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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.

10-digit ISBN 1-4786-0259-7 13-digit ISBN 978-1-4786-0259-0

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.