Which troop leading step involves the leader verbally communicating

Sixth Edition

LEADERSHIP A Communication Perspective

Michael Z. Hackman University of Colorado–Colorado Springs

Craig E. Johnson George Fox University

WAVELAND

PRESS, INC. Long Grove, Illinois

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For information about this book, contact: Waveland Press, Inc. 4180 IL Route 83, Suite 101 Long Grove, IL 60047-9580 (847) 634-0081 info@waveland.com www.waveland.com

Copyright © 2013, 2009, 2004, 2000, 1996, 1991 by Waveland Press, Inc.

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All rights reserved. No part of this book may be reproduced, stored in a retrieval system, or trans- mitted in any form or by any means without permission in writing from the publisher.

Printed in the United States of America

7 6 5 4 3 2 1

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To my children, Jane, Zachary, and Aubrey. You have taught me the true meaning of leadership.

—MZH

To my wife, Mary. Have I told you lately that I love you? —CJ

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ABOUT THE AUTHORS

Michael Z. Hackman is a Professor in the Department of Communication at the University of Colorado–Colorado Springs and an Adjunct at the Center for Creative Leadership. He teaches courses in communication, including Founda- tions of Leadership, Leadership Theory and Practice, Organizational Leader- ship, Leadership Communication in a Global Environment, and Leadership and Organizational Change. In 1995, he was awarded the university-wide Out- standing Teacher award. Dr. Hackman’s research focuses on a wide range of issues, including: the impact of gender and culture on communication and leadership behavior, leadership succession, organizational trust, and creativity. His work has appeared in such journals as Communication Education, Communica- tion Quarterly, The Journal of Leadership Studies, Leadership, The Leadership Review, and the Southern Speech Communication Journal. He is the coauthor (with Craig Johnson) of Creative Communication: Principles and Applications and (with Pam Shockley-Zalabak and Sherwyn Morreale) of Building the High-Trust Organiza- tion. Since 1991, Dr. Hackman has served as a Visiting Professor at the Univer- sity of Waikato in Hamilton, New Zealand, on four separate occasions, the most recent in 2002. He also served as an adjunct Professor at the University of Siena (Italy) and the University of Vienna (Austria), and has lectured at the China Executive Leadership Academy Pudong in Shanghai and the SP Jain Center of Management in Dubai (UAE).

Dr. Hackman has extensive experience as a consultant. He has developed and delivered training, guided organizational development initiatives, and pro- vided executive coaching services in numerous public and private sector orga- nizations throughout the United States and in Australia, Austria, Canada, China, Italy, Luxembourg, the Netherlands, Switzerland, New Zealand, and the United Arab Emirates. His clients have included Agilent Technologies, Bristol-Meyers Squibb, Ernst & Young, Fiat, Georgia-Pacific, Harley-Davidson, Hewlett-Packard, Kellogg, Kimberly-Clark, Medtronic, NASA, Philips, Telecom New Zealand, the U.S. Air Force, the U.S. Golf Association, and Wells Fargo. Away from work, Dr. Hackman is an avid sports fan who enjoys watching and participating in a wide variety of sports, particularly golf. He also enjoys travel and meeting new people. Most of all, Dr. Hackman enjoys spending time with his family.

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Craig E. Johnson is a Professor of Leadership Studies and Director of the Doctor of Business Administration program at George Fox University, New- berg, Oregon. He teaches a variety of leadership, management, and ethics courses at the undergraduate and doctoral level. He also acts as faculty direc- tor of the university’s interdisciplinary leadership studies minor. Previously he served as chair of the university’s Department of Communication Arts.

Dr. Johnson is author of Organizational Ethics: A Practical Approach (2nd ed.) and Meeting the Ethical Challenges of Leadership: Casting Light or Shadow (4th ed.). His articles have appeared in such journals as Communication Quarterly, The Jour- nal of Leadership Studies, The Journal of Leadership and Organizational Studies, The Journal of Leadership Education, Communication Education, Communication Reports, and The Journal of the International Listening Association. Dr. Johnson’s research interests include leadership ethics, organizational ethics, and leadership edu- cation. He has served in leadership roles in several nonprofit organizations and has participated in educational and service trips to Kenya, Rwanda, Hon- duras, Brazil, and New Zealand. Professor Johnson is a past recipient of George Fox University’s distinguished teaching award. When he is not writing or teaching, Dr. Johnson enjoys working out, fly fishing, camping, and reading.

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ACKNOWLEDGMENTS

We could never have imagined when we first wrote this text more than twenty years ago that it would still be widely adopted and we would continue to work together to publish a sixth edition. Our collaboration has truly been a labor of love and has served to shape our friendship and our careers. Our appreciation goes to all who have adopted previous editions. Based on your positive response, we are more convinced than ever of the value in examining leadership from a communication vantage point. To those considering this text for the first time, we hope that it will prove to be a useful tool for both you and your students.

Over the years many students and colleagues provided us with their own leadership stories along with encouragement, advice, and support. In particu- lar we want to recognize Alvin Goldberg, our mentor at the University of Den- ver, who was instrumental in igniting our interest in the topic of leadership.

Many of our associates, past and present, have also been helpful in focus- ing our thoughts concerning leadership. Most notably we want to thank Ted Baartmans and Rick Koster of the Presentation Group in Bloemendaal, the Netherlands; Kevin Barge of Texas A&M University; Ted Zorn of Massey Uni- versity, New Zealand; Kristina Findley, Paul Shelton, and Mark Pothoff of George Fox University; Pamela Shockley-Zalabak of the University of Colo- rado–Colorado Springs; Dave Loring, Nick Petrie, Laura Quinn, Phil Willburn, and Michael Campbell of the Center for Creative Leadership; and Bryan Poulin of Lakehead University, Canada. Thanks also to our editors at Waveland Press, Carol Rowe and Laurie Prossnitz, who have been a constant source of encour- agement and inspiration.

Special recognition goes to the many research assistants who helped with previous editions—Almarah Belk, Karen Bisset, Marylou Berg, Carrie Brown, Michael Campbell, Chris Cooper, Joanne Desrochers, Fred Gatz, Sarah Gil- lespie, Gina Hallem, Hush Hancock, Peg Hutton, Rebeca Kerr, Misse Lampe, Ashley Lewis, Amanda Martell, Kevin O’Neill, Sandee Robinson, Melissa Row- berg, Rich Seiber, Heather Smith, and Penny Whitney—and to those who helped prepare materials for this edition—Rebecca Jensen and Denise Perez. Our greatest appreciation, however, is reserved for our families, who lovingly supported our journey to explore the latest developments in leadership.

