Leadership
Seventh Edition
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Leadership
A Communication Perspective
Seventh Edition
Craig E. Johnson
George Fox University
Michael Z. Hackman
late of University of Colorado–Colorado Springs
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 © 2018, 2013, 2009, 2004, 2000, 1996, 1991 by Waveland Press, Inc.
10-digit ISBN 1-4786-3502-9
13-digit ISBN 978-1-4786-3502-4
All rights reserved. No part of this book may be reproduced, stored in a retrieval sys-
tem, or transmitted 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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�
Mike, this one’s for you.
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About the Authors
Craig E. Johnson (PhD, University of Denver) is emeritus professor of leader-
ship studies at George Fox University, Newberg, Oregon, where he taught a variety
of courses in leadership, ethics, communication, and management at the under-
graduate and doctoral level. During his time at the university he served as chair of
the Department of Communication Arts and founding director of the George Fox
Doctor of Management/Doctor of Business Administration program. Though
retired from full-time teaching, Dr. Johnson continues to serve as an adjunct pro-
fessor. He is author of Organizational Ethics: A Practical Approach (4th ed.) and
Meeting the Ethical Challenges of Leadership: Casting Light or Shadow (6th ed.). His
articles have appeared in such journals as Communication Quarterly, The Journal
of Leadership Studies, The Journal of Leadership and Organizational Studies, Acad-
emy of Management Learning and Education, The Journal of Leadership Education,
Communication Education, Communication Reports, and International Listening
Association Journal. Johnson has served in leadership roles in several nonprofit
organizations and has participated in educational and service trips to Kenya,
Rwanda, Honduras, Brazil, China, and New Zealand. Professor Johnson is a past
recipient of George Fox University’s distinguished teaching award and 2016 recipi-
ent of the outstanding graduate faculty researcher award. When he is not writing
or teaching, Dr. Johnson enjoys working out, fly fishing, camping, and reading.
Michael Z. Hackman (PhD, University of Denver) was a professor in the
Department of Communication at the University of Colorado–Colorado Springs
and an adjunct at the Center for Creative Leadership. He taught courses in com-
munication, including Foundations of Leadership, Leadership Theory and Practice,
Organizational Leadership, Leadership Communication in a Global Environment,
and Leadership and Organizational Change. In 1995, he was awarded the univer-
sity-wide Outstanding Teacher award. Dr. Hackman’s research focused 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 appeared in such journals as Communication Education, Communication
Quarterly, The Journal of Leadership Studies, Leadership, The Leadership Review,
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and the Southern Speech Communication Journal. He was 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. Dr. Hackman served as a visiting professor at the University of Waikato in
Hamilton, New Zealand, on four separate occasions between 1991–2002. He also
served as an adjunct professor at the University of Siena (Italy) and the University
of Vienna (Austria), and lectured at the China Executive Leadership Academy
Pudong in Shanghai and the SP Jain Center of Management in Dubai (UAE).
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Acknowledgments
The inspiration for this text came while Michael Hackman and I were graduate
students at the University of Denver. We agreed to write a book together but
weren’t sure what topic to write about. Mike called me a couple of years after we
had both graduated to propose a leadership text from a communication vantage
point. That collaboration, which produced the previous six editions, was truly a
labor of love and served to shape our friendship and our careers.
In 2016 Mike died after battling cancer. The world lost an outstanding educa-
tor, scholar, international consultant, professional colleague, friend, and father.
This edition is dedicated to him.
Thanks to all who adopted previous editions. Based on your positive response,
I remain convinced that there is value in examining leadership from a communica-
tion vantage point. To those considering this text for the first time, I hope that it
will prove to be a useful tool for both you and your students.
Over the years many students and colleagues provided their own leadership
stories along with encouragement, advice, and support. In particular I want to rec-
ognize Alvin Goldberg, our mentor at the University of Denver, who was instru-
mental in igniting our interest in the topic of leadership.
Thanks to Carol Rowe at Waveland Press who has been a constant source of
encouragement and inspiration over the years. Laurie Prossnitz prepared this edi-
tion for publication. A number of research assistants from the University of Colo-
rado–Colorado Springs and George Fox University helped with the previous
editions. Linda Crossland assisted in preparing materials for this version. I am
grateful for all of your help. My greatest appreciation, however, is reserved for the
Hackman and Johnson families, who lovingly supported our continuing journey to
explore the latest developments in leadership.
—Craig E. Johnson
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Contents
Preface xvii
1 Leadership and Communication 1
Leadership: At the Core of Human Experience 2
Defining Leadership 2
The Symbolic Nature of Human Communication 5
The Human Communication Process 8
Leadership: A Special Form of Human Communication 11
Leaders vs. Managers 13
The Question of “Bad” Leadership 14
The Leader/Follower Relationship 19
Viewing Leadership from a Communication Perspective 21
Willingness to Communicate 21
Storytelling as Leadership 25
Emotional Communication Competencies 27
Playing to a Packed House: Leaders as Impression Managers 31
CHAPTER TAKEAWAYS 34
APPLICATION EXERCISES 35
CULTURAL CONNECTIONS: FOSTERING CIRCLES THROUGH STORIES 36
LEADERSHIP ON THE BIG SCREEN: THE BEST OF MEN 37
2 Leadership and Followership Communication Styles 39
The Dimensions of Leadership Communication Style 40
Authoritarian, Democratic, and Laissez-Faire Leadership 40
Task and Interpersonal Leadership 46
The Michigan Leadership Studies 49
The Ohio State Leadership Studies 50
McGregor’s Theory X and Theory Y 53
Blake and McCanse’s Leadership Grid® 54
ix
x Contents
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Follower Communication Styles 55
Engaged Followers 56
Exemplary Followership 57
The 4-D Followership Model 61
Transcendent Followership 62
Communication Styles, Information Processing,
and Identity 63
CHAPTER TAKEAWAYS 68
APPLICATION EXERCISES 69
CULTURAL CONNECTIONS: THE PERFORMANCE-MAINTENANCE (PM)
THEORY OF LEADERSHIP 70
LEADERSHIP ON THE BIG SCREEN: IN THE HEART OF THE SEA 71
3 Traits, Situational, Functional, Skills, and 73
Relational Leadership
Understanding and Explaining Leadership 74
The Traits Approach to Leadership 75
The Situational Approach to Leadership 81
Path-Goal Theory 81
Hersey and Blanchard’s Situational Leadership Approach 84
The Functional Approach to Leadership 86
Task-Related Roles 88
Group-Building and Maintenance Roles 89
Individual Roles 89
The Skills Approach to Leadership 90
The Three-Skill Model 91
Task-Based Competencies 92
Problem-Solving Capabilities 93
The Relational Approach to Leadership 94
Vertical Dyad Linkage Model 95
Leader-Member Exchange Theory 95
CHAPTER TAKEAWAYS 99
APPLICATION EXERCISES 100
CULTURAL CONNECTIONS: PATERNALISTIC LEADERSHIP 101
LEADERSHIP ON THE BIG SCREEN: CONCUSSION 102
4 Transformational and Charismatic Leadership 105
The Transformational Approach to Leadership 106
The Characteristics of Transformational Leadership 110
Creative 111
Interactive 114
Visionary 117
Empowering 122
Passionate 122
Contents xi
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Perspectives on Charisma 125
The Sociological Approach 126
The Behavioral/Attribution Approach 127
The Communication Approach 130
Transformational and Charismatic Leadership:
Interchangeable or Distinct? 132
Alternative Approaches to Outstanding Leadership 134
Authentic Leadership 134
The CIP (Charismatic/Ideological/Pragmatic)
Leadership Model 137
CHAPTER TAKEAWAYS 139
APPLICATION EXERCISES 140
CULTURAL CONNECTIONS: IS TRANSFORMATIONAL/CHARISMATIC
LEADERSHIP A UNIVERSAL CONCEPT? 141
LEADERSHIP ON THE BIG SCREEN: THE MAN IN THE MACHINE 142
5 Leadership and Power 145
Power: Mixed Emotions 146
Power and Leadership 146
Interdependent but Not Interchangeable 146
Sources of Power 147
Deciding Which Types of Power to Use 151
Engaging in Constructive Organizational Politics 153
Powerful and Powerless Talk 156
Empowerment 158
Components of the Empowerment Process 162
Empowerment Models 165
CHAPTER TAKEAWAYS 172
APPLICATION EXERCISES 173
CULTURAL CONNECTIONS: A DIFFERENT VIEW ON POWER—
THE SOUTH AFRICAN CONCEPT OF UBUNTU 174
LEADERSHIP ON THE BIG SCREEN:
STAR WARS EPISODE VII—THE FORCE AWAKENS 175
6 Leadership and Influence 177
Credibility: The Key to Successful Influence 178
Dimensions and Challenges of Credibility 179
Building Your Credibility 180
Compliance-Gaining Strategies 184
Managerial Influence Tactics 184
Upward Dissent 187
Developing Argumentative Competence 189
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The Leader as Negotiator 194
Creating a Cooperative Climate 195
Perspective-Taking Skills 197
Negotiation as Joint Problem Solving 199
Resisting Influence: Defending against the Power of
Mental Shortcuts 201
CHAPTER TAKEAWAYS 207
APPLICATION EXERCISES 208
CULTURAL CONNECTIONS: NEGOTIATION IN INDIA 211
LEADERSHIP ON THE BIG SCREEN: WOMAN IN GOLD 212
7 Leadership in Groups and Teams 213
Fundamentals of Group Interaction 214
Viewing Groups from a Communication Perspective 214
Group Evolution 216
Emergent Leadership 217
How Not to Emerge as a Leader 217
Useful Strategies 218
Appointed vs. Emergent Leaders 219
Leadership in Meetings 220
Group Decision Making 224
Functions and Formats 224
Avoiding the Pitfalls 228
Team Leadership 232
When Is a Group a Team? 232
Developing Team-Building Skills 235
Project Leadership 237
Leading Virtual Teams 240
Team Coaching 244
CHAPTER TAKEAWAYS 246
APPLICATION EXERCISES 247
CULTURAL CONNECTIONS:
AMERICAN AND ASIAN STUDENT GROUPS 248
LEADERSHIP ON THE BIG SCREEN: THE WAY 249
8 Leadership in Organizations 251
The Leader as Culture Maker 252
Elements of Organizational Culture 252
Shaping Culture 255
Creating a Learning, Trusting Culture 260
The Leader as Strategist 267
The Leader as Sensemaker 271
Intergroup Leadership 277
Contents xiii
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The Power of Expectations: The Pygmalion Effect 278
The Communication of Expectations 281
The Galatea Effect 282
Putting Pygmalion to Work 283
CHAPTER TAKEAWAYS 285
APPLICATION EXERCISES 286
CULTURAL CONNECTIONS: PLAYING CATCH-UP IN KOREA 288
LEADERSHIP ON THE BIG SCREEN: ALL THINGS MUST PASS 289
9 Public Leadership 291
The Power of Public Leadership 292
Leading Public Opinion through Public Relations 292
Influencing Audiences through Public Address 298
A Key Leadership Tool 298
Developing Effective Public Speeches 300
Persuasive Campaigns 308
Characteristics of Successful Campaigns 309
Campaign Stages 313
Collaborative (Integrative) Leadership 316
Attributes 317
Skills 317
Behaviors 317
CHAPTER TAKEAWAYS 319
APPLICATION EXERCISES 320
CULTURAL CONNECTIONS: PUBLIC SPEAKING IN KENYA 321
LEADERSHIP ON THE BIG SCREEN: BRAVEHEART 322
10 Leadership and Diversity 323
Managing Diversity—The Core of Leadership 324
Understanding Cultural Differences 324
Defining Culture 324
Classifying Cultures 326
Cultural Intelligence (CQ) 334
Cultural Synergy 336
Fostering Diversity 338
The Benefits of Diversity 338
Obstacles to Diversity 341
Promoting Diversity: Overcoming the Barriers 342
The Gender Leadership Gap: Breaking the Glass Ceiling,
Avoiding the Glass Cliff, and Navigating the Labyrinth 345
Male and Female Leadership Behavior: Is There a Difference?
