that to which we are accustomed. It is essential that we pre- pare ourselves and our children for that new world.”

Sheikh Zayed bin Sultan Al Nahyan

hug63268_ch01_001-039.indd 5 25/12/17 3:30 pm

6 Part One Leadership Is a Process, Not a Position

Mindful of the Profiles in Leadership running throughout the book, you might wonder (as we do) about just what kind of leaders ought to be profiled in these pages. Should we use illustrations featuring leaders who rose to the top in their respective organizations? Should we use illustrations featuring leaders who contrib- uted significantly to enhancing the effectiveness of their organizations?

We suspect you answered yes to both questions. But there’s the rub. You see, leaders who rise to the top in their organizations are not always the same as those who help make their organizations more effective. As it turns out, successful managers (i.e., those promoted quickly through the ranks) spend relatively more time than others in organizational socializing and politicking; and they spend rela- tively less time than the latter on traditional management responsibilities like plan- ning 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 ex- celled across all facets of their organization’s functions—they knew the whole busi- ness, not just a piece of it. And they also knew and cared about the people they worked with. These top-performing leaders formed deep and trusting relationships with others, including superiors, peers, and direct reports. They’re the kind of people others want working for them, and the kind others want to work for. By the way, relational failure with colleagues proved to be the quickest route to failure among the second-best executives.15

All considered, we find that defining leadership as “the process of influencing an organized group toward accomplishing its goals” is fairly comprehensive and helpful. Several implications of this definition are worth further examination.

Leadership Is Both a Science and an Art Saying leadership is both a science and an art emphasizes the subject of leadership as a field of scholarly inquiry, as well as certain aspects of the practice of leader- ship. The scope of the science of leadership is reflected in the number of studies— approximately 8,000—cited in an authoritative reference work, Bass & Stogdill’s Handbook of Leadership: Theory, Research, and Managerial Applications.16 A review of leadership theory and research over the past 25 years notes the expanding breadth and complexity of scholarly thought about leadership in the preceding quarter century. For example, leadership involves dozens of different theoretical domains and a wide variety of methods for studying it.17

However, being an expert on leadership research is neither necessary nor suffi- cient 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

hug63268_ch01_001-039.indd 6 25/12/17 3:30 pm

Chapter 1 What Do We Mean by Leadership? 7

leadership emanates from) as not just coming from an individual leader (whether holding a formal position or not, as we’ll explore later in this chapter) but also as emanating alternatively from groups or even from an entire organization.18

Nonetheless, knowing something about leadership research is relevant to lead- ership effectiveness. Scholarship may not be a prerequisite for leadership effective- ness, but understanding some of the major research findings can help individuals better analyze situations using a variety of perspectives. That, in turn, can tell lead- ers how to be more effective. Even so, because skills in analyzing and responding to situations vary greatly across leaders, leadership will always remain partly an art as well as a science. Highlight 1.1 raises the question of whether leadership should be considered a true science or not.

Leadership Is Both Rational and Emotional Leadership involves both the rational and emotional sides of human experience. Leadership includes actions and influences based on reason and logic as well as those based on inspiration and passion. We do not want to cultivate merely intel- lectualized 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.

Any fool can keep a rule. God gave him a brain to know when to break the rule.

General Willard W. Scott

A democracy cannot fol- low 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

Is the Study of Leadership a “Real” Science?

HIGHLIGHT 1.1 In this chapter we posit that leadership is both a sci- ence 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 rou- tinized into a set of rules to follow, that there is an inherent personal element to leadership. Perhaps even because of that, many people are skeptical about the idea that the study of leadership can be a “real” science like physics and chemistry. Even when acknowledging that thousands of empirical studies of leadership have been published, many still resist the idea that it is in any way analogous to the “hard” sciences.

It might interest you to know, then, that a lively debate is ongoing today among leadership scholars about whether leadership ought to model itself after physics. And the debate is about more than

“physics envy.” The debate is reminiscent of the early twentieth century, when some of the great minds in psychology proposed that psychological theory should be based on formal and explicit math- ematical models rather than armchair speculation. Today’s debate about the field of leadership looks at the phenomena from a systems perspective and revolves around the extent to which there may be fundamental similarities between leadership and thermodynamics.

So are you willing to consider the possibility that the dynamics governing molecular bonding can also explain how human beings organize themselves to accomplish a shared objective?

Source: R. B. Kaiser, “Beyond Physics Envy? An Introduc- tion to the Special Issue,” Consulting Psychology Journal: Practice & Research 66 (2014), pp. 259–60.

hug63268_ch01_001-039.indd 7 25/12/17 3:30 pm

8 Part One Leadership Is a Process, Not a Position

A full appreciation of leadership involves looking at both of these sides of hu- man nature. Good leadership is more than just calculation and planning, or follow- ing 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, construc- tively 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 mindless- ness. As another example, emotional appeals by the Reverend Jim Jones resulted in approximately 800 of his followers volitionally committing suicide.