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vii

CONTENTS

Preface xiii

1 Leadership and Communication 1 Leadership: At the Core of Human Experience 2 Defining Leadership 2

The Nature of Human Communication 5 The Human Communication Process 6 Leadership: A Special Form of Human Communication 10 Leaders vs. Managers 11 The Question of “Bad” Leadership 14 The Leader/Follower Relationship 19

Viewing Leadership from a Communication Perspective 21 Willingness to Communicate 22 Storytelling as Leadership 24 Emotional Communication Competencies 28 Playing to a Packed House: Leaders as Impression Managers 31

CHAPTER TAKEAWAYS 33 ■ APPLICATION EXERCISES 34 CULTURAL CONNECTIONS: LEADERSHIP COMPETENCIES IN KOREA 35 LEADERSHIP ON THE BIG SCREEN: TEMPLE GRANDIN 36

2 Leadership and Followership Communication Styles 37 The Dimensions of Leadership Communication Style 38 Authoritarian, Democratic, and Laissez-Faire Leadership 40 Task and Interpersonal Leadership 48

The Michigan Leadership Studies 48 The Ohio State Leadership Studies 50 McGregor’s Theory X and Theory Y 52 Blake and McCanse’s Leadership Grid® 53

Follower Communication Styles 55 Engaged Followers 55 Exemplary Followership 56 The 4-D Followership Model 59

Communication Styles and Information Processing 62 CHAPTER TAKEAWAYS 66 ■ APPLICATION EXERCISES 67 CULTURAL CONNECTIONS: LEADERSHIP COMMUNICATION STYLES IN EUROPE 68 LEADERSHIP ON THE BIG SCREEN: THE SEPTEMBER ISSUE 70

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viii Contents

3 Traits, Situational, Functional, and Relational Leadership 71 Understanding and Explaining Leadership 72 The Traits Approach to Leadership 73 The Situational Approach to Leadership 77

Fiedler’s Contingency Model of Leadership 77 Path-Goal Theory 82 Hersey and Blanchard’s Situational Leadership Approach 84

The Functional Approach to Leadership 87 Task-Related Roles 87 Group-Building and Maintenance Roles 88 Individual Roles 89

The Relational Approach to Leadership 90 Vertical Dyad Linkage Model 90 Leader-Member Exchange Theory 91

CHAPTER TAKEAWAYS 95 ■ APPLICATION EXERCISES 96 CULTURAL CONNECTIONS: PATERNALISTIC LEADERSHIP 97 LEADERSHIP ON THE BIG SCREEN: THE DAMNED UNITED 98

4 Transformational and Charismatic Leadership 99 The Transformational Approach to Leadership 100 The Characteristics of Transformational Leadership 102

Creative 103 Interactive 109 Visionary 112 Empowering 114 Passionate 120

Perspectives on Charisma 121 The Sociological Approach 121 The Behavioral/Attribution Approach 122 The Communication Approach 124

Transformational and Charismatic Leadership: Interchangeable or Distinct? 128

CHAPTER TAKEAWAYS 130 ■ APPLICATION EXERCISES 131 CULTURAL CONNECTIONS: IS TRANSFORMATIONAL

LEADERSHIP A UNIVERSAL CONCEPT? 132 LEADERSHIP ON THE BIG SCREEN: INVICTUS 133

5 Leadership and Power 135 Power: The Last Dirty Word? 136 Power and Leadership 136

Interdependent but Not Interchangeable 136 Sources of Power 137

Deciding Which Types of Power to Use 142 Engaging in Constructive Organizational Politics 144 Powerful and Powerless Talk 147

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Contents ix

Empowerment 149 Components of the Empowerment Process 153 Empowerment Models 155

CHAPTER TAKEAWAYS 161 ■ APPLICATION EXERCISES 162 CULTURAL CONNECTIONS: A DIFFERENT VIEW ON POWER—

THE SOUTH AFRICAN CONCEPT OF UBUNTU 163 LEADERSHIP ON THE BIG SCREEN: AS IT IS IN HEAVEN 164

6 Leadership and Influence 165 Credibility: The Key to Successful Influence 166

Dimensions and Challenges of Credibility 167 Building Your Credibility 168

Compliance-Gaining Strategies 171 Developing Argumentative Competence 176 The Leader as Negotiator 181

Creating a Cooperative Climate 182 Perspective-Taking Skills 184 Negotiation as Joint Problem Solving 186

Resisting Influence: Defending against the Power of Mental Shortcuts 188

CHAPTER TAKEAWAYS 193 ■ APPLICATION EXERCISES 194 CULTURAL CONNECTIONS: COMPLIANCE GAINING IN CHINA 197 LEADERSHIP ON THE BIG SCREEN: THE CONSPIRATOR 197

7 Leadership in Groups and Teams 199 Fundamentals of Group Interaction 200

Viewing Groups from a Communication Perspective 200 Group Evolution 202

Emergent Leadership 203 How Not to Emerge as a Leader 204 Useful Strategies 205 Appointed vs. Emergent Leaders 206

Leadership in Meetings 206 Group Decision Making 211

Functions and Formats 211 Avoiding the Pitfalls 214

Team Leadership 217 When Is a Group a Team? 217 Developing Team-Building Skills 218 Project Leadership 224 Leading Virtual Teams 228

CHAPTER TAKEAWAYS 230 ■ APPLICATION EXERCISES 232 CULTURAL CONNECTIONS: DEVELOPING A GLOBAL TEAM CHARTER 233 LEADERSHIP ON THE BIG SCREEN: THE WAY BACK 233

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x Contents

8 Leadership in Organizations 235 The Leader as Culture Maker 236

Elements of Organizational Culture 236 Shaping Culture 239 Creating an Adaptive, Learning, Trusting Culture 246

The Leader as Sensemaker 254 Intergroup Leadership 258 The Power of Expectations: The Pygmalion Effect 259

The Communication of Expectations 261 The Galatea Effect 263 Putting Pygmalion to Work 264

CHAPTER TAKEAWAYS 265 ■ APPLICATION EXERCISES 267 CULTURAL CONNECTIONS: YUM BRANDS SERVES UP A

GLOBAL APPROACH TO ORGANIZATIONAL CULTURE 268 LEADERSHIP ON THE BIG SCREEN: THE SOCIAL NETWORK 269

9 Public Leadership 271 The Power of Public Leadership 272 Leading Public Opinion through Public Relations 272 Influencing Audiences through Public Address 276

A Key Leadership Tool 276 Developing Effective Public Speeches 277

Persuasive Campaigns 285 Characteristics of Successful Campaigns 286 Campaign Stages 289

Collaborative (Integrative) Leadership 291 Attributes 292 Skills 292 Behaviors 292

CHAPTER TAKEAWAYS 294 ■ APPLICATION EXERCISES 295 CULTURAL CONNECTIONS: PUBLIC SPEAKING IN KENYA 296 LEADERSHIP ON THE BIG SCREEN: THE KING’S SPEECH 296

10 Leadership and Diversity 299 Managing Diversity—The Core of Leadership 300 Understanding Cultural Differences 300

Defining Culture 300 Classifying Cultures 302 Cultural Synergy 310

Fostering Diversity 312 The Benefits of Diversity 313 Obstacles to Diversity 315 Promoting Diversity: Overcoming the Barriers 317

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Contents xi

The Gender Leadership Gap: Breaking the Glass Ceiling and Navigating the Labyrinth 320

Male and Female Leadership Behavior: Is There a Difference? (And Do Women Make Better Leaders?) 321

Creating the Gap 324 Narrowing the Gap 326

CHAPTER TAKEAWAYS 329 ■ APPLICATION EXERCISES 331 CULTURAL CONNECTIONS: THE NOT SO

UNIVERSAL LANGUAGE OF SPORTS 332 LEADERSHIP ON THE BIG SCREEN: PARADISE ROAD 333

11 Ethical Leadership and Followership 335 The Importance of Ethics 336 The Ethical Challenges of Leadership:

Casting Light or Shadow 336 The Challenge of Information Management 336 The Challenge of Responsibility 338 The Challenge of Power 338 The Challenge of Privilege 340 The Challenge of Loyalty 341 The Challenge of Consistency 342

Components of Ethical Behavior 343 Component 1: Moral Sensitivity (Recognition) 343 Component 2: Moral Judgment 345 Component 3: Moral Motivation 346 Component 4: Moral Character (Implementation) 346

Ethical Perspectives 348 Kant’s Categorical Imperative 348 Utilitarianism 349 Justice as Fairness 349 Virtue Ethics 351 Altruism 356 Leaders as Servants 358

Meeting the Ethical Challenges of Followership 361 Servant Followership 362 Courageous Followership 363

CHAPTER TAKEAWAYS 366 ■ APPLICATION EXERCISES 368 CULTURAL CONNECTIONS: MORAL TASTE BUDS 370 LEADERSHIP ON THE BIG SCREEN: COMPANY MEN 371