(And Do Women Make Better Leaders?) 347
Creating the Gap 348
Narrowing the Gap 351
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CHAPTER TAKEAWAYS 355
APPLICATION EXERCISES 356
CULTURAL CONNECTIONS: THE NOT SO UNIVERSAL
LANGUAGE OF SPORTS 357
LEADERSHIP ON THE BIG SCREEN: THE HUNDRED-FOOT JOURNEY 359
11 Ethical Leadership and Followership 361
The Importance of Ethics 362
The Ethical Challenges of Leadership:
Casting Light or Shadow 362
The Challenge of Information Management 362
The Challenge of Responsibility 364
The Challenge of Power 366
The Challenge of Privilege 367
The Challenge of Loyalty 368
The Challenge of Consistency 368
Components of Ethical Behavior 370
Component 1: Moral Sensitivity (Recognition) 370
Component 2: Moral Judgment 371
Component 3: Moral Motivation 371
Component 4: Moral Character (Implementation) 372
Ethical Perspectives 374
Kant’s Categorical Imperative 374
Utilitarianism 375
Justice as Fairness 375
Virtue Ethics 377
Altruism 382
Leaders as Servants 385
Meeting the Ethical Challenges of Followership 389
Servant Followership 391
Courageous Followership 391
CHAPTER TAKEAWAYS 395
APPLICATION EXERCISES 397
CULTURAL CONNECTIONS: MORAL TASTE BUDS 398
LEADERSHIP ON THE BIG SCREEN: ANGELS IN THE DUST 399
12 Leader and Leadership Development 401
Leader Development: A Lifelong Journey 402
A Proactive Approach to Leader Development 402
Raise Your Developmental Readiness Level 403
Seek Out Leadership Learning Opportunities 404
Establish Developmental Relationships 407
Capitalize on Your Experiences 412
Contents xv
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Leader Development as an Internal Process 419
Stephen Covey: The 7 Habits of Highly Effective People 419
Kevin Cashman: Leadership from the Inside Out 421
The Role of Spirituality in Leader Development 422
Leadership Transitions 425
Leadership Passages 426
Taking Charge 428
Succession Planning 431
CHAPTER TAKEAWAYS 433
APPLICATION EXERCISES 434
CULTURAL CONNECTIONS: COACHING ACROSS CULTURES 435
LEADERSHIP ON THE BIG SCREEN: THE INTERN 436
13 Leadership in Crisis 437
The Crucible of Crisis 438
Anatomy of a Crisis 439
Crisis Types 439
Crisis Stages 440
Crisis Leadership 443
Precrisis Leadership 444
Leading during the Crisis Event 451
Postcrisis Leadership 455
Extreme Leadership 466
CHAPTER TAKEAWAYS 469
APPLICATION EXERCISES 471
CULTURAL CONNECTIONS: BATTLING EBOLA AND CULTURE 472
LEADERSHIP ON THE BIG SCREEN: PATRIOTS DAY 473
Endnotes 475
Bibliography 519
Index 562
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Preface
Readers of the previous editions of Leadership: A Communication Perspective
will note a variety of changes. New material and research highlights have been
added on a number of topics. For instance: transcendent followership, the leader-
ship skills approach, alternative pathways to outstanding leadership, team coach-
ing, escalation of commitment, strategy, invisible leadership, cultural intelligence,
raising leadership development readiness, 360-degree feedback, trigger events, sit-
uational crisis communication theory, and resilience. You’ll find revised coverage
of a number of other topics, including, for example, identity and leadership, the
traits approach, authentic leadership theory, Taoism, public relations, and persua-
sive campaigns.
Examples, sources, and cases have been updated 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 as are a majority of the Cultural
Connections features. There are new case studies on The Container Store, Alibaba’s
Jack Ma, Zappos, Airbnb, Sheryl Sandberg, Uber, Colombian President Juan Man-
uel Santos, Waffle House, Chipotle, and leadership in Antarctica. New self-assess-
ments measure readers’ perceptions of emotional language, personal leadership
style, motivation to lead, organization-public relationships, cultural intelligence,
servant leadership, and personal leadership skills. Leadership: A Communication
Perspective continues to integrate theory and practice. Each chapter blends discus-
sion of research and theory with practical suggestions for improving leadership
effectiveness. Chapter takeaways highlight important concepts and action steps.
Application exercises provide the opportunity to further explore and practice chap-
ter concepts.
Chapter 1 examines the relationship between leadership and communication
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 com-
munication styles as well as the link between information processing, identity, and
style selection. Chapters 3 and 4 summarize the development of leadership theory
with an overview of the traits, situational, functional, relational, transformational,
xvii
xviii Preface
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charismatic, CIP, and authentic approaches. Chapters 5 and 6 focus on two ele-
ments—power and influence—that are essential to the practice of leadership.
The next three chapters provide an overview of leadership in specific contexts.
Chapter 7 introduces group and team leadership and describes the special chal-
lenges of leading project and virtual teams. Chapter 8 is a discussion of organiza-
tional leadership with particular focus on the creation of culture, developing
strategy, sense making, and the communication of expectations. Chapter 9 exam-
ines 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 outlines 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 leadership in preventing
and responding to crises and addresses leadership in extreme contexts.
As noted in the preface to previous editions, this text is designed as an intro-
duction 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 Communica-
tion Perspective as our contribution to a continuing dialogue with you on the sub-
jects of leading and following. Throughout the book we’ll invite you to disagree
with our conclusions, generate additional insights of your own, debate controver-
sial issues, and explore topics in depth through research projects, reflection
papers, and small group discussions. We hope you will discover additional topics
that you think are essential to the study and practice of leadership and will investi-
gate them on your own.
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�����
1
Leadership and Communication
�
Leadership is action, not position.
—Donald McGannon
�
OVERVIEW
Leadership: At the Core of Human Experience
Defining Leadership
The Symbolic 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
1
2 Chapter One
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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 think-
ers have theorized about how people lead one another.1 One reason for the fascina-
tion with this subject lies in the very nature of human experience. Leadership is all
around us. We get up in the morning, open up our tablets or smart phones, turn on
our computer, radio, or television, and discover what actions leaders all over the
world have taken. We attend classes, go to work, and interact in social groups—all
with their own distinct patterns of leadership. Our daily experiences with leader-
ship are not that different from the experiences of individuals in other cultures.
Leadership is an integral part of human life in rural tribal cultures as well as in
modern industrialized nations. Assessing your past leadership efforts can provide
a good starting point for understanding why the success of leadership often varies
so significantly. Identify your own best and worst leadership moments and what
you learned from these experiences by completing the self-assessment exercise in
box 1.1.
Followers prosper under effective leaders and suffer under ineffective leaders
whatever the context: government, corporation, church, mosque 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. The
perspective, however, 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 considering the special nature of
human communication and the unique qualities of leadership.
Defining Leadership
As noted above, leadership is a fundamental element of the human condition.
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
Leadership and Communication 3
Box 1.1 Self-Assessment Your Best and Worst Leadership Moment3
We all have had leadership success at some point. Whether in high school, college, in a music
group, in sports, in a condominium association or religious group, or on the job, we have all
accomplished goals through other people. We have all acted as leaders. Looking back over your
experiences, what is the moment that you are most proud of as a leader? Describe the details of
that moment below.
Not only have we had leadership success, we’ve also endured leadership failure. Becoming a
leader requires reflecting on and learning from past miscues so that you don’t repeat errors. What
was your worst 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
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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 summit—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 over-
hanging 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, disorienta-
tion, 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 pres-
sure to summit. 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.
Leadership and Communication 5
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The Symbolic Nature of Human Communication
Communication theorist Frank Dance defines symbols as abstract, arbitrary
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 collection 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 consid-
ered 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
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
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
person 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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Communication is based on the transfer of symbols, which allows individuals
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 interpretation. 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 writ-
ing skills influence your perception of our message. 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 expectations implied
in the “motivated” label; they may lower their performance to meet the low expec-
tations 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 communication 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 commu-
nication 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 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 predetermined 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 ineffective 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 char-
acteristics of human communication.
�
Words can destroy. What we call each other ultimately
becomes what we think of each other, and it matters.
—Jeane Kirkpatrick
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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 work out with the college’s highly suc-
cessful men’s basketball team. A number of employees were upset with the way the president
handled this important announcement. What do you think?
(continued)
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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 exam-
ple. Does a conversation begin when two people enter a room? When they first see
each other? When they begin talking? Barnlund, and others, would suggest that a
conversation actually “begins” with the experiences, skills, feelings, and other char-
acteristics 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 Barn-
lund. In the earliest description of the communication process, a source transmit-
ted a message to a receiver in much the same way that an archer shoots an arrow
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
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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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 messages,
known as feedback, were included in the next explanation of communication—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 below, communication resembles a
game of tennis.
The evolution of the circular explanation of communication was completed
with the development of Barnlund’s transactional model. The transactional
approach assumes that messages are sent and received simultaneously by source/
receivers. The ongoing, continuous nature of the process of communication is
implicit in this model.
In the transactional model, diagrammed at the top of p. 10, communicators
simultaneously transmit and receive messages. Effective communicators pay close
attention to the messages being sent to them as they talk with others. The typical
classroom lecture 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 lec-
ture is interesting, listeners respond with smiles, head nods, and questions. If the
lecture is boring, class members may fidget, fall asleep, text their friends, or glance
frequently at their phones. These responses are transmitted throughout the lec-
ture. Thus, both the instructor and students simultaneously act as message source
and receiver.
Action Model of Communication
source receiver
Interaction Model of Communication
feedback
source receiver
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Communication is complex. Communication involves more than just one per-
son sending a message to another. The process involves the negotiation of shared
interpretations and understanding. Barnlund explains that when you have a conversa-
tion 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 inap-
propriate, 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 continue 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 communi-
cation, we will examine the special nature of leadership communication.
sourcereceiver
Transactional Model of Communication
source receiver
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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, “Leadership 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 gone up dramatically given
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 pri-
mary 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.” Exam-
ples 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 num-
ber 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 leadership 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 orienta-
tion in the following definitions:
• the behavior of an individual when he/she is involved in directing group
activities;16
• 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 dif-
ference between leadership and persuasion. Persuasion involves changing attitudes
and behavior through rational and emotional arguments. Since persuasive 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
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work together as partners to reach their goals. Success is the product of leaders’
and followers’ joint efforts. Joseph Rost highlights the interdependence 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 partner-
ship with followers.19
�
Leadership is not something you do to people,
but rather something you do with people.
—Kip Tindell
Combining our discussion of human communication with the definitional ele-
ments 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 other textbooks have defined leadership, see box 1.4.)
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
“The process of influencing an organized group toward accomplishing its goals.”—Richard
Hughes, Robert Ginnett, and Gordon Curphy23
“Leadership is social influence. It means leaving a mark, it is initiating and guiding, and the
result is change. The product is new character or direction that otherwise would never be.”—
George Manning and Kent Curtis24
“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 Newstrom25
“. . . We can define leadership as the ability to inspire confidence and support among the peo-
ple who are needed to achieve organizational goals.”—Andrew Dubrin26
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Leaders vs. Managers
Management is often equated with leadership. However, leading differs signifi-
cantly from managing. Managers may act as leaders, but often they do not. Simi-
larly, employees can take a leadership role even though they do not have a
managerial position. Leadership experts James Kouzes and Barry Posner suggest
the following exercise to highlight the differences between leaders and managers.
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 activi-
ties, 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 organizational stability.
According to these authors, “When we think of leaders, we recall times of turbu-
lence, conflict, innovation, and change. When we think of managers, we recall
times of stability, harmony, maintenance, and constancy.”27
�
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.28 The management process for cre-
ating an agenda involves planning and budgeting. Managers at this stage tend to
focus on time frames, specific details, analysis of potential risks, and resource alloca-
tion. By contrast, leaders create an agenda by establishing direction and communi-
cating 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. air-
line industry, Kelleher had a clear vision of the strategy and leadership practices nec-
essary to make Southwest Airlines a success. He made employees top priority by
making work fun, communicating constantly with workers and empowering them to
do whatever it takes to satisfy customers. As other airlines moved in and out of bank-
ruptcy, Southwest was consistently profitable. The presence of a shared and mean-
ingful 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 man-
agement 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 integration, teamwork,
and commitment. (The Leadership on the Big Screen feature at the end of the
chapter describes a leader who was able to align both his superiors and his follow-
ers behind his vision.)
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The execution of the agenda from a management perspective involves control-
ling 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 followers is Dutch Brothers Cof-
fee. The drive-thru coffee chain headquartered on the West Coast operates under
an Optimist’s Creed that encourages enthusiasm and looking at the “sunny side of
everything.” The company was rated highest in customer satisfaction among spe-
cialty coffee retailers largely because of its fun-loving, high-energy baristas.29
According to Kotter, the outcomes of management and leadership differ signif-
icantly. Management produces orderly results. Leadership, on the other hand,
often leads to useful change. Both these activities are important in the overall suc-
cess of groups and organizations. To be successful, organizations must consistently
meet their current commitments to customers, stockholders, employees, and oth-
ers, and they must also identify and adapt to the changing needs of these key con-
stituencies 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.30 Those interested 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 investiga-
tors argue for a broader conception of leadership that includes an exploration of those
whose impact on others is damaging, noting that bad leadership is more common
that we would like to think.31 (For a closer look at bad followership, turn to box 1.5.)
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.32 These bad leaders
can teach us a great deal about good leadership, however. 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 leadership in chapter 11); help us prevent ethi-
cal 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.
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They are extroverts who are seen as energetic and charismatic.33 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 vio-
late 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 contribute 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 follow-
ers. Unchallenged, they exert even more control and, over time, low power individ-
uals modify their emotions and attitudes to match their leaders.
Box 1.5 Research Highlight Bad Followership34
There are bad followers just as there are bad leaders. In fact, bad followership makes bad lead-
ership possible. For example, top executives at Volkswagen wouldn’t have been able to install
software that defeated emissions tests in 11 million diesel cars without the help of a host of fol-
lowers. Engineers designed the “defeat device,” managers authorized its installation, and engine
and product development personnel incorporated it into the vehicles.
Pennsylvania State University professor Christian Thoroughgood and his colleagues believe
that there are factors that make followers susceptible to the influence of destructive leaders.
They divide susceptible followers into two categories—conformers and colluders. Conformers
engage in bad behavior as they obey their leaders. ( They wouldn’t misbehave on their own.) Col-
luders, on the other hand, actively support and contribute to the leader’s destructive mission.
Conformers and colluders then break down into these categories:
Conformers: Lost Souls. Lost souls are highly needy. They are vulnerable to destructive lead-
ers because (1) they have basic unmet needs (for love and recognition, for instance), (2) are expe-
riencing high levels of stress (e.g., going through a divorce, flunking out of school), (3) lack a clear
sense of identity, and (4) have low self-esteem. They comply because they admire and identify
with the leader, who offers them direction and community, and seek the leader’s approval.
Conformers: Authoritarians. Authoritarians have a strong belief in hierarchy. They reflect an
unconditional respect for authority, reject uncertainty, and believe in a just world where people
get what they deserve. They comply because they are convinced that leaders have a legitimate
right to demand obedience because they occupy leadership roles.
Conformers: Bystanders. Bystanders appear to be the most common type of bad followers.
Passive, they are motivated by fear. They comply because are convinced that they will be punished
if they object or disobey the orders of their destructive leaders. Bystanders typically have negative
self-evaluations that persuade them that they can’t resist, must submit to whoever is in power,
and are victims. Good at reading elements of the situation, they stay passive in order to avoid pun-
ishment. These individuals are often introverts who lack a courageous, prosocial orientation.
Colluders: Opportunists. Opportunists share the dark qualities of their destructive leaders.
They carry out the unethical and illegal directives of leaders because they believe they will be
rewarded for doing so. Opportunists are ambitious, greedy, exploitive, and lacking in self-control.
Rewards—money, status, power—are the key to motivating their compliance.
Colluders: Acolytes. Acolytes are true believers who actively partner with their leaders. Self-
motivated, they share the leader’s vision and values. If they believe the leaders can achieve the
organization’s toxic goals, they are highly motivated to join in destructive behavior.
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Many leaders are narcissistic.35 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 compe-
tent.36 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 obedi-
ence 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.37 Italian philosopher Niccolò Machiavelli argued in The
Prince that political leaders should maintain a positive public image while using
any means possible (ethical or unethical) to achieve their goals. According to mod-
ern psychologists and communication scholars, highly Machiavellian 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 leaders 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 emotionally 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
cooperation, 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 trusting and cooperative,
which lowers organizational productivity.38
Cognitive errors. Bad leadership is also the product of poor decision mak-
ing.39 Officials at NASA ignored the possible damage to the Columbia shuttle, for
example. A piece of debris hit the capsule upon liftoff but mission leaders didn’t
think the problem was even worth mentioning to the shuttle crew. The spacecraft
then disintegrated upon returning from space when superheated gas entered
through a hole in its protective shield (caused by the debris strike), killing seven
astronauts. Common leader errors occur when (1) gathering and organizing infor-
mation (e.g., failing to contact an important client for feedback, putting off the
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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 employ-
ees, assigning 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 persist in
unethical behaviors when they experience the following:40
• pressure to meet aggressive goals
• intense competition to maintain market share, profitability, etc.
• organizational instability and uncertainty caused by downsizing, mergers,
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
• lack of checks and balances both inside (governing boards, performance
appraisal systems) and outside the organization (the media, governing agen-
cies) 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 leadership
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.41
Incompetent. These leaders do not have the desire or skill (or both) to sustain
effective action. They may lack practical, academic, or social intelligence and can
be careless, dense, distracted, lazy, or sloppy. Former Home Depot CEO Bob
Nardelli illustrates incompetence in action. Recently named one of the worst CEOs
of all time by CNBC television, Nardelli helped the company earn a reputation for
poor customer service by laying off knowledgeable workers and slashing costs.
During his tenure, Home Depot’s stock price dropped and the company lost mar-
ket share to competitor Lowe’s. (He left with a $210 million severance package.)
Later Nardelli was forced out as head of Chrysler.
Rigid. These leaders are unyielding. Although the rigid leader may be compe-
tent, he or she is unable or unwilling to adapt to new ideas, new information, or
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changing times. Russian President Vladimir Putin is one such leader. He jails his
opponents and critics while refusing to yield to world opinion, sending troops into
the Ukraine.
Intemperate. These leaders lack self-control and are aided and abetted by fol-
lowers who are unwilling or unable to intervene. President Donald Trump is con-
sidered by many (including some of his fellow Republicans) to be an intemperate
leader. He tweets out attacks on his opponents and former allies at all hours of the
night. He claims that he won the popular vote in the 2016 election (he did not) and
that there was widespread voter fraud in the election (there is no credible evidence
to back up this assertion). Trump raised fears of nuclear war with his pledge to
bring “fire and fury” down on North Korea in response to that nation’s threat to fire
a missile near Guam.
Callous. These leaders are uncaring or unkind. Martin Shkreli is a contempo-
rary example of a callous leader. Shkreli, founder of Turing Pharmaceutical, raised
the price of a drug largely used by HIV patients and minority and low-income
women by 5,000%. When the US Senate investigated, he complained that the sena-
tors were “trying to make a tempest out of a teacup.”
Corrupt. These leaders, and at least some of their followers, lie, cheat, or
steal—putting self-interest ahead of the public interest. Former FIFA president
Sepp Blatter was forced to resign after many of the leaders of the governing board
of soccer were charged with corruption for taking bribes from broadcasters, ath-
letic apparel companies, and countries hoping to host the World Cup. Investiga-
tions into corruption among FIFA officials continue.
Insular. These leaders, and at least some followers, minimize or disregard the
welfare of others outside the group or organization for which they are directly
responsible. Former Austrian Chancellor Werner Faymann is one example of an
insular leader. After first welcoming Syrian refugees, he then changed course,
severely limiting asylum applications, erecting a fence to keep immigrants out, and
deploying armed forces to the border. As a consequence, many fleeing the civil war
in Syria are stranded in overcrowded camps in Greece.
Evil. These leaders, and at least some followers, commit atrocities that inflict
physical and/or psychological harm on others. Pol Pot, the Cambodian leader from
1975 to 1979, is a chilling example of evil leadership. His Khmer Rouge army was
one of the most brutal in history. During his time as leader, violent deaths in his
country were more common than deaths by natural causes. More than 1.7 million
Cambodians—one-third of the population—were murdered in just four years.
While Kellerman developed her typology based on case studies of prominent
leaders, other investigators focus on ordinary leaders. A group of Norwegian
researchers, led by Ståle Einarsen, offers an alternative typology of destructive
leadership behaviors derived from the organizational context.42 They are careful to
say that organizational leaders are typically not totally good or bad, toxic or non-
toxic. Instead, leaders engage in a mix of constructive and destructive behaviors.
The investigators discovered that constructive behaviors are far more common but
the majority of the respondents they surveyed noted that their immediate supervi-
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sors engaged in at least one type of negative behavior. Destructive leadership is
directed primarily at subordinates, the organization, or at both. Based on these
dimensions, Einarsen’s group outlines five types of leadership behaviors.
1. Constructive leadership behavior supports both the organization as well as
subordinates. Constructive leaders motivate and inspire employees while
using resources wisely to reach organizational goals.
2. Tyrannical leadership behavior serves organizational goals at the expense of
followers. Tyrannical leaders may be highly competent (have technical and
planning skills, for example) but they are abusive to subordinates, using
intimidation, manipulation, and humiliation to try to improve organiza-
tional performance.
3. Derailed leadership behavior works against the interests of both the organi-
zation and subordinates. These leaders skip work, shirk their duties, com-
mit fraud, and steal company equipment and supplies. At the same time,
they attack and undermine subordinates using many of the tactics employed
by tyrannical leaders.
4. Supportive-disloyal leadership behavior is pro-follower but anti-organiza-
tion. These leaders care for their subordinates and build positive relation-
ships with them. However, they allow employees to benefit at the expense of
the organization by, for instance, allowing them to take too much time off,
shirk their duties, steal, and so on. Supportive-disloyal leaders may also pur-
sue goals that are different than those of the organization, encouraging
employees to work hard but for the wrong objectives.
5. Laissez-faire leadership behavior is passive behavior that undermines the orga-
nization as well as subordinates. Laissez-faire leaders avoid interacting with
followers when they can, delay decisions, provide little feedback, and make no
effort to motivate employees to reach organizational goals. Doing nothing
reduces employee satisfaction and commitment and hurts group performance.
The Leader/Follower Relationship
Clarifying the relationship between leading and following is the final step in
defining leadership. Earlier we noted that leaders and followers function collabora-
tively. Recognizing that leaders and followers work together toward shared objec-
tives should keep us from overemphasizing the importance of leaders or ignoring
the contributions of followers. Unfortunately, we generally pay a lot more attention
to leaders than to followers. Using “leadership” as a Google search term, for exam-
ple, generated approximately 774 million results while “followership” only gener-
ated 546,000. (The Microsoft Word spell-check feature marks the word
“followership” as a misspelling.) Leaders get the vast majority of credit when busi-
nesses like Facebook or Twitter are successful. However, these companies would
not have succeeded without the hard work of software and hardware engineers,
programmers, supervisors, customer service representatives, administrative assis-
tants, and other followers. Scholars, too, have been slow to recognize the value of
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followers. An analysis of articles in The Leadership Quarterly from 1990 (the first
year the journal was published) to 2008 revealed that only 14% included any form
of the word “follower” in the title or abstract.43
Shifting some of the spotlight from leadership to followership is one way to
assure that followers get the credit they deserve. This shift appears to be taking
place. Not only are more followership books and articles being published, but there
is also evidence that followers play an increasingly important role in the modern
world. In America, the decades of the 1960s and 1970s saw the birth of the civil
rights, antiwar, and gay rights movements, all of which were driven by followers.