12 Leader and Leadership Development 373 Leader Development: A Lifelong Journey 374 A Proactive Approach to Leader Development 374

Seek Out Leadership Learning Opportunities 375 Establish Developmental Relationships 378 Capitalize on Your Experiences 382

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xii Contents

Leader Development as an Internal Process 390 Stephen Covey: The 7 Habits of Highly Effective People 390 Kevin Cashman: Leadership from the Inside Out 391 The Role of Spirituality in Leader Development 393

Leadership Transitions 397 Leadership Passages 398 Taking Charge 400 Succession Planning 402

CHAPTER TAKEAWAYS 403 ■ APPLICATION EXERCISES 405 CULTURAL CONNECTIONS: LEADERSHIP DEVELOPMENT 405 LEADERSHIP ON THE BIG SCREEN: UP IN THE AIR 406

13 Leadership in Crisis 409 The Crucible of Crisis 410 Anatomy of a Crisis 411

Crisis Types 411 Crisis Stages 412

Crisis Leadership 414 Precrisis Leadership 414 Leading during the Crisis Event 422 Postcrisis Leadership 426

In Extremis Leadership 433 CHAPTER TAKEAWAYS 435 ■ APPLICATION EXERCISES 436 CULTURAL CONNECTIONS: FACING DISASTER WITH DIGNIFIED CALM 437 LEADERSHIP ON THE BIG SCREEN:

WHEN THE LEVEES BROKE: A REQUIEM IN FOUR ACTS 438

Endnotes 439 Bibliography 479 Index 515

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xiii

PREFACE

This sixth edition of Leadership: A Communication Perspective includes a number of additions, expansions, and revisions. We’ve added material on com- plex leadership, organizational politics, project leadership, executive-level leadership teams, intergroup leadership, paternalistic leadership, adaptive leadership, sensemaking, justice as fairness ethical theory, managing up, upward dissent, leading at the edge of the glass cliff, social norms campaigns, strengths-based leadership, and in extremis leadership. We’ve expanded the discussion of bad leadership, emotional competencies, task and interpersonal leadership, followership styles, charisma, leader development, crisis leader- ship, and virtual team leadership. We’ve revised a number of sections, includ- ing those dealing with relational leadership, the traits approach, power types, powerful and powerless language, credibility, organizational trust, leadership transitions, and collaborative (integrative) leadership.

We’ve also updated examples, sources, and cases throughout the book. All of the films and documentaries described in the Leadership on the Big Screen feature at the end of every chapter are new to this edition. There are new case studies on the 2008 K2 climbing disaster, Steve Jobs, the pink slime contro- versy, banning super-sized soft drinks, Greg Mortensen, Google, Penn State University, and the Miracle on the Hudson. New self-assessments measure readers’ perceptions of organizational politics, meeting leader skills, and con- tinuous learning. Leadership: A Communication Perspective continues to integrate theory and practice, as in prior versions. Each chapter blends discussion of research and theory with practical suggestions for improving leadership effec- tiveness. Chapter takeaways highlight important concepts and action steps. There are ten application exercises at the end of each chapter.

Chapter 1 examines the relationship between leadership and communica- tion with an in-depth look at the nature of leadership, both good and bad, and the leader/follower relationship. Chapter 2 surveys the research on leader and follower communication styles as well as the link between information process- ing and style selection. Chapters 3 and 4 summarize the development of leader- ship theory with an overview of the traits, situational, functional, relational, transformational, and charismatic approaches. Chapters 5 and 6 focus on two elements—power and influence—that are essential to the practice of leadership.

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xiv Preface

The next three chapters provide an overview of leadership in specific con- texts. Chapter 7 introduces group and team leadership and describes the spe- cial challenges of leading project teams and virtual teams. Chapter 8 is a discussion of organizational leadership with particular focus on the creation of culture, sensemaking, and the communication of expectations. Chapter 9 examines the power of public leadership, highlighting public relations, public speaking, and persuasive campaigns.

The final four chapters look at important leadership issues. Chapter 10 describes the impact of cultural differences on leading and following, how to foster diversity, and how to narrow the gender leadership gap. Chapter 11 out- lines the ethical challenges facing leaders and followers, components of ethical behavior, and ethical perspectives that can guide both leaders and followers. Chapter 12 identifies proactive leader development strategies as well as tools for managing leadership transitions. Chapter 13 examines the role of leader- ship in preventing and responding to crises.

As we noted in the preface to previous editions, this text is designed as an introduction to leadership from a communication vantage point, not as the final word (as if there could be one) on the topic. Please consider Leadership: A Communication Perspective as our contribution to a continuing dialogue with you on the subjects of leading and following. Throughout the book we’ll invite you to disagree with our conclusions, generate additional insights of your own, debate controversial issues, and explore topics in depth through research proj- ects, reflection papers, and small group discussions. If we’ve ignored issues that you think are essential to the study and practice of leadership, let us know. Send your comments and suggestions to us via e-mail or regular mail to the addresses below or in care of Waveland Press.

Michael Z. Hackman Department of Communication

University of Colorado–Colorado Springs 1420 Austin Bluffs Parkway

Colorado Springs, CO 80918 mhackman@uccs.edu

Craig Johnson School of Business

George Fox University 414 Meridian St.

Newberg, OR 97132 cjohnson@georgefox.edu

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1

1 LEADERSHIP AND COMMUNICATION

Leadership is action, not position. —Donald McGannon

OVERVIEW Leadership: At the Core of Human Experience Defining Leadership

The Nature of Human Communication The Human Communication Process Leadership: A Special Form of Human Communication Leaders vs. Managers The Question of “Bad” Leadership The Leader/Follower Relationship

Viewing Leadership from a Communication Perspective Willingness to Communicate Storytelling as Leadership Emotional Communication Competencies Playing to a Packed House: Leaders as Impression Managers

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2 Chapter One

Leadership: At the Core of Human Experience Leadership attracts universal attention. Historians, philosophers, and

social scientists have attempted to understand and to explain leadership for centuries. From Confucius to Plato to Machiavelli, many of the world’s most renowned thinkers have theorized about how people lead one another.1 One reason for the fascination with this subject lies in the very nature of human experience. Leadership is all around us. We get up in the morning, open the newspaper, turn on our computer, radio, or television, and discover what actions leaders all over the world have taken. We attend classes, work, and interact in social groups—all with their own distinct patterns of leadership. Our daily experiences with leadership are not that different from the experi- ences of individuals in other cultures. Leadership is an integral part of human life in rural tribal cultures as well as in modern industrialized nations. Looking at your past leadership efforts can help to provide a good starting point for understanding why the success of leadership often varies so significantly. Iden- tify your own best and worst leadership moments and what you can learn from these experiences by completing the self-assessment exercise in box 1.1.

Followers prosper under effective leaders and suffer under ineffective lead- ers whatever the context: government, corporation, church or synagogue, school, athletic team, or class project group. The study of leadership, then, is more than academic. Understanding leadership has practical importance for all of us. (See the case study in box 1.2 for a dramatic example of how important leadership can be.) In this text we will examine leadership in a wide variety of situations. However, our perspective remains the same—leadership is best understood from a communication standpoint. As Gail Fairhurst and Robert Sarr explain, effective leaders use language as their most tangible tool for achieving desired outcomes.2 Let’s begin our exploration of leadership by con- sidering the special nature of human communication and the unique qualities of leadership.

Defining Leadership As we have noted, leadership is a fundamental element of the human con-

dition. Wherever society exists, leadership exists. Any definition of leadership must account for its universal nature. Leadership seems to be linked to what it means to be human. As communication specialists, we believe that what makes us unique as humans is our ability to create and manipulate symbols.

I take leadership to signify the act of making a difference. —Michael Useem

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Leadership and Communication 3

Box 1.1 Self-Assessment Your Best and Worst Leadership Moment3

Everyone has enjoyed leadership success at some point. At some time—whether in high school, college, on the athletic field, in a community or religious group, or at work—we have all made things happen through other people. We have all been leaders. Looking back over your life, what is the experience that you are most proud of as a leader? Use the space below to capture the details of that moment.

Just as all of us have enjoyed success, we’ve also experienced the pain of leadership failure. Learning to be a leader requires looking back and learning from past mistakes so that you don’t repeat errors. What was your most disappointing experience as a leader? Record your thoughts in the space below.

Given the best and worst leadership experiences you identified, consider the lessons you have learned about leadership in the past. In working through this assessment it can be very helpful to share your leadership stories with others so that you have a richer set of examples from which to compile a list of leadership lessons. The lessons learned from past leadership experiences might be things like: It is difficult to succeed as a leader when followers are not motivated; leadership works best when you have a clear sense of direction; or a leader must be sure his or her message is under- stood to ensure followers stay involved. Try to identify 10 leadership lessons your experiences (and, if possible, those of others) have provided.

Leadership Lessons 1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

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4 Chapter One

Box 1.2 Case Study Death and Heroism on the Savage Mountain4

Mountaineers call K2 the Savage Mountain. The world’s second tallest peak, K2 claims a greater percentage of climbers (1 in 3) than Mt. Everest, the world’s tallest mountain (1 in 10). Fewer than 300 climbers have topped K2 as compared to over 3,000 on Mt. Everest. The Savage Mountain is not only steeper and harder to climb than Mt. Everest; its location further north makes it even more susceptible to bad weather. There are only a few days when high winds and snow abate, allowing climbers to attempt to reach the summit at over 27,000 feet.

In summer 2008, ten expeditions made up of members from Serbia, the United States, France, South Korea, the Netherlands, Italy, Nepal, and Pakistan huddled in their small tents at the high- est camp on K2 waiting for the weather to break. Because so many people were on the mountain, team leaders knew they had to coordinate their efforts, particularly to navigate the Bottleneck. The Bottleneck is a narrow, sheer section of trail that requires climbers to go single file. At the Bot- tleneck, a slow climber can delay all those who follow. Team leaders agreed that on the day of the summit one group would go first and lay out ropes for the other teams to use as they ascended and descended the Bottleneck. Another group would put willow wands in the snow to mark the path back to camp.

On August 1 the weather cleared and 20 climbers launched their mass assault on the summit. Problems arose almost immediately. The lead team didn’t have enough rope and started to lay rope too soon so that there wasn’t enough to reach the top of the Bottleneck. The wands weren’t planted. The only climber to have previously made it to the top took sick and couldn’t summit. Some groups were slow to start and, as feared, a cluster of climbers got stuck below the Bottle- neck, waiting to ascend. A Serbian fell to his death during the initial ascent and another climber died while trying to retrieve his body.

Descending in darkness is highly dangerous, as is bivouacking at 27,000 feet without shelter in intense cold. To avoid these dangers, climbers should have turned back by 2 PM. Instead, most pressed on to the top, not reaching their goal until much later. Eighteen reached the top—a K2 record—with the last team arriving at 7 PM. As a result, some decided to stop for the night while others made their way back down the mountain. That’s when disaster struck. A huge overhang- ing piece of ice broke off. Tumbling through the Bottleneck, it buried one climber and scoured away the ropes. Subsequent icefalls and avalanches, as well as the elements, disorientation, and deadly climbing conditions, would take additional lives. The total death toll was 11, making this one of the worst mountaineering disasters ever.

While nothing could have prevented the huge icefall, the loss of life was greater than it should have been. To begin, members of the various expeditions never bonded but instead remained strangers. They had difficulty communicating with each other because of language differences and operated independently. Members of some teams were highly critical of the preparation and skills of those on other teams. This apparently contributed to a disregard for human life when the crisis struck. Far too many ignored those in need, failing to offer assistance to those likely to per- ish. According to a Dutch survivor, “Everybody was fighting for himself and I still do not under- stand why everybody were leaving each other.”

Summit fever drove many to continue to climb when they should have turned back, putting them at high risk. So close to reaching their goal, they feared that they would never have another chance to reach their objective. Some had corporate sponsors and felt additional pressure to sum- mit. The high altitude porters had an incentive to support their efforts because they would earn a $1000 bonus if their clients succeeded. Those on the mountain also became too dependent on the ropes, even though the peak can be successfully climbed without them. In fact, the first climber to summit and successfully descend that day did so using only his personal alpine gear.

Sherpa are often overlooked in tales of mountaineering, which focus on the exploits of Euro- pean and North American alpinists. However, Sherpa climbers earned international recognition as the heroes of the K2 disaster. Pemba Sherpa repeatedly left the safety of camp to assist

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Leadership and Communication 5

The Nature of Human Communication Communication theorist Frank Dance defines symbols as abstract, arbi-

trary representations of reality agreed upon by human users.5 For example, there is nothing in the physical nature of this book that mandates labeling it a “book.” We have agreed to use this label, or symbol, to represent a bound col- lection of pages; this agreement is purely arbitrary. The meaning of a symbol, according to Leslie White, does not come from the intrinsic properties of the idea, concept, or object being represented. The value is “bestowed upon it by those who use it.”6 Words are not the only symbols we use; we attach arbitrary meanings to many nonverbal behaviors as well. Looking someone in the eye symbolizes honesty to many North Americans. However, making direct eye contact in some other cultures is considered an invasion of privacy. Meaning is generated through communication.

[Humans] differ from the apes, and indeed all other living creatures so far as we know, in that [they are] capable of symbolic behavior. With words, [humans] create a new world, a world of ideas and philosophies.

—Leslie White

Communication is based on the transfer of symbols, which allows individ- uals to create meaning. As you read this text, the words we have written are transferred to you. The meanings of these words are subject to your interpre- tation. It is our goal to write in a way that allows for clear understanding, but factors such as your cultural background, your previous experience, your level of interest, and our writing skills influence your perception of our message.

stranded climbers. Pasang Lama gave his ice axe to another climber while above the Bottleneck. When his colleague Chhiring Dorje saw his plight, he climbed back up to help. Chhiring roped himself to Pasang and they descended step by step to safety. Two other Sherpa lost their lives in an avalanche after they ascended to assist three Korean climbers tangled in rope.

The disaster on the Savage Mountain illustrates the high cost of ineffective and unethical leadership and followership. However, these events also demonstrate how individuals can make a life-and-death difference when they put aside selfish concerns to help others.

Discussion Questions

1. Have you ever followed a leader in a high-risk situation? How did you determine that this per- son was worthy of your trust?

2. Have you ever been the leader in a high-risk activity? How did you approach this task?

3. Have you ever let pursuit of a goal override your common sense and put you in danger? How can you prevent this from happening again?

4. What steps, if any, could have been taken to prevent the disaster on K2 or to lessen the death toll?

5. Why do some people, like the Sherpa on K2, rise to the challenge of a crisis while others do not?

6. What leadership and followership lessons do you take from the disaster on K2?

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6 Chapter One

The goal of communication is to create a shared reality between message sources and receivers.

The human ability to manipulate symbols allows for the creation of reality. Simply labeling someone as “motivated” or “lazy,” for example, can lead to changes in behavior. Followers generally work hard to meet the high expecta- tions implied in the “motivated” label; they may lower their performance to meet the low expectations of the “lazy” label. This phenomenon, discussed in detail in chapter 8, is known as the Pygmalion effect.