Americans of all political persuasions learned to distrust authority. As a result,
constituents gained power at the expense of leaders, a trend that has continued to
the present. Information and computer technology have empowered followers
around the world. Time magazine recognized the power of followers by naming
“the protester” as the 2011 Person of the Year.44 Protesters brought down regimes
in the Middle East, challenged corruption in India and Russia, and drew attention
to economic inequality in Europe and North America.
Recognizing that leadership duties can be widely distributed is another way to
ensure that followers are properly recognized. In shared leadership, group and orga-
nizational members share the responsibility for achieving collective goals.45 Shared
leadership can take several different forms. Two individuals might function as co-
leaders by jointly occupying a leadership position, as in the case of William Hewlett
and David Packard, cofounders of the technology giant HP. In another form of shared
leadership, group members divide up leadership functions or take turns rotating in
and out of leadership roles. For instance, members of a firm’s executive team may
each take responsibility for one component of a merger plan—finance, operations,
products, personnel. Or different team members may take the lead depending on the
plan’s stage of development. The chief financial officer (CFO) might be in charge as
the company determines if a proposed merger will be profitable. The human
resource director will likely coordinate salary and benefits when the two groups of
employees are brought together after the merger is approved. In yet another form of
shared leadership, leadership duties are disbursed throughout the organization
rather than concentrated in the hands of a few individuals at the top of the hierarchy.
Frontline supervisors and their teams are empowered to make hiring and firing deci-
sions (see chapter 5), for example, or to shut down the production line.
Describing leaders and followers as relational partners who play complementary
roles is the best way to capture what followership means.46 Leaders exert a greater
degree of influence and take more responsibility for the overall direction of the group.
Followers, on the other hand, are more involved in implementing plans and carrying
out the work. Most people routinely shift between leader and follower functions dur-
ing the course of the day. As a student you must follow in the classroom, but you may
also lead a class project group or an intramural sports team. In recognition of this
fact, we suggest that you make a mental note to think of yourself not as a leader or a
follower, but as a leader-follower. Recognize, too, that you can learn to lead by follow-
ing and learn to follow by leading. Leadership can prepare us for followership in the
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same way that following prepares us for leading. By observing our followers we can
gain insights into what we should (and shouldn’t) do when we serve in a follower role.
�
A good leader can’t get too far ahead of his [her] followers.
—Franklin D. Roosevelt
As you can see, followers play an active, vital role in the success of any group,
organization, or society. They are neither passive nor subservient. Throughout this
text we will use alternative terms like “constituents,” “stakeholders,” or “collabora-
tors” along with “followers” to help drive home this point. We also believe that
effective leadership is based on service, not hierarchy. In the upcoming discussions
of transformational leadership in chapter 4 and ethical leadership in chapter 11, we
suggest that truly great leaders serve rather than rule because they recognize that
those whom they lead entrust them with leadership responsibilities.
Followership expert Robert Kelley sums up the work of followers and leaders
this way:
In reality followership and leadership are two separate concepts, two separate
roles. . . . Neither role corners the market on brains, motivation, talent, or action.
Either role can result in an award-winning performance or a flop. The greatest
successes require that the people in both roles turn in top-rate performances. We
must have great leaders and great followers.47
Viewing Leadership from a Communication Perspective
From our perspective, leadership is first, and foremost, a communication-
based activity. Leaders spend much of their time shaping messages that are then
presented to a variety of follower, constituent, and stakeholder groups. It is also
true that the more leadership responsibility one has, the more one’s job focuses on
communication. Certainly political leaders, executives, coaches, educators, and
religious figures alike all share this common characteristic—the higher the level of
leadership, the higher the demand for communication competence. Highly compe-
tent leaders are willing to engage in communication, use stories effectively, skill-
fully use and respond to emotions, and create the desired impressions.
Willingness to Communicate
Leadership effectiveness depends on our willingness to interact with others
and on developing effective communication skills. Those who engage in skillful
communication are more likely to influence others. Communication professors
James McCroskey and Virginia Richmond developed the Willingness to Commu-
nicate (WTC) scale to measure the predisposition to talk in a variety of situa-
tions.48 Take a few minutes to complete the WTC instrument in box 1.6, and then
compute your total score as well as your scores for each of the subscales.
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Box 1.6 Self-Assessment Willingness to Communicate Scale (WTC)49
Directions: Below are 20 situations in which a person might choose to communicate or not to
communicate. Presume you have completely free choice. Indicate in the space at the left what per-
centage of the time you would choose to communicate in each type of situation. You can choose
any percentage ranging from 0% (never communicating) to 100% (always communicating).
______ 1. Talk with a service station attendant.
______ 2. Talk with a physician.
______ 3. Present a talk to a group of strangers.
______ 4. Talk with an acquaintance while standing in line.
______ 5. Talk with a salesperson in a store.
______ 6. Talk in a large meeting of friends.
______ 7. Talk with a police officer.
______ 8. Talk in a small group of strangers.
______ 9. Talk with a friend while standing in line.
______ 10. Talk with a waiter/waitress in a restaurant.
______ 11. Talk in a large meeting of acquaintances.
______ 12. Talk with a stranger while standing in line.
______ 13. Talk with a secretary.
______ 14. Present a talk to a group of friends.
______ 15. Talk in a small group of acquaintances.
______ 16. Talk with a garbage collector.
______ 17. Talk in a large meeting of strangers.
______ 18. Talk with a spouse (or girl/boy friend).
______ 19. Talk in a small group of friends.
______ 20. Present a talk to a group of acquaintances.
The WTC is designed to indicate how willing you are to communicate in a variety of contexts,
with different types of receivers. The higher your WTC total score, the more willing you are to com-
municate in general. Similarly, the higher your given subscore for a type of context or audience,
the more willing you are to communicate in that type of context or with that type of audience.
Scoring: The WTC permits computation of one total score and seven subscores. The sub-
scores relate to willingness to communicate in each of four common communication contexts
and with three types of audiences. To compute your scores, merely add your scores for each item
and divide by the number indicated below.
Subscore Desired Scoring Formula
Group discussion Add scores for items 8, 15, and 19; then divide by 3.
Meetings Add scores for items 6, 11, and 17; then divide by 3.
Interpersonal conversations Add scores for items 4, 9, and 12; then divide by 3.
Public speaking Add scores for items 3, 14, and 20; then divide by 3.
Stranger Add scores for items 3, 8, 12, and 17; then divide by 4.
Acquaintance Add scores for items 4, 11, 15, and 20; then divide by 4.
Friend Add scores for items 6, 9, 14, and 19; then divide by 4.
To compute the total WTC scores, add the subscores for stranger, acquaintance, and friend.
Then divide by 3.
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McCroskey, Richmond, and their colleagues report that overall scores on the
WTC scale are directly related to communication behavior. Individuals with high
WTC scores communicate more frequently and for longer periods of time than
people with low WTC scores. Increased communication activity, in turn, leads to a
number of positive outcomes in the United States, a society that values individual-
ism and assertiveness (see chapter 10). Speaking up is not viewed as favorably in
other cultures, such as some Asian societies, that put more emphasis on the needs
of the group as a whole.50 In the United States:
• High WTCs are viewed as more credible and attractive and are more often
identified as opinion leaders.
• People who speak frequently in small groups are more likely to hold leader-
ship positions (see chapter 7).
• Talkative people are more likely to be hired and promoted. They also stay
with organizations longer than their quiet colleagues.
• Willing communicators rate themselves higher as competent communica-
tors and report that they are more skilled at using humor.51
• High WTCs are rated as more socially and sexually attractive by members of
the opposite sex.
• Students who are more willing to communicate with people from different
cultures have more friends from other countries and are more willing to
interact with international students on campus.52
• Soldiers release stress by being willing to talk about problems in group settings.53
• Those who are more willing to communicate are also more open to change
and enjoy tasks that require thought.54
There are a number of reasons why we may be reluctant to interact with oth-
ers: we may have inherited a tendency to be shy, introverted, and anxious about
communication; put a low value on talk; feel alienated from other people; suffer
from low self-esteem; or experience fear or anxiety about specific communication
situations. In some cases, we’re reluctant to communicate because of a skill defi-
ciency. We don’t know how (or think we don’t know how) to communicate effec-
tively. This perceived deficiency becomes a vicious cycle. Thinking we can’t
Norms for WTC Scores
Group discussion > 89 High WTC, < 57 Low WTC
Meetings > 80 High WTC, < 39 Low WTC
Interpersonal conversations > 94 High WTC, < 64 Low WTC
Public speaking > 78 High WTC, < 33 Low WTC
Stranger > 63 High WTC, < 18 Low WTC
Acquaintance > 92 High WTC, < 57 Low WTC
Friend > 99 High WTC, < 71 Low WTC
Total WTC > 82 High Overall WTC, < 52 Low Overall WTC
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communicate successfully, we avoid interaction. As a consequence, we don’t get
the practice we need and therefore can’t communicate as well.
We can reverse the cycle by developing our skills. Skill development builds
confidence and encourages us to talk. When we communicate, we practice our
skills and increase our effectiveness. This results in greater self-assurance, making
it even more likely that we’ll participate in future interactions. In one study, for
example, students enrolled in an introductory public speaking course significantly
increased their willingness to give speeches during the semester. Those who were
the least willing to give speeches at the beginning of the class saw the most rapid
improvement.55 (Box 1.7 describes another leadership skill we can improve
through practice.)
Box 1.7 Research Highlight Leading with Questions56
Asking effective questions is a critical skill for leaders. In his book, Leading with Questions, profes-
sor and consultant Michael Marquardt builds a case for exercising leadership through questioning.
To discover how successful leaders use inquiries, Marquardt interviewed 22 leaders from around
the world who are known for their questioning abilities. His sample included top-level executives
at DuPont, Novartis, and ConocoPhillips Petroleum, as well as academic leaders and nonprofit offi-
cials drawn from Brazil, Finland, North America, Malaysia, Korea, Mauritius, and Switzerland.
Professor Marquardt found that asking questions instead of providing answers creates a
“questioning culture.” In a questioning culture, members challenge assumptions, encourage
inquiries, and find creative ways to solve problems. Both groups and individuals benefit as a
result. Questions promote organizational learning; improve collective problem solving and deci-
sion making; produce greater adaptability; energize followers; encourage teamwork; and foster
innovation. Individuals working in a questioning climate experience greater self-awareness, self-
confidence, openness, and personal flexibility. They become better listeners; are more comfort-
able expressing and managing conflict; develop keener insight into organizational dynamics and
relationships; and demonstrate stronger commitment to learning and personal development.
Unfortunately, leaders are often quick to provide answers instead of asking questions, based
in part on their belief that followers are looking to them for solutions. When leaders do ask ques-
tions, they may put others on the defensive. Examples of judgmental questions include: “Why are
you behind schedule?” and “What’s the problem with this project?” According to Marquardt,
leaders must admit when they don’t have the answers and ask questions that encourage follow-
ers to come up with their own solutions. For example: “How do you feel about the project thus
far?”; “What have you accomplished so far that you are most pleased with?”; “What key things
need to happen to achieve your objective?”
Moving from judgmental questions to productive ones takes a shift in mind-set as well as
behavior. Leaders need to begin with a commitment to learn rather than to judge. They should
frame questions in a nonthreatening manner to express curiosity and to open dialogue. They can
set the stage for inquiries by spelling out what they desire from the conversation (“I hope to get a
better idea of why costs are up,” “I want to understand your feelings about the reorganization
plan”). The questioning leader should allow the other person enough time to reflect and to
respond and show genuine interest in the reply. Finally, it is critical to follow up on information
and concerns. As one nonprofit executive in Marquardt’s sample noted: “The power of questions
can only be realized through learning, follow up, and change. The leader who asks questions and
doesn’t pay attention to the answers quickly loses credibility.”