Symbols not only create reality but also enable us to communicate about the past, present, and future. We can evaluate our past performances, analyze current conditions, and set agendas for the future. In addition, symbolic com- munication is purposive and goal driven. We consciously use words, gestures, and other symbolic behaviors in order to achieve our goals. The purposeful nature of human communication differentiates it from animal communication.7

The communication patterns of animals are predetermined. For example, wolves normally travel in small groups known as packs. Dominance within the pack is predetermined based on such characteristics as size, physical strength, and aggressiveness. Humans, on the other hand, consciously select from an array of possibilities for achieving their goals. Human leadership is not prede- termined as in the animal world; rather, it varies from situation to situation and from individual to individual.

Leadership shares all of the features of human communication just described. First, leaders use symbols to create reality. Leaders use language, stories, and rituals to create distinctive group cultures. Second, leaders communicate about the past, present, and future. They engage in evaluation, analysis, and goal setting. Effective leaders create a desirable vision outlining what the group should be like in the future. Third, leaders make conscious use of symbols to reach their goals. See the case study in box 1.3 for examples of the effective and inef- fective use of symbols by leaders. We will have more to say about how leaders adapt their behaviors to reach their goals later in the chapter. In the meantime, let’s take a closer look at the characteristics of human communication.

Words can destroy. What we call each other ultimately becomes what we think of each other, and it matters.

—Jeane Kirkpatrick

The Human Communication Process Noted communication scholar Dean Barnlund identified five principles

that reflect the basic components of human communication.8 Communication is not a thing, it is a process. Communication is not con-

stant; it is dynamic and ever changing. Unlike a biologist looking at a cell through a microscope, communication scholars focus on a continuous, ongoing process without a clearly defined beginning or end. Take a typical conversation, for example. Does a conversation begin when two people enter a room? When they first see each other? When they begin talking? Barnlund, and others,

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Box 1.3 Case Study The Importance of Symbols

Leadership is primarily a symbolic activity. The words and behaviors of leaders greatly influ- ence the reactions of those who follow. Consider these examples:

Don Isley is the General Manager of Renco Manufacturing, a medium-sized manufacturing company producing precision components for the airline industry. The Renco plant is located in an office park near a commercial airport and parking is limited. Employee parking areas at the plant are divided into two lots. In one lot, managers and office staff park their vehicles near the main entrance to the Renco plant. On the other side of the building, those who work in the pro- duction area park near a side entrance to the plant. This parking arrangement is more informal than formal, but employees are consistent in their behavior and rarely park in the “wrong” lot. Isley parks in neither lot. He parks his vehicle, a new Corvette, directly in front of the building in a fire lane designated as a no parking area. Isley claims he needs to park in this location so that he can have easier access to his office. Some of the production workers who earn salaries just above minimum wage feel like Isley is “showing off.” What do you think?

Peter Houghton is the CEO of a large privately owned utility company—Valley Electric. Houghton came to Valley Electric from a competitor where he was highly regarded for his suc- cessful management practices. Despite this reputation, employees at Valley Electric were ner- vous when Houghton was hired. He replaced a well-regarded CEO who had been at the helm during a period of rapid growth and profitability. Sensing this uneasiness, Houghton made the decision to spend his first month on the job meeting as many Valley Electric employees as he could. Houghton visited offices, power stations, and field sites. He introduced himself to employ- ees, asked questions, and learned policies and procedures. At the end of his first month on the job, Houghton finally reported to his office. He felt ready to assume the challenge of leading Val- ley Electric. What do you think of this strategy?

Mark Ayala is the owner of a small T-shirt printing business. His company employs about 15 full-time staff members who are responsible for the production of a variety of custom-designed T- shirts. Most of the staff work for minimum wage, and turnover is high. The clothing produced ranges from special-order logo shirts for corporate clients to mass-produced shirts celebrating sports team championships. Ayala started the business in his garage five years ago and has built a loyal clientele by providing high-quality products that are delivered on time to his customers. Ayala and his staff must, at times, work around the clock to meet deadlines for special orders. Through his persistence and hard work, Ayala has developed a very successful business. Recently, Ayala noted that his total revenue for the year exceeded $1 million for the first time in company history. To mark this accomplishment and to thank his employees, Ayala came in late one night and printed T-shirts for his staff. The shirts featured a depiction of a $1 million dollar bill with Ayala’s picture in the center. On the back each shirt read, “Thanks a Million.” When Ayala announced the $1 million milestone to his employees and handed out the shirts, many of his employees were appreciative. Some, however, found the T-shirt giveaway insulting. What do you think?

Eric Littleton is the president of Bald College, a small, private, residential school in the South that is heavily dependent upon tuition revenue. Due to a drop in the number of incoming stu- dents, Bald had to reduce costs. Littleton called an all-employee meeting to announce that department budgets would be cut and that some employees would be laid off. He delivered this message to faculty and staff while wearing workout clothes—a T-shirt, Bald College sweatshirt, and running pants. At the end of the meeting he declined to take questions. Instead he told the crowd that he was headed over to the athletic complex to run with the college’s highly successful men’s basketball team. A number of employees were upset with the way the president handled this important announcement. What do you think?

Margaret Gates is the superintendent of schools in the Elmwood Hills school district. Elm- wood Hills is an affluent community located in the suburbs of a large metropolitan area. The schools in the Elmwood Hills district have an excellent reputation, and many parents choose to

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would suggest that a conversation actually “begins” with the experiences, skills, feelings, and other characteristics that individuals bring to an interaction.

Communication is not linear, it is circular. Models depicting the process of communication have evolved from a linear explanation, first developed by ancient Greek rhetoricians over 2,000 years ago, to a circular explanation, offered by Barnlund. In the earliest description of the communication process, a source transmitted a message to a receiver in much the same way that an archer shoots an arrow into a target. Only the source had an active role in this model; the receiver merely accepted messages. This view, known as an action model, is diagrammed below.

The action model provided an incomplete depiction of the communication process because the response of the receiver was ignored. Reactions to mes- sages, known as feedback, were included in the next explanation of communica- tion—the interaction model. The interaction model described communication as a process of sending messages back and forth from sources to receivers and receivers to sources. From this perspective, diagrammed at the top of p. 9, com- munication resembles a game of tennis.

An Action Model of Communication

RECEIVERSOURCE

live in the area so their children can attend the schools. Gates was hired as superintendent after her predecessor (who had been in the district for 37 years as a teacher and administrator) retired. Gates was a well-regarded candidate; she had years of experience leading high-performing pro- grams in school districts in another state. Within two months of her arrival at Elmwood Hills, Gates assembled the more than 2,000 faculty and staff members within the district. Although few of these teachers or staff members had met Gates yet, most were eager to hear what their new leader had to say. In the meeting, Gates unveiled a new vision statement and a set of 12 initia- tives, including mandatory nightly homework assignments, a greater emphasis on core academic subjects, and revamping many of the existing programs within the district. Although many of the initiatives Gates presented had merit, most of those attending the meeting left with a very nega- tive impression of their new leader. What do you think went wrong?

Shirley Phillips is the CEO of Hilcrest Laboratories, a multinational pharmaceutical company. As CEO, Phillips has exhibited an antipathy toward corporate perks. Like all other Hilcrest execu- tives and managers, Phillips has a cubicle, not a private office. When Phillips travels, she flies coach class and rents a subcompact car, as do all Hilcrest executives and managers. Employees jokingly refer to these small rental cars as “Hilcrest limousines.” Phillips’s efforts are viewed by some as merely an attempt to cut costs. Some senior managers feel they have earned the perks of first-class travel and full-size rental cars. Others contend that Hilcrest’s profit-sharing plan is perk enough and that money shouldn’t be wasted on costly airfares and rental cars. Phillips argues her actions communicate a belief that all at Hilcrest are equal in importance. What do you think?

After considering these six examples, think of some of the leaders with whom you have worked in the past. Identify examples of effective or ineffective symbolic behavior on the part of these leaders. Discuss your examples with others in class.

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The evolution of the circular explanation of communication was com- pleted with the development of Barnlund’s transactional model. The transac- tional approach assumes that messages are sent and received simultaneously by source/receivers. The ongoing, continuous nature of the process of commu- nication is implicit in this model.

In the transactional model, communicators simultaneously transmit and receive messages. Effective communicators pay close attention to the mes- sages being sent to them as they talk with others. The typical classroom lec- ture demonstrates how we act as senders and receivers at the same time. Even though only one person (the instructor) delivers the lecture, students provide important information about how the lecture is being received. If the lecture is interesting, listeners respond with smiles, head nods, and questions. If the lec- ture is boring, class members may fidget, fall asleep, surf their e-mail, or glance frequently at their watches. These responses are transmitted through- out the lecture. Thus, both the instructor and students simultaneously act as message source and receiver.

Communication is complex. Communication involves more than just one person sending a message to another. The process involves the negotiation of shared interpretations and understanding. Barnlund explains that when you have a conversation with another person there are, in a sense, six people involved in the conversation.

1. Who you think you are 2. Who you think the other person is 3. Who you think the other person thinks you are 4. Who the other person thinks he or she is 5. Who the other person thinks you are 6. Who the other person thinks you think he or she is Communication is irreversible. Like a permanent ink stain, communication

is indelible. If you have ever tried to “take back” something you have said to another person, you know that while you can apologize for saying something

An Interaction Model of Communication

SOURCE RECEIVER

feedback

A Transactional Model of Communication

SOURCE

SOURCE

SOURCE

SOURCE

RECEIVER

RECEIVER

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inappropriate, you cannot erase your message. Many times in the heat of an argument we say something that hurts someone. After the argument has cooled down, we generally say we are sorry for our insensitive remarks. Even though the apology is accepted and the remark is retracted, the words con- tinue to shape the relationship. The other person may still wonder, “Did he/ she really mean it?” We can never completely un-communicate.

Communication involves the total personality. A person’s communication cannot be viewed separately from the person. Communication is more than a set of behaviors; it is the primary, defining characteristic of a human being. Our view of self and others is shaped, defined, and maintained through communication.

Now that you have a better understanding of the process of human com- munication, we will examine the special nature of leadership communication.

Leadership: A Special Form of Human Communication One way to isolate the unique characteristics of leadership is to look at

how others have defined the term. According to James MacGregor Burns, the scholar attributed with founding contemporary leadership studies, “Leader- ship is one of the most observed and least understood phenomena on Earth.”9 Indeed, Joseph Rost found there were 221 definitions of leadership published in books and articles between 1900 and 1990—a number that likely has dou- bled given the recent interest in leadership since his review.10 With so many definitions of leadership in print it is helpful to classify these conceptions into broader categories. Four primary definitional themes emerge.

Leadership is about who you are. This definitional theme focuses on leader traits and attributes and is one of the oldest ways of conceptualizing leadership. The emphasis is on identifying the characteristics that define “born leaders.” Examples of such definitions of leadership published in the early part of the twentieth century are “personality in action . . . in such a way that the course of action of the many is changed by the one,”11 and “[the] person who possesses the greatest number of desirable traits of personality and character.”12

Leadership is about how you act. From this perspective, leadership is defined as the exercise of influence or power. To identify leaders, we need to determine who is influencing whom. For example, Paul Hersey defines leader- ship as “any attempt to influence the behavior of another individual or group.”13 Bernard Bass argues that “an effort to influence others is attempted leadership.”14 When others actually change, then leadership is successful. Swedish researcher Mats Alvesson focuses on the influence process from a communication perspective, arguing that leadership is a “culture-influencing activity” that involves the “management of meaning.”15

Leadership is about what you do. This definitional thread focuses on the importance of followers. Leader influence attempts are neither random nor self-centered. Instead, leaders channel their influence and encourage change in order to meet the needs or to reach the goals of a group (task force, business organization, social movement, state legislature, military unit, nation). Note the group orientation in the following definitions:

• the behavior of an individual when he/she is involved in directing group activities;16

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• the process (act) of influencing the activities of an organized group toward goal setting and goal achievement.17

Placing leadership in the context of group achievement helps to clarify the difference between leadership and persuasion. Persuasion involves changing attitudes and behavior through rational and emotional arguments. Since per- suasive tactics can be used solely for personal gain, persuasion is not always a leadership activity. Persuasion, although critical to effective leadership, is only one of many influence tools available to a leader.

Leadership is about how you work with others. This definitional theme emphasizes collaboration. Leaders and followers establish mutual purposes and work together as partners to reach their goals. Success is the product of leaders’ and followers’ joint efforts. Joseph Rost highlights the interdepen- dence of leaders/followers this way: “Leadership is an influence relationship among leaders and their collaborators [followers] who intend real changes that reflect their mutual purposes.”18 Others, such as Peter Block and Robert Greenleaf, discuss concepts such as “stewardship” and “servant leadership” in defining leadership as a partnership with followers.19

Combining our discussion of human communication with the definitional elements above, we offer the following communication-based definition of leadership: Leadership is human (symbolic) communication that modifies the attitudes and behaviors of others in order to meet shared group goals and needs. (For a sampling of how some other textbooks have defined leader- ship, see box 1.4.)

Leaders vs. Managers Management is often equated with leadership. However, leading differs sig-

nificantly from managing. Managers may act as leaders, but often they do not. Similarly, employees can take a leadership role even though they do not have a

Box 1.4 Leadership Definitions: A Textbook Sampler

“Leadership is a process whereby an individual influences a group of individuals to achieve a common goal.”—Peter Northouse20

“Leadership is the process of influencing others to understand and agree about what needs to be done and how to do it, and the process of facilitating individual and collective efforts to accomplish shared objectives.”—Gary Yukl21

“A leader [can be defined as] a person who influences individuals and groups within an orga- nization, helps them in the establishment of goals, and guides them toward achievement of those goals, thereby allowing them to be effective.”—Afsaneh Nahavandi22

“Leadership is social influence. It means leaving a mark, it is initiating and guiding, and the result is change.”—George Manning and Kent Curtis23

“Leadership. . . . a dynamic (fluid), interactive, working relationship between a leader and one or more followers, operating within the framework of a group context for the accomplishment of some collective goal.”—Jon Pierce and John Newstrom24

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managerial position. Leadership experts James Kouzes and Barry Posner suggest the following exercise to highlight the differences between leaders and manag- ers. Take a sheet of paper and make two columns. In the first column, identify the activities, behaviors, and actions of leaders. In the second column, list the activities, behaviors, and actions of managers. Now compare the two lists. Kouzes and Posner predict that you will associate leaders with factors such as change, crisis, and innovation and that you will associate managers with organi- zational stability. According to these authors, “When we think of leaders, we recall times of turbulence, conflict, innovation, and change. When we think of managers, we recall times of stability, harmony, maintenance, and constancy.”25

You manage things; you lead people. —Grace Murray Hopper

John Kotter uses three central activities to highlight the differences between management and leadership: creating an agenda, developing a human network for achieving the agenda, and executing the agenda.26 The manage- ment process for creating an agenda involves planning and budgeting. Manag- ers at this stage tend to focus on time frames, specific details, analysis of potential risks, and resource allocation. By contrast, leaders create an agenda by establishing direction and communicating long-range views of the big picture. This process involves developing a desirable and attainable goal for the future, otherwise known as a vision. The actions of Herb Kelleher during his tenure as CEO of Southwest Airlines are examples of this type of leadership activity. In taking a fledgling airline to prominence in the U.S. airline industry, Kelleher had a clear vision of the strategy and leadership practices necessary to make Southwest Airlines a success (see the case study in box 1.5 for more about leadership at Southwest Airlines). The presence of a shared and meaningful vision, as we’ll see in chapter 4, is a central component of effective leadership.