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Storytelling as Leadership
One of the primary ways in which leaders shape reality is through storytelling.
As Washington College professor Michael Harvey explains, “Leaders frame stories
and events to help [followers] understand the world, themselves, and other groups,
as well as to identify or solve problems.”57 Stephen Denning suggests that leader-
ship is an “interactive” endeavor largely shaped by narrative.58 This is not to sug-
gest that abstract reasoning and analysis are not important to leadership, but
rather that storytelling is a valuable supplement to these generally recognized
aspects of leadership. Leaders tell their stories in a variety of informal and formal
contexts, from conversations over a cup of coffee to formal presentations. Through
stories leaders can connect themselves with others, building strong relationships
and a sense of affiliation. Stories carry multiple messages. Among other functions,
they reflect important values, inspire, and describe appropriate behavior. Further,
when leaders tell compelling stories they influence others to pick up the same story
line, thus extending the narrative. This process of retelling stories (often in a
revised form by those who follow) is part of the cocreation of meaning that is cen-
tral to storytelling. Royal Dutch Shell Group offers a good example. The group’s
managing directors first developed their own story lines about needed change and
the future and then engaged the next layers of management in crafting their ver-
sions. Tales were told for years of profitable growth and technical leadership.
These stories were then retold throughout the company across sites in more than
100 countries. As a result, all those concerned understood the case for change and
told each other what they would have to do to bring the “new reality” into being.59
�
The right anecdote can be worth a thousand theories.
—Warren Bennis
Denning proposes that there are eight general categories of stories that leaders
can use to assist in achieving their goals.60
Sparking action. These stories describe how a successful change was imple-
mented in the past, allowing listeners to imagine how such a change might work in
their situation. These “springboard” stories enable listeners to visualize the large-
scale transformation required. For example, as program director of knowledge
management for the World Bank in the mid-1990s, Denning struggled to get his
colleagues to see the importance of the need for a central repository for the infor-
mation scattered throughout the organization. The message was falling on deaf
ears until Denning found a “springboard” story. He framed the need for collecting
and sharing information at the World Bank by describing how technology was
changing the landscape of our planet. The story he told involved a health worker in
1995 in a remote village in Zambia who logged on to the website of the Centers for
Disease Control and Prevention in Atlanta, Georgia, and got an answer to a ques-
tion on how to treat malaria. When this story was added to the presentation, audi-
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ence members were able to visualize how the information collected in their
organization might be used.
Communicating who you are. These stories reveal your identity to an audi-
ence, building trust and creating a connection. Political leaders such as Elizabeth
Warren and Sarah Palin, for example, write books, maintain websites, and give
speeches designed to present a desired image of themselves to the electorate.
�
Leadership is personal. Do the people you lead know who you are,
what you care about, and why they ought to be following you?
—Ron Sugar
Communicating the brand. These organizational stories are designed to
communicate brand image to customers. Cosmetic retailer The Body Shop created
a global brand without using conventional advertising. Brand identity was commu-
nicated through the stories of the company founder, the late Anita Roddick, and
through commitment to a model of commerce-with-a-conscience.
Transmitting values. These stories reflect and reinforce organizational values
by telling audience members “how things are done around here.” Leaders at Costco
are particularly skilled at telling stories as a means for transmitting organizational
values. Costco is an $89 billion business. Jim Sinegal, the founder and retired CEO
of the company, loved to tell visitors the “salmon story” to highlight Costco’s focus
on raising quality while lowering prices. A team of employees was able to improve
the quality of salmon filets by removing excess parts while, at the same time, lower-
ing the cost from $5.99 to $4.99 a pound. The story is told in a wall display in the
lobby of corporate headquarters and the firm created the Salmon Award. This
annual award recognizes outstanding employee performance. New salmon stories
are generated every time it is given out.61
Fostering collaboration. These stories encourage people to work together by
generating a narrative to illustrate common concerns and goals. (Turn to the Cul-
tural Connections feature at the end of the chapter to see how one cultural group
uses storytelling to foster connection.) As noted earlier, Southwest Airlines is an
organization with a clear set of common concerns and goals. Stories are frequently
used to reinforce this collaborative culture. One such story is that of a Southwest
Airlines pilot who quickly exited his flight after arrival only to return a short time
later for preflight checks for his return trip. Where had he been? Getting a quick
cup of coffee? No, he had climbed in the front bin of the aircraft on a cold and
windy day to unload all of the mail and freight—with no gloves, knee pads, or
coat—while the other agents off-loaded the bags in the back.62
Taming the grapevine. These stories highlight the incongruity between
rumors and reality. For example, one might deal with a false rumor of imminent
corporate-wide reorganization by jokingly recounting how difficult it is to work
out the seating chart at the executive committee meetings. It is important to be
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careful with these types of stories as mean-spirited humor can generate a well-
deserved backlash and the denial of a rumor that turns out to be true can have a
devastating impact on credibility.
Sharing knowledge. These stories focus on problems and show, in detail, how
corrections were made and why the solution worked. Many organizations use an
after-action review (AAR) in this manner. AARs are assessments conducted after a
project or major activity that allow employees and leaders to explore what hap-
pened and why. They may be thought of as a professional discussion of an event
that enables employees to understand why things happened during the progression
of the process and to learn from that experience. AARs can be useful in a variety of
situations, including: following the introduction of a new product line or computer
system upgrade, after a busy holiday season in a retail store, or after a major train-
ing activity or a change in procedures. The discussion during the AAR allows lead-
ers to use sharing knowledge stories to improve subsequent organizational
responses to similar situations. (We’ll take a further look at debriefing in chapter 7.)
Leading people into the future. These stories evoke images of a desired
future. Often such stories provide limited detail while encouraging listeners to
imagine what the future might be. There are many fine historical examples of such
stories, but none, perhaps, had more impact on twentieth century life in the United
States than Martin Luther King, Jr.’s “I Have a Dream” speech. King had a vision of
whites and blacks living in racial harmony; where his children “would be judged,
not by the color of their skin, but by the content of their character.”
Emotional Communication Competencies
The rational dimension of leadership is critical. In the chapters to come, we’ll
outline ways that leaders use thinking and reasoning skills to solve problems, set
goals, negotiate, argue, shape public opinion, adapt to cultural differences, and orga-
nize and deliver effective presentations. Forgetting the emotional side of leadership,
however, would be a mistake. Effective leaders are also skilled at sharing and
responding to emotions. For example, they know how to communicate affection, lik-
ing, and excitement to followers. In addition, they know how to channel their emo-
tions in order to achieve their objectives and to maintain friendly group relations.
Neal Ashkanasy and Peter Jordan argue that successful leaders effectively uti-
lize emotions at five different levels of the organization.63 In their Multilevel Model
of Emotion in Organizations (MMEO), Level 1 is within the person. At this level the
focus is on how leaders experience and respond to emotions. During the course of
a day, leaders must cope with a variety of events beyond their control (rising and
falling stock prices, customer feedback, news stories) that generate positive and
negative responses. Effective emotional leaders communicate confidence and sta-
bility in the face of these emotional ups and downs. Level 2 is between persons.
Leaders differ in emotional intelligence (EI), which is the ability to perceive,
respond to, and express emotions.64 Evidence suggests that outstanding (transfor-
mational) leaders have high levels of EI.65 They use emotions to encourage, inspire,
stimulate, and motivate followers, resulting in significantly higher performance.
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(We’ll take an in-depth look at transformational leadership in chapter 4.) High
emotional intelligence also helps leaders make better decisions, as we’ll see in the
discussion of emotional competencies that follows.
Level 3 is the interpersonal level, which is concerned with interaction within
dyads in the organization. Effective leaders use emotional displays to accomplish
tasks. For instance, an instructor may make supportive comments to students
when they feel overwhelmed by assignments but later express disappointment
about the results of a test to motivate class members to study harder for the next
exam. In addition to employing emotional expressions to achieve goals, successful
leaders use positive, supportive displays to manage relationships and to build trust.
Level 4 describes the group level. Work teams as a whole develop an “affective
tone.” Informal leaders influence moods indirectly through emotional contagion.
Through their example, they help spread emotions like happiness or sadness
throughout the group. Formal leaders exert direct influence on moods. For exam-
ple, groups accomplish more when their appointed leaders are in a positive frame
of mind. The affective tone of the group as a whole improves when formal leaders
develop positive emotional relationships with individual group members.
Level 5 is the organizational level. Effective leaders at this level help create an
emotional tone for the entire organization. Virgin’s Richard Branson, for instance,
is out to create a “fun” organization. Successful leaders don’t suppress emotions but
recognize their importance. They realize that there may be times when negative
feelings should be expressed. For instance, employees under particularly high lev-
els of stress may need to voice their frustrations.
Unfortunately, some proponents of emotional leadership appear to overstate
its importance. They go so far as to argue that nearly all of the competencies that
account for executive success are emotional rather than cognitive in nature.66 They
also label as “emotional” some competencies that seem to have more to do with
thinking than feeling. For instance, some researchers identify conflict management
and influence as emotional skills, but we consider them to be largely rational lead-
ership communication abilities.
Striking a balance between logic and emotion is safer than making one more
important than the other. When it comes to leadership, both are essential.67 Crisis
decision making provides one example of the importance of both cognitive and
emotional competencies (see chapter 13). To avoid making a hasty decision in a
crisis, leaders must exercise a variety of cognitive skills, such as rejecting their
faulty beliefs and assumptions, gathering facts, identifying stakeholders, soliciting
a broad range of opinions, keeping records, and perspective taking. At the same
time, they must employ such emotional skills as managing stress, overcoming
mental and physical fatigue, expressing compassion, and resisting group pressures.
The following set of emotional competencies demonstrates that the success of
followers and leaders depends on how well are they able to integrate emotion and cog-
nition. Skillfully blending feeling and thinking requires the following five skills.68
1. Perception, appraisal, and expression of emotion. Emotional intelligence
begins with the ability to identify, evaluate, and then express emotional
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states. These skills may seem rudimentary, but some people are “emotion-
ally illiterate.” For example, people can be oblivious to the fact that they are
irritating everyone else in the group. While most of us are not this insensi-
tive, we frequently suffer from emotional blind spots. There are times when
we feel uneasy but can’t identify our emotions or when we don’t know
exactly how to express our affection for friends or loved ones.
2. Attending to the emotions of others. Those in a leadership role must under-
stand the feelings of followers in order to connect with them. Consider the
case of a CEO who doesn’t understand that his employees are feeling over-
worked and discouraged. If he fails to acknowledge their frustration and
tries to inspire them to work harder, they aren’t likely to put forth additional
effort. Instead, he will appear out of touch.
3. Emotional facilitation of thinking. Emotional states impact decision-making
styles. Good moods facilitate creative thinking while sad moods slow the
decision-making process and encourage more attention to detail. Both emo-
tional states have a role to play in problem solving. Some problems require
intuitive, broad thinking; others demand a more linear, logical approach.
Emotionally intelligent leaders know how to match the mood with the prob-
lem. Further, they recognize the dangers of ignoring risks when in an opti-
mistic frame of mind, or of being too critical when feeling pessimistic. Using
emotions to facilitate thinking also means channeling feelings in order to
reach goals. For instance, moderate fear of failure can spur us to prepare
before making a presentation. Remembering past successes can reduce our
anxiety before we deliver the speech.
4. Understanding and analyzing emotional information and employing emo-
tional knowledge. This cluster of competencies links symbols to emotions.
Leaders must be able to label what they feel and recognize the relationship
between that label and other related terms. For example, “anger” belongs to
a family of words that includes “irritation,” “rage,” “hostility,” and “annoy-
ance.” (To determine your ability to identify emotional labels, complete the
self-assessment in box 1.8.) The internal states identified by these labels are
connected in specific ways. Irritation and annoyance lead to anger and rage,
not the other way around. Understanding this fact can empower leaders. A
supervisor may decide to postpone a meeting with a disagreeable employee,
for instance, when she senses that her irritation with this individual could
escalate into unwanted anger. Recognizing how emotions blend together is
also important. Surprise is one example of an emotion that rarely stands
alone. When we feel surprised, we generally experience some other emo-
tion—perhaps happiness, disappointment, or anger—at the same time.
5. Regulation of emotion. The last component of emotional intelligence puts
knowledge into action. This set of competencies enables leaders to create the
feelings they desire in themselves and in others. They recognize the power of
emotional contagion, the fact that emotions of one person quickly spread to
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others.69 Emotionally skilled leaders know how to maintain positive moods
and how to repair negative ones. To do so, they employ such tactics as avoid-
ing unpleasant situations, engaging in rewarding tasks, and creating a com-
fortable work environment. In addition, they can step back and evaluate
their feelings to determine if their responses in a situation were appropriate.
Such evaluation can encourage them to remain calm instead of getting upset
and to be more supportive instead of only focusing on the task. Effective
leaders also help others maintain and improve their moods. They use these
skills to create cohesive groups and to inspire and motivate followers.
�
Humans are not, in any practical sense, predominantly rational beings,
nor are they predominantly emotional beings. They are both.
—Peter Salovey
�
. . . leadership is an emotion-laden process,
both from a leader and a follower perspective.
—Jennifer M. George
Box 1.8 Self-Assessment Emotional Word Matrix70
Instructions: You have ten minutes to fill in the boxes below with high-intensity, moderate inten-
sity, and low-intensity descriptors for each of the primary emotions. For example, descriptors for
“happy” can range from ecstatic (high) to delighted (medium) to glad (low). When time is up,
respond to the following questions: Did you find it difficult to complete the matrix? If so, why?
How can you improve your emotional vocabulary?
Intensity
Category High Moderate Low
Happy
Sad
Scared
Angry
Confused
Strong
Weak
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Playing to a Packed House: Leaders as Impression Managers
From a communication standpoint, leaders are made, not born. We increase
our leadership competence as we increase our communication skills. We can com-
pare the leadership role to a part played on stage to illustrate how effective com-
munication skills translate into effective leadership.
Sociologist Erving Goffman and others have adapted Shakespeare’s adage that
life is a stage to develop what is called the dramaturgical approach to human inter-
action. Proponents of this perspective argue that, like actors in a drama, people cre-
ate meaning and influence others through their performances.71 Let’s look at a
typical date, for example. The date is a performance that may take place on any
number of stages: the dance floor, the coffee house, the movie theater, the football
game. The actors (the couple) prepare in their dressing rooms at home before the
performance and may return to the same locations for a critique session after the
date ends. Particularly on the first date, the interactants may work very hard to cre-
ate desired impressions—they engage in “impression management.” Each dating
partner tries to manage the perceptions of the other person by using appropriate
behaviors, which might include dressing in the latest fashions, acting in a courteous
manner, engaging in polite conversation, and paying for meals and other activities.
To see how impression management works, change one aspect of your usual
communication and watch how others respond. If friends have told you that you
seem unfriendly because you are quiet when meeting new people, try being more
assertive the next time you meet strangers at a party. If you make a conscious effort
to greet others, introduce yourself, and learn more about the others at the gather-
ing, you may shake your aloof, unfriendly image.
Leaders also engage in impression management to achieve their goals. Remember
that as a leader you’ll play to a packed house. People in organizations carefully watch
the behavior of the CEO for information about the executive officer’s character and for
clues as to organizational priorities, values, and future directions. They seek answers
to such questions as: “Can I trust him/her?” “What kind of behavior gets rewarded
around here?” “Is she or he really interested in my welfare?” “Is dishonesty tolerated?”
“Are we going to survive the next five years?” “Is this an enjoyable, exciting place to
work?” (See box 1.9 for a closer look at impression management in a public setting.)
Important clues to how we can shape the impressions others have of us can be
gleaned from the examples of outstanding leaders. Charismatic or transforma-
tional leaders are skilled actors who create the impression that they are trustwor-
thy, effective, morally worthy, innovative, and skilled.72 To see how they create
these and other favorable images, turn to chapter 4. Those who study aesthetic
leadership also focus on the performance dimension of leadership. Aesthetic schol-
ars look at how individuals embody leadership through their actions.73 Effective
leaders put on beautiful (aesthetically pleasing) performances. To lead beautifully,
they demonstrate mastery, coherence, and purpose. Mastery means knowing a
particular subject matter (such as the topic of a speech), knowing a communica-
tion skill (like public speaking), and knowing how to use that skill (how long to
speak, for instance). Coherence refers to matching the form of the message with the
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message and objective. Coherent messages authentically reflect the leader’s self.
(Breaking up with a long-term romantic partner via a text message would be con-
sidered inauthentic, for example.) Purpose refers to the goal of leadership. Beauti-
ful performances are ethical—they serve the common good and moral purposes.
Robert Kennedy put on such a performance in 1968. Scheduled to give a presiden-
tial campaign speech in Indianapolis right after the assassination of Martin Luther
King Jr., Kennedy faced a largely black audience primed for violence and revenge.
Kennedy stood on the back of a flatbed truck and for the first time spoke in public
about the assassination of his brother, President John Kennedy. He ended by urging
blacks and whites to put aside their hatred to work together to create a better soci-
ety. The crowd peacefully dispersed and the city remained calm.74
Box 1.9 Research Highlight Performing on the Debate Stage75
Presidential debates highlight the importance of impression management. Williams College
professor George Goethals analyzed presidential debates from 1960–1992 and found that non-
verbal behaviors have a significant impact on the perception of candidates, complementing or
undermining their words. Goethals came to his conclusions after viewing recordings of the
debates, reading the comments of contemporary observers, and showing edited clips to Williams
College students to determine their responses.
Radio audiences gave Richard Nixon higher ratings in his 1960 debate with John F. Kennedy
while television audiences were more favorable to Kennedy. Kennedy appeared confident and
relaxed on screen, while Nixon fidgeted and moved his arms awkwardly. When assuming his
position at the podium, Kennedy walked confidently while Nixon appeared unsure of himself.
Kennedy’s behavior undercut Nixon’s campaign slogan, “experience counts,” and made Kennedy
appear more like the “ideal president.”
During the 1976 campaign (the next time debates were held), Gerald Ford, a former football
player, appeared to dominate the much smaller Jimmy Carter, making Ford appear more com-
manding. That same year, during the vice-presidential debates between Bob Dole and Walter
Mondale, Bob Dole stumbled when he referred to the wars of the twentieth century as “democrat
wars” while leaning against the podium “much like a gunslinger in a saloon in an old west cow-
boy movie.”
Ronald Reagan’s calm, slow manner of speaking reassured debate viewers that he could be
trusted in his campaign against Jimmy Carter in 1980. In 1984, his one-liners about him not hold-
ing opponent Walter Mondale’s youth and inexperience against him played a major role in his
success. In fact, when these jokes and audience reactions were edited out, Mondale came out
the winner among student viewers. Mondale, for his part, failed to communicate warmth in his
facial expressions.
In 1988, George H. W. Bush had a large height advantage over Michael Dukakis (which was
apparent the moment they shook hands at the start of the debate). Bush alluded to Dukakis as
the “iceman who never makes a mistake,” turning a liability into an advantage by implying that
Dukakis might be smarter and more articulate but that he (Bush) was “imperfect but warm.” Later
in the debate Dukakis showed little emotion when asked if he would seek the death penalty
should someone rape and murder his wife. In 1992, Bill Clinton’s sympathetic voice and direct
physical approach to citizens in a town hall debate format made him appear caring and engaged.
On the other hand Bush, who looked at his watch, appeared aloof and distant.
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Many people are uncomfortable with the idea of impression management.
They equate playing a role with being insincere, since true feelings and beliefs
might be hidden. They note that far too often fellow students and coworkers get
ahead by acting like chameleons, changing their behaviors to conform to the
wishes of whatever group in which they find themselves. As we saw in our earlier
discussion of narcissistic and Machiavellian leaders, these are very real dangers.
Self-promotion and ingratiation can trump competence and hard work. However,
research suggests that individuals typically use impression management to project
a public image that is congruent with their self-concepts.76 Followers continually
watch for inconsistencies and often “see through” insincere performances of lead-
ers. Further, impression management is part of every human interaction. Others
form impressions of us, whether or not we are intentional about our behaviors.
Frequently, we have no choice but to play many roles. We are forced into perfor-
mances as job applicants, students, dating partners, and leaders each day. The real
problem is that we often mismanage the impressions we make. Our behaviors may
make us appear dull or untrustworthy when we really are interesting and honest.
Some fear that leaders can manipulate impressions to mislead the group. This is a
legitimate concern (we’ll discuss the ethical dimension of leadership in greater detail
in chapter 11). Yet, impression management is essential for achieving worthy objec-
tives. The state human services director who inspires her employees to meet the needs
of more clients through her use of impression management is helping the disadvan-
taged, making better use of state funds, and boosting the morale of her organization.
Because impression management can be used to further group goals or to sub-
vert them, it should be judged by its end products. Ethical impression management
meets group wants and needs and, in the ideal, spurs the group to reach higher
goals. Organizational impression experts Paul Rosenfeld, Robert Giacalone, and
Catherine Riordan offer the following guidelines for determining if impression
management is beneficial or detrimental to an organization.77 Beneficial impres-
sion management helps the organization achieve its objectives by: (1) promoting
positive interpersonal relationships and increasing cooperation with both those
inside and outside the organization; (2) accurately portraying positive persons,
events, or products to insiders and outsiders; and (3) facilitating decision making,
helping management and consumers make the right choices. Detrimental or dys-
functional impression management damages the organization by (1) blocking or
undermining relationships with those who work with or do business with the orga-
nization; (2) incorrectly casting people, events, or products in a negative light to
insiders and outsiders; and (3) distorting information that results in managers and
consumers reaching the wrong conclusions and/or decisions.
�
In this theater of man’s [woman’s] life it is reserved
only for God and the angels to be lookers on.
—Francis Bacon
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CHAPTER TAKEAWAYS
• Leadership attracts universal attention. Historians, philosophers, and social sci-
entists have attempted to understand and to explain leadership for centuries.
• Leadership is a fundamental element of the human condition. Wherever society
exists, leadership exists. Any definition of leadership must account for its univer-
sal nature. Leadership seems to be linked to what it means to be human. What
makes us unique as humans is our ability to create and manipulate symbols—
abstract, arbitrary representations of reality.
• One way to isolate the unique characteristics of leadership is to look at how oth-
ers have defined the term. Four primary definitional themes have emerged in the
leadership literature: (1) leadership is about who you are; (2) leadership is about
how you act; (3) leadership is about what you do; and (4) leadership is about how
you work with others. 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.
• Management is often equated with leadership. However, leading differs signifi-
cantly from managing when it comes to creating an agenda, developing a human
network for achieving the agenda, and executing the agenda. While the manager
is more absorbed in the status quo, the leader is more concerned with the ulti-
mate direction of the group.
• Most of those who study and write about leadership have focused on the more
positive connotations of the concept. Recently researchers have devoted atten-
tion to the bad or “toxic” side of leadership. Bad leadership is the product of self-
ishness, cognitive errors, and external forces. Destructive leaders can be
classified as incompetent, rigid, intemperate, callous, corrupt, insular, or evil. In
the organizational context, destructive leadership behaviors are directed at fol-
lowers, the organization, or at both.
• Leaders and followers are relational partners who play complementary roles.
Leaders exert a greater degree of influence and followers have more responsibil-
ity for carrying out the work. Followers are playing an increasingly important
role in modern society.
• In shared leadership, responsibility for achieving shared goals is distributed
throughout the group.