Once the agenda is established, people must be mobilized to achieve the plan. Managers mobilize others through organizing and staffing. The focus of this management activity involves getting individuals with the right training in the right job and then getting those individuals to carry out the agreed-upon plan. Leaders mobilize others by aligning people. Alignment focuses on inte- gration, teamwork, and commitment.

The execution of the agenda from a management perspective involves con- trolling and problem solving. This process usually focuses on containment, control, and predictability. Leaders execute their agenda by motivating and inspiring. This process focuses on empowerment, expansion, and creativity. One organization that does an excellent job of motivating and inspiring fol- lowers is Mary Kay Cosmetics. Founded in 1963 by the late Mary Kay Ash, the company has more female employees earning over $50,000 per year than any other organization in the world. One of the most coveted awards presented to the independent agents (known as “beauty consultants”) who sell Mary Kay products is a 14-carat gold brooch in the shape of a bumblebee. The bumble- bee, all new recruits are reminded, has a body too big for its wings and thus

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Box 1.5 Case Study Putting Employees First at Southwest Airlines

Southwest Airlines began as a fledgling operation with four airplanes flying 18 daily round- trip flights among three cities in Texas. The early history of the airline led to the development of a unique leadership approach. Before Southwest ever had its first flight, a group of competitors filed a lawsuit to block the upstart airline from initiating its proposed service. The legal battle dragged on for three years before Southwest finally got off the ground in 1971. The early days were lean for the airline; flights often carried only a handful of passengers, and the cost of the legal battles required to establish the company drained its resources. The CEO of Southwest Air- lines from its founding until his retirement in 2001 was Herb Kelleher. An attorney by training, Kelleher turned the struggling airline into a personal crusade. To survive among its hostile and much larger competitors, Kelleher worked to develop the leadership practices that would allow Southwest to prosper.

Southwest’s operating strategy focuses on providing low-cost, no-frills service with frequent direct flights between cities. The method for achieving success in using this strategy has been to employ a revolutionary leadership approach. While many companies argue that the customer is always right, Kelleher believes employees come first. “Customers are not always right, and I think that is one of the biggest betrayals of your people you can possibly commit. The customer is fre- quently wrong. We don’t carry those sorts of customers. We write them and say, ‘Fly somebody else. Don’t abuse our people.’”27

As Southwest’s corporate philosophy explains: Employees are number one. The way you treat your employees is the way they will treat your customers. The results for customers have been exceptional. Southwest has consistently been rated by the U.S. Department of Transportation Air Travel Consumer Report as having the best on-time performance, best baggage handling, and fewest complaints of all major air carriers. In a highly competitive industry in which all carriers strive to get top ratings in any of the three reporting categories, Southwest is the only airline to ever be rated best in all three categories—a feat called the triple crown. Indeed, Southwest once held the triple-crown for five consecutive years—an astonishing record considering no other air- line has held the triple crown for even one month!

Southwest goes to extraordinary lengths to connect with employees. The company has a cul- ture services department that sponsors Spirit Parties, chili cook-offs, awards banquets, and other special events. A team of five people acknowledges significant employee “life events” (births, deaths, serious illnesses) through phone calls, cards, and gifts. A customer communications team makes sure that commendations are forwarded to employees with acknowledgment to the cus- tomer making the compliment. The “Heroes of the Heart” program recognizes employees or departments for extraordinary service by painting the names of winners on planes for a year. CEO Gary Kelly views communication as his “primary job,” spending an “incredible” percentage of his time communicating with Southwest employees. Kelly records news updates for employees every Monday morning and meets weekly with staffers. Every February he meets with company workers in six locations around the country, delivering a “State of the Company” address to thou- sands of employees. In August he holds a series of conversations with employees, meeting with flight attendants, pilots, and ground crews at airport locations.28

Other key corporate philosophies emphasize that work should be fun (employees are encour- aged to take their jobs and the competition seriously—but not themselves); that employees should demonstrate a warrior spirit that is passionate and committed to hard work; that others should come first (a servant’s heart); and that employees should do whatever it takes to meet the needs of customers. As former company president Colleen Barrett explains, “No employee will ever be punished for using good judgment and good old common sense when trying to accommodate a customer—no matter what our rules are.”29 Perhaps most noteworthy is Southwest’s commit- ment to conducting its business in a loving manner which respects the dignity of every employee no matter his or her position in the organization. As consultants Kevin and Jackie Freiberg explain,

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14 Chapter One

should not be able to fly. But it does. Recruits are told that the ability to achieve more than seems possible is what Mary Kay Cosmetics is all about.33

According to Kotter, the outcomes of management and leadership differ significantly. Management produces orderly results. Leadership, on the other hand, often leads to useful change. Both these activities are important in the overall success of groups and organizations. To be successful, organizations must consistently meet their current commitments to customers, stockhold- ers, employees, and others, and they must also identify and adapt to the changing needs of these key constituencies over time. To do so, they must not only plan, budget, organize, staff, control, and problem solve in a competent, systematic, and rational manner, they must also establish and reestablish, when necessary, an appropriate direction for the future, align people to it, and motivate employees to create change even when painful sacrifices are required.

The Question of “Bad” Leadership Most of those who study and write about leadership have focused on the

more positive connotations of the concept. Recently scholars have devoted increasing attention to the “bad” or “toxic” side of leadership.34 Those inter-

“Southwest understands that when people feel loved they develop a greater capacity to love oth- ers. Employees bear out this belief every day in the kindness, patience, and forgiveness they extend to each other and their customers.”30 This value is so deeply ingrained in the company’s culture that Southwest’s stock symbol is LUV.

The results of the Southwest leadership approach have been nothing short of phenomenal. The airline has been rated as one of the nation’s 10 best companies to work for.31 Each year Southwest receives over 200,000 applications for some 4,000 available jobs. The demand for employment at the airline is so great that it is easier to get accepted at Harvard than it is to become a mechanic at Southwest!32 In an industry plagued by problems associated with exces- sive costs, frequent labor disputes, and the often-changing whims of travelers, Southwest has been a bastion of profitability. Southwest is the only U.S. airline to have made money every year since 1973. It is the nation’s largest domestic airline, carrying 100 million passengers a year. Cer- tainly Southwest’s well-defined operating strategy has contributed to its long-term success. The airline’s major competitive advantage, however, appears to be its people and its leadership prac- tices. Kelleher’s retirement has seemingly had little impact on Southwest’s ongoing culture. Under the direction of new leaders, the company appears as strong as ever.

Discussion Questions

1. How do you think an organization’s past history affects leadership practices?

2. Do you agree with Herb Kelleher’s contention that employees should come first? Have you ever worked somewhere where you have felt that you were particularly valued as an employee? Have you had the opposite experience?

3. Do you think people are more productive and satisfied if they have fun in the workplace? Why or why not?

4. Is there a place for “love” in organizations? How can a leader build a loving environment?

5. Southwest Airlines is noted for its outstanding customer service. What are some of the organi- zations you have encountered that have provided the best and the worst customer service? What do you think the relation is between customer service and leadership?

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Leadership and Communication 15

ested in destructive leadership believe that researchers and practitioners must embrace a more honest and holistic view that acknowledges the dark side of human nature. These investigators argue for a broader conception of leader- ship that includes an exploration of those whose impact on others is damaging.