• Leaders spend much of their time shaping messages that are then presented to a
variety of follower, constituent, and stakeholder groups. It is also true that the more
leadership responsibility you have, the more your job will focus on communication.
• Viewing leadership from a communication perspective recognizes that your
leadership effectiveness depends on your willingness to interact with others (the
willingness to communicate) and on making skillful use of storytelling, emo-
tional communication competencies, and impression management.
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• Leadership is an interactive endeavor largely shaped by narrative. Storytelling is
a valuable supplement to abstract reasoning and analysis. Important types of sto-
ries include those that: (1) spark action, (2) communicate who you are, (3) com-
municate the brand image to customers, (4) transmit organizational values, (5)
foster collaboration, (6) tame the grapevine by pointing out the disconnect
between rumors and reality, (7) share knowledge about problem solving, and (8)
lead people into the future.
• Effective leaders know how to utilize emotions at all organizational levels—
within the person, between persons, interpersonal, group, and organization
wide. They demonstrate five emotional competencies: (1) perception, appraisal,
and expression of emotion; (2) attending to the emotions of others; (3) emotional
facilitation of thinking; (4) understanding and analyzing emotional information
and employing that information; and (5) regulation of emotion.
• To achieve your goals as a leader, you’ll need to manage the impressions others
have of you. Strive for beautiful (ethical, effective) performances that demon-
strate mastery, coherence, and a worthy purpose.
• Ethical leaders use impression management to reach group objectives rather
than to satisfy selfish, personal goals. Beneficial impression management pro-
motes positive interpersonal relationships and cooperation; accurately portrays
people, events, or products; and facilitates effective decision making.
APPLICATION EXERCISES
1. Take a trip to a local bookstore and check to see how many books you can find
on leadership. Did you find more or fewer titles than you expected? Report
your findings in class. Or select a leadership topic and see how many books
you can find on Amazon.com.
2. Conduct a debate regarding the relative importance of leaders and followers.
Have one-half of your class argue that leaders are more important than ever
and have the other half argue that followers are becoming more influential
than leaders. As an alternative, debate the concept of “bad” leadership. Should
we consider people like Hitler, Stalin, Pol Pot, and Osama bin Laden leaders or
are they merely “power wielders”?
3. Develop your own definition of leadership. How does it compare to the ones
given in the chapter?
4. Make a list of the characteristics of leaders and managers. Are your character-
istics the same as those described by Kouzes, Posner, and Kotter? To clarify the
differences between leaders and managers, describe someone who is an effec-
tive leader and then someone who is an effective manager. How do these two
people differ? Share your descriptions with others in class.
5. Select one of your follower roles (student, employee, team member, etc.) and
then select one of your leadership roles (team captain, project group leader,
�
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coach). Consider the behaviors and qualities you appreciate or dislike in those
who lead or follow you. What can you learn from those strengths and weak-
nesses that you can apply as a leader-follower? What conclusions can you draw
about being an effective leader or follower? Write up your findings.
6. In a group, determine the advantages and disadvantages of sharing leadership
responsibilities in a group or organization. Based on your discussion, what
conclusions do you reach about shared leadership?
7. Pair off with someone and compare your overall Willingness to Communicate
(WTC) scores as well as your seven subscores. What factors make you and
your partner reluctant to communicate in all situations or in particular con-
texts? What can each of you do to increase your willingness to communicate?
What communication skills do you need to sharpen? Or, as an alternative, find
a partner and discuss your responses to the Emotional Word Matrix.
8. Consider the stories you have heard from leaders in the past. Discuss with oth-
ers in class which stories you found to be most/least effective and why.
9. Identify individuals in leadership roles you believe have low or high emo-
tional intelligence. Discuss what you feel the impact of these ratings is on
leadership effectiveness.
10. Analyze the impression management strategies of a well-known leader. What
image does this individual create? How effectively does he/she use the dra-
matic elements described in the chapter? Does she/he make ethical use of
impression management? Write up your findings. Or analyze a specific perfor-
mance of a leader. Does she or he put on a beautiful performance by demon-
strating mastery, coherence, and purpose?
CULTURAL CONNECTIONS: FOSTERING CIRCLES THROUGH STORIES78
Indigenous groups in Canada and the United States take a very different
approach to leadership than their fellow citizens who draw from Western tradition.
Believing that all things are related (people, nature, past, and present), First
Nations leaders strive to meet the needs of the entire community. Instead of hierar-
chy, they emphasize equality. Driven by a sense of calling, they focus on long-term
results—looking seven generations into the future—and turn to spiritual traditions
for guidance. This approach to leadership is captured in the image of a circle. A cir-
cle is equalitarian and consensual. The circle or wheel functions only when every-
one is united and working together. Some tribes incorporate four quadrants of life
into the Medicine Wheel version of the circle: physical, mental, spiritual, and emo-
tional. The responsibility of leaders is holistic, helping followers develop in all four
areas of life.
Storytelling, which draws upon tribal oral tradition, plays a critical role in
indigenous leadership. Aboriginal leaders use imagery to communicate messages
and to reinforce connection. For example: “The idea is that you stay in your canoe
and we’ll stay in our canoe and we’ll follow our culture and traditions and you’ll fol-
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low yours.” “We [the leaders] may be out at the pointy end of the spear, but the big
weight of the spear, the broad part of the spear, is behind us and that’s the people.”
Aboriginal leadership has much to offer modern organizations that want to
eliminate levels of hierarchy, foster connection and spirituality, strive for work-life
balance, and develop sustainable business practices that protect future genera-
tions. Western-oriented leaders can learn from First Nations leaders who practice
equalitarianism, service, spirituality, connection, consensus, meeting the needs of
the total person, sustainability, and storytelling.
LEADERSHIP ON THE BIG SCREEN: THE BEST OF MEN
Starring: Eddie Marsan, Rob Brydon, Niamh Cusack, George MacKay, Leigh
Quinn, Richard McCabe
Rating: PG for language and mature themes
Synopsis: In 1944 neurosurgeon Ludwig Guttmann, a Jewish refugee from Nazi
Germany, is appointed to run the spinal injury unit of Britain’s Stoke Mandeville
hospital. Conditions in the ward are appalling. Paralyzed soldiers arrive from the
battlefield in coffins, are heavily sedated, and left to “rot” in their beds from bed-
sores. Some 80% die within a year from their injuries, sores, and urinary tract
infections. Those who survive face a lifetime in institutions. Guttmann (played by
Marsan) addresses this hopelessness, convinced that his patients can become
active members of society. He institutes a series of changes that include ending the
use of shipping coffins and sedation, turning the young men once every two hours
so they don’t develop bed sores, moving patients to wheelchairs, and engaging the
soldiers in upper body exercise. Progress is far from easy, however. Guttmann must
battle fellow doctors and nurses (and patients) who oppose his initiatives, lobby for
staff and resources, and deal with layers of bureaucracy. In 1948 he hosts the first
competition for wheelchair athletes, which later becomes the International Para-
lympics drawing thousands of participants from around the world. (Guttmann was
knighted for his work with spinal patients in 1966.)
Chapter Links: vision, leading change, emotional communication competencies,
symbols, willingness to communicate, leader-follower relationships
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�����
2
Leadership and Followership
Communication Styles
�
Proper words in proper places, make the true definition of a style.
—Jonathan Swift
�
OVERVIEW
The Dimensions of Leadership Communication Style
Authoritarian, Democratic, and Laissez-Faire Leadership
Task and Interpersonal Leadership
The Michigan Leadership Studies
The Ohio State Leadership Studies
McGregor’s Theory X and Theory Y
Blake and McCanse’s Leadership Grid®
Follower Communication Styles
Engaged Followers
Exemplary Followership
The 4-D Followership Model
Transcendent Followership
Communication Styles, Information Processing, and Identity
39
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The Dimensions of Leadership Communication Style
Think of the leaders with whom you have worked in the past. Chances are you
enjoyed interacting with some of these people more than others. The leaders you
enjoyed working with were most likely those who created a productive and satisfy-
ing work climate. Under their guidance, you probably accomplished a great deal
and had a pleasant and memorable experience.
One factor that contributes to variations in leader effectiveness is communica-
tion style. Leadership communication style is a relatively enduring set of communi-
cative behaviors in which a leader engages when interacting with followers. The
communication style a leader selects contributes to the success or failure of any
attempt to exert influence.
Researchers have identified a number of leadership communication styles.
These varying styles can be pared down to two primary models of communication:
one model compares authoritarian, democratic, and laissez-faire styles of leader-
ship communication; a second model contrasts task and interpersonal leadership
communication. Let’s look more closely at these two models of communication.
Authoritarian, Democratic, and Laissez-Faire Leadership
Kurt Lewin, Ronald Lippitt, and Ralph White undertook one of the earliest
investigations of leadership communication style.1 They studied the impact of
authoritarian, democratic, and laissez-faire leadership communication styles on
group outcomes.
Each of these styles of communication has unique features that affect how
leaders interact with followers. The authoritarian leader maintains strict control
over followers by directly regulating policy, procedures, and behavior. Authoritar-
ian leaders create distance between themselves and their followers as a means of
emphasizing role distinctions. Many authoritarian leaders believe that followers
would not function effectively without direct supervision. The authoritarian leader
generally feels that people left to complete work on their own will be unproductive.
Examples of authoritarian communicative behavior include a police officer direct-
ing traffic, a teacher ordering a student to do his or her assignment, and a supervi-
sor instructing a subordinate to clean a workstation. (See the Leadership on the Big
Screen feature at the end of the chapter for another example of an authoritarian
leader in action.)
Democratic leaders engage in supportive communication that facilitates interac-
tion between leaders and followers. The leader adopting the democratic communi-
cation style encourages follower involvement and participation in the determination
of goals and procedures. Democratic leaders assume that followers are capable of
making informed decisions. The democratic leader does not feel intimidated by the
suggestions provided by followers but believes that the contributions of others
improve the overall quality of decision making. The adage that “two heads are better
than one” is the motto of the democratic leader. A group leader soliciting ideas from
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group members, a teacher asking students to suggest the due date for an assignment,
and a district manager asking a salesperson for recommendations regarding the dis-
play of a new product are examples of democratic communicative behavior.
�
I not only use all the brains that I have, but all that I can borrow.
—Woodrow Wilson
Laissez-faire, a French word roughly translated as “leave them alone,” refers to
a form of leader communication that has been called nonleadership by some.2 An
ineffective version of this leadership communication style involves abdication of
responsibility on the part of the leader; leaders withdraw from followers and offer
little guidance or support. As a result, productivity, cohesiveness, and satisfaction
often suffer. A supervisor who is incompetent, nearing retirement, or in jeopardy
of being laid off or fired may exhibit the abdicating form of the laissez-faire leader-
ship communication style. A more positive form of the laissez-faire leadership
communication style affords followers a high degree of autonomy and self-rule
while, at the same time, offering guidance and support when asked. The laissez-
faire leader providing guided freedom does not directly participate in decision
making unless requested to do so by followers or if such intervention is deemed
necessary to facilitate task completion.3 Examples of guided-freedom communica-
tive behavior include a leader quietly observing group deliberations (providing
information and ideas only when asked), a teacher allowing students to create their
own assignments, and a research and development manager allowing his or her
subordinates to work on product designs without intervention.
How can you tell if a leader is using an authoritarian, democratic, or laissez-
faire style? Pay close attention to the leader’s communication. The communication
patterns in table 2.1 will help you recognize the style of leadership.
Lewin and his colleagues taught these communication styles to adult leaders
who supervised groups of 10-year-old children working on hobby projects at a
YMCA. The authoritarian leader was instructed to establish and to maintain policy
and procedures unilaterally, to supervise the completion of task assignments
directly, and to dictate follower behavior in all situations. The democratic leader was
told to encourage the participation of followers in the determination of policy and
procedures related to task completion and follower behavior. The laissez-faire leader
was instructed to avoid direct involvement in the establishment of policy and proce-
dures by supplying ideas and information only when asked to do so by followers.4
The responses of the children in these experiments led to the formation of six
generalizations regarding the impact of leadership communication style on group
effectiveness.5
1. Laissez-faire and democratic leadership communication styles are not the
same. Groups with laissez-faire leaders are not as productive and satisfying as
groups with democratic leaders. The amount and quality of work done by chil-
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dren in laissez-faire groups was less than that of democratic groups. Addition-
ally, the majority of children in laissez-faire groups expressed dissatisfaction
despite the fact that more than twice as much play occurred in these groups.