Like many leadership scholars, we believe that leaders should be ethical and serve the common good. Yet, we recognize that far too many individuals fall short of this standard, driven by personalized or harmful motives that make them more “power wielders” than leaders who serve the needs of the group.35 These bad leaders can teach a great deal about good leadership, how- ever. Studying examples of bad leaders can alert us to the ethical dangers of being in a leadership role (see the discussion of the ethical shadows of leader- ship in chapter 11); help us prevent ethical abuses in ourselves and others; and clearly demonstrate what we DON’T want to do when our time comes to lead.

There are a number of reasons why leaders engage in destructive behavior. Important causes or antecedents of bad leadership include:

Selfishness. Self-centeredness is a particular problem for leaders. That’s because impulsive, selfish individuals are more likely to seek positions of power and, at the same time, they are more likely to be identified as leaders by others. They are extroverts who are seen as energetic and charismatic.36 Once in power, impulsive leaders are free to satisfy their own desires at the expense of others. For example, they consume more than their share of organizational resources and violate group norms (including rules about sexual behavior). They justify their actions by defining morality in terms of rights instead of responsibilities. They believe that resources should go to those who contrib- ute the most (which favors them) instead of to the needy (which favors less powerful individuals) and generally ignore other points of view when making moral determinations. Organizations can reinforce these selfish tendencies. Those in power frequently silence the critiques of followers. Unchallenged, they exert even more control and, over time, low power individuals modify their emotions and attitudes to match their leaders.

Many leaders are narcissistic.37 The term narcissism is derived from Greek mythology. In the ancient Greek fable, Narcissus falls in love with his image that he sees reflected in a pond. Contemporary narcissists are just as self- absorbed as their namesake. Thinking highly of themselves, they are attracted to leadership roles that make them the center of attention. Narcissists often succeed in their bids for power because they are socially skilled and make a positive first impression. In a small group, for instance, they are likely to emerge as leaders when none are appointed because they are quick to speak up and come across as bold and competent.38 They are effective at holding on to their authority once in power, convinced that they deserve to be where they are. Narcissistic leaders engage in a variety of bad leadership behaviors, including claiming special privileges, demanding obedience and admiration, dismissing negative feedback, abusing power for personal goals, ignoring the welfare of followers, and acting like dictators. They put their organizations at risk because they have unrealistic visions and expectations of what they and their groups can achieve.

Machiavellianism is another selfish trait that drives leaders to engage in destructive behavior.39 Italian philosopher Niccolò Machiavelli argued in The

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16 Chapter One

Prince that political leaders should maintain a positive public image while using any means possible (ethical or unethical) to achieve their goals. Accord- ing to modern psychologists and communication scholars, highly Machiavel- lian individuals (high Machs) follow this advice. They are skilled at manipulating others to achieve their ends, a fact that makes them more likely to end up in leadership positions. Compared to narcissists, Machiavellian lead- ers have a more accurate sense of their abilities and are more in touch with reality. However, they too engage in lots of self-promotion, tend to be emo- tionally cold, and are likely to be aggressive. High Machs frequently deceive others because they are out to generate positive impressions while getting their way. They may pretend to care about coworkers to secure their coopera- tion, for instance, or work overtime only to score points with the boss. (We’ll have more to say about ethical impression management later in the chapter.) Machiavellian leaders enjoy successful careers because they are so skilled at manipulation and hiding their true intentions. However, they put their groups and followers in danger. They may be less qualified to lead than those who don’t make as good of an impression. High Machs are also tempted to engage in unethical behavior because they want to succeed no matter what the cost. When followers suspect their supervisors are manipulative, they are less trust- ing and cooperative, which lowers organizational productivity.40

Cognitive errors. Bad leadership is also the product of poor decision mak- ing.41 Officials at NASA ignored the possible damage to the Columbia shuttle, for example. The spacecraft then disintegrated when returning from space, killing seven astronauts. The CEO at Quaker Foods decided to acquire Snap- ple, a product line that didn’t fit with the organization’s culture and strategic plan. (Quaker later sold Snapple for a $1.4 billion loss.) Common leader errors occur when (1) gathering and organizing information (e.g., failing to contact an important client for feedback, putting off the most important tasks, using the wrong criteria to evaluate a training program); (2) deciding how to use information (e.g., ignoring safety reports, basing decisions on outdated data); (3) managing personnel resources (e.g., hiring the wrong employees, assign- ing workers to tasks they aren’t prepared for); and (4) managing tasks and resources (e.g., purchasing unneeded office equipment and factory machinery, failing to repair equipment).

Environmental factors. Selfishness and decision-making errors are internal sources of bad leadership. However, outside forces can also encourage leaders to engage in destructive behaviors. Leaders are more likely to initiate and per- sist in unethical behaviors when they experience the following:42

• pressure to meet aggressive goals • intense competition to maintain market share, profitability, etc. • organizational instability and uncertainty caused by downsizing, merg-

ers, recessions, rapid technological developments, shortage of resources • perception of an outside threat • pressure from followers to engage in unethical behavior • organizational climates that encourage unethical behavior • pressure to conform

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• lack of checks and balances both inside (governing boards, performance appraisal systems) and outside the organization (the media, governing agencies) to check toxic behavior

• cultural values that encourage destructive leadership (tolerating large power differences, putting the needs of the group above those of outsiders)

According to Harvard University professor Barbara Kellerman, bad leader- ship falls into two categories—ineffective and unethical—and is exhibited through destructive behaviors and dysfunctional personality characteristics. Ineffective leaders are not successful in achieving desired outcomes. These “bad” leaders may be poorly skilled, may exhibit ineffective strategic or tactical planning, or may not have the requisite traits to succeed. Unethical leaders are unable to distinguish between right and wrong, often engaging in behaviors that maximize their rewards while harming others. Kellerman identifies seven types of “bad” leaders.43

Incompetent. These leaders do not have the desire or skill (or both) to sus- tain effective action. They may lack practical, academic, or social intelligence and can be careless, dense, distracted, lazy, or sloppy. Juan Antonio Sama- ranch, who presided over judging and doping scandals and rampant corruption as president of the International Olympic Committee (1981–2000), exempli- fies such incompetence.

Rigid. These leaders are unyielding. Although the rigid leader may be competent, he or she is unable or unwilling to adapt to new ideas, new infor- mation, or changing times. Russian President Vladimir Putin’s response to the sinking of the submarine Kursk in 2000 is an example. When advised of the sit- uation, Putin showed little interest (continuing a planned vacation to the Black Sea) and initially ignored offers of assistance from other countries (par- ticularly from the United States). Speculation was that Putin did not want to appear weak—rigidly clinging to the idea of Russia as a superpower.

Intemperate. These leaders lack self-control and are aided and abetted by followers who are unwilling or unable to intervene. Marion Barry, Jr.’s career is an example of intemperate leadership supported by followers who ignored his failings. Barry served as the mayor of Washington DC from 1979 to 1991. His arrest in 1990 on drug charges precluded him from seeking reelection. After his conviction, Barry served six months in prison, but he was elected to the DC council in 1992 and ultimately as mayor again in 1994, serving a fourth term from 1995 to 1999. Barry continues to be involved in DC politics even after pleading guilty in 2005 to charges of failing to pay federal and local taxes on more than $530,000 worth of income.

Callous. These leaders are uncaring or unkind. Corporate downsizer Al Dunlap—known as “Chainsaw Al” for zealously cutting jobs—is an example of a callous leader. Dunlap fired thousands at Crown-Zellerbach and Scott Paper in the 1980s and 1990s before becoming the CEO at Sunbeam. There he slashed 6,000 more jobs before eventually being fired himself in 1998 after just two years on the job. Dunlap walked away from CEO posts wealthy while thousands at the companies he led were left without jobs.