2. Although groups headed by authoritarian leaders are often most efficient,
democratic leaders also achieve high efficiency. The greatest number of
tasks were completed under authoritarian leadership. This productivity
depended on the leader’s direct supervision. When the authoritarian leader
left the room, productivity dropped by nearly 40% in some groups. Demo-
cratic groups were only slightly less productive. Further, productivity in
these groups remained steady with or without direct adult supervision.
3. Groups with authoritarian leadership experience more hostility and aggres-
sion than groups with democratic or laissez-faire leaders. Hostile and aggres-
sive behavior in the form of arguing, property damage, and blaming occurred
much more frequently in authoritarian groups than in other groups.
4. Authoritarian-led groups may experience discontent that is not evident on
the surface. Even in authoritarian-led groups with high levels of productiv-
ity and little evidence of hostility and aggression, absenteeism and turnover
were greater than in democratic and laissez-faire groups. Further, children
Table 2.1 Styles of Leadership Communication
Democratic
Involves followers in setting goals
Engages in two-way, open
communication
Facilitates discussion with
followers
Solicits input regarding determi-
nation of policy and procedures
Focuses interaction
Provides suggestions and alter-
natives for the completion of
tasks
Provides frequent positive
feedback
Rewards good work and uses
punishment only as a last resort
Exhibits effective listening skills
Mediates conflict for group gain
Authoritarian
Sets goals individually
Engages primarily in one-way,
downward communication
Controls discussion with
followers
Sets policy and procedures
unilaterally
Dominates interaction
Personally directs the comple-
tion of tasks
Provides infrequent positive
feedback
Rewards obedience and pun-
ishes mistakes
Exhibits poor listening skills
Uses conflict for personal gain
Laissez-Faire
Allows followers free rein to set
their own goals
Engages in noncommittal,
superficial communication
Avoids discussion with followers
Allows followers to set policy
and procedures
Avoids interaction
Provides suggestions and alter-
natives for the completion of
tasks only when asked to do
so by followers
Provides infrequent feedback of
any kind
Avoids offering rewards or
punishments
May exhibit either poor or effec-
tive listening skills
Avoids conflict
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who switched from authoritarian groups to more permissive groups exhib-
ited tension-release behavior in the form of energetic and aggressive play.
5. Followers exhibit more dependence and less individuality under authoritar-
ian leaders. Children in authoritarian groups were more submissive than
those in other groups. These children were less likely to initiate action with-
out the approval of the leader and less likely to express their opinions and
ideas than children in the democratic and laissez-faire groups.
6. Followers exhibit more commitment and cohesiveness under democratic
leaders. Children in democratic groups demonstrated a higher degree of
commitment to group outcomes. The climate in democratic groups was
generally supportive and friendly.
A number of follow-up studies to the work of Lewin, Lippitt, and White have
provided additional information about the effects of authoritarian, democratic,
and laissez-faire leader communication. Box 2.1 summarizes these findings.
�
I love disagreements. I love the democratic process. If I’m in a room
where everybody agrees, I start to nod off.
–Gina McCarthy
Box 2.1 Research Highlight The Effects of Authoritarian, Democratic, and
Laissez-Faire Leadership Communication Styles
Authoritarian Leadership
Increases productivity when
the leader is present6
Produces more accurate solu-
tions when leader is
knowledgeable9
Is more positively accepted in
larger groups12
Enhances performance on sim-
ple tasks and decreases per-
formance on complex tasks15
Increases aggression levels
among followers18
Increases turnover rates21
Democratic Leadership
Lowers turnover and absen-
teeism rates7
Increases follower
satisfaction10
Increases follower
participation13
Increases follower commit-
ment to decisions16
Increases innovation19
Increases a follower’s per-
ceived responsibility to a
group or organization22
Laissez-Faire Leadership
Decreases innovation when
leaders abdicate, but increases
innovation when leaders pro-
vide guidance as requested8
Decreases follower motivation
and satisfaction when leaders
abdicate11
Results in feelings of isolation
and a decrease in participa-
tion when leaders abdicate14
Decreases quality and quantity of
output when leaders abdicate17
Increases productivity and
satisfaction for highly moti-
vated experts20
Increases stress and conflicts
when leaders abdicate23
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The findings related to leadership communication style suggest that leaders
adopting authoritarian communication can expect: high productivity (particularly
under optimal conditions: a simple task completed over a short period of time with
direct supervision by the leader); increased hostility, aggression, and discontent;
and decreased commitment, independence, and creativity among followers. This
style of communication would seem best suited for tasks requiring specific compli-
ance procedures and minimal commitment or initiative. Routinized, highly struc-
tured, or simple tasks are often effectively accomplished under authoritarian
leadership. Authoritarian leadership is also recommended when a leader is much
more knowledgeable than his or her followers, when groups of followers are
extremely large, or when there is insufficient time to engage in democratic decision
making. Certainly a military combat leader would not stop to discuss the possibili-
ties of advancing or retreating while under enemy fire.
Democratic leadership communication contributes to relatively high produc-
tivity (whether or not the leader directly supervises followers) and to increased sat-
isfaction, commitment, and cohesiveness. This style of communication is best
suited for tasks that require participation and involvement, creativity, and commit-
ment to a decision. The only significant drawbacks to democratic leadership are
that democratic techniques are time consuming and can be cumbersome with
larger groups. (See the case study in box 2.2 to see how democratic leadership has
been used at one successful company.)
Box 2.2 Case Study The Reluctant Executive: Sustainability,
Surfing, and Leadership Style at Patagonia24
Yvon Chouinard was an accomplished mountain climber in the 1960s, successfully ascending
peaks throughout the world. To support his climbing activities, he began selling mountaineering
equipment out of the back of his car. This endeavor evolved into Chouinard Equipment, a full-ser-
vice climbing gear manufacturing and sales operation located in Ventura, California. Chouinard
increased sales volume by importing rugby shirts, gloves, hats, and other clothing from Europe
and New Zealand. Soon, the focus turned to manufacturing clothing, and in 1973 the Patagonia
clothing company was born. The business struggled at first, but by the mid-1980s sales began to
increase, growing from $20 million to over $100 million by 1990. Today, sales volume at Patago-
nia is around $575 million per year. The company makes a wide range of products from outdoor
clothing and travel gear to surfboards and fishing equipment.
Chouinard never aspired to be an executive, but he soon found himself facing business chal-
lenges as the founder and owner of an expanding company. Despite the growth, he held fast to
the values of teamwork and camaraderie he had enjoyed as a mountaineer. Employees at Patago-
nia dress as they please (often in t-shirts and shorts, sitting barefoot at their desks); surf when the
conditions at nearby beaches are good (the daily surf report is prominently displayed in the lobby
of the corporate headquarters, and employees can take advantage of liberal flextime policies);
and enjoy company-sponsored ski and climbing trips; a cafeteria serving high quality, healthy
food (including a wide range of vegetarian options but no beef ); a subsidized on-site day care
center; and the option to take a leave of absence from work for up to two months at a nonprofit of
their choice, while still receiving their full pay from Patagonia. These benefits make the company a
very desirable place of employment—on average some 900 people apply for every open position.
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The company is highly committed to environmental causes and a corporate philosophy to “do
no harm.” Chouinard and each of Patagonia’s 2,000 employees try to make decisions based on
the impact that will be felt 100 years from now. That approach requires asking tough questions
about manufacturing processes and making the right choices, even if production costs increase.
In the early 1990s, for example, an environmental audit revealed that the chemicals commonly
used for growing and harvesting cotton made it one of the most damaging fibers used by Pata-
gonia. Cotton farming, Chouinard discovered, consumes 25% of the world’s pesticides on just 3%
of the world’s farmland. As a result, the company switched its entire product line to organic cot-
ton, a decision that ultimately improved profitability. In 2011 Patagonia ran a full-page ad in The
New York Times on Black Friday headlined “Don’t Buy This Jacket.” The rest of the ad described
the environmental costs of buying the firm’s top-selling garment, asking readers to think care-
fully before buying the fleece jacket or any other product. (Sales went up significantly after the ad
appeared.) The company repairs garments purchased from Patagonia for free and has started
selling used items. One percent of the firm’s sales go toward environmental causes like creating a
national park in Chile.
How does Chouinard lead the company and drive this environmental mission? Through a
hands-on, directive approach? No, he uses what he calls his MBA theory—management by
absence. Chouinard travels the globe developing and testing Patagonia products and serving as
a crusader for environmental issues. To run his business, he hires employees who will question
authority—challenging bad decisions and working with others to seek out the best solutions. As
he explains, “The best democracy exists when decisions are made through consensus . . . deci-
sions based on compromise often leave the problem not completely solved, with both sides feel-
ing cheated or unimportant.”25 And the most effective leaders, Chouinard argues, are those who
can communicate their ideas to others, not via e-mail, but by talking face-to-face to work out col-
laborative agreements. To support this democratic approach, there are no private offices at Pata-
gonia—everyone works in open rooms with no doors or separations. When Chouinard is at the
Patagonia headquarters, he does not have a reserved parking spot (such spots are reserved for
those who drive fuel-efficient cars) or special perks or office space; he considers himself no more
important than others in the organization. Such treatment would only damage the democratic
spirit of the company. Chouinard believes: “Finding the right balance between the management
problems that come with growth and maintaining our philosophy of hiring independent-minded
people and trusting them with responsibility is the key to Patagonia’s success.”26
Discussion Questions
1. What is your opinion regarding the corporate policies at Patagonia? Would you like to
work for a company like this?
2. Why do you think Patagonia sales increased after it urged consumers to buy less?
3. Do you believe that focusing on sustainability and environmental issues is important for
leaders?
4. How effectively do you think Chouinard’s MBA philosophy might work in other organiza-
tions?
5. Do you agree that consensus is critical in organizational decision making?
6. What advantages/disadvantages do you see in leading the way that Chouinard does?
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The leader adopting the laissez-faire communication style may be accused of
leadership avoidance. This communication style results in decreased productivity
and less satisfaction for most followers and can increase their stress levels. A number
of variables, including the personality, age, and job experience of followers, impact
the effectiveness of laissez-faire leadership. A group led by a laissez-faire leader, par-
ticularly when the leader engages in abdication, may be less innovative than groups
with leaders employing authoritarian or democratic communication styles.
However, laissez-faire leadership can be highly effective with groups of moti-
vated and knowledgeable experts. These groups often do not require direct guid-
ance and produce better results when left alone. A group of medical researchers,
for example, might function very effectively when provided with the necessary
information and materials without any direct guidance or intervention by a leader.
(See box 2.3 for an example of what happens when highly motivated and knowl-
edgeable followers are supervised too closely).
�
Treat people as if they were what they ought to be and you may help
them to become what they are capable of being.
—Johann Wolfgang von Goethe
Researchers have concluded that the democratic style of leadership communi-
cation is often most effective. Generally, the benefits derived from democratic
communication far outweigh any potential costs. Democratic leadership is associ-
ated with increased follower productivity, satisfaction, and involvement/commit-
ment. A negative element is that democratic leadership can become mired in
lengthy debate over policy, procedures, and strategies. In most cases, the increase
in follower involvement and commitment more than make up for any such delays.
Authoritarian leadership is effective in terms of output (particularly when the
leader directly supervises behavior) but is generally ineffective in enhancing fol-
lower satisfaction and commitment. The abdication factor in laissez-faire leader-
ship often damages productivity, satisfaction, and commitment. The laissez-faire
style can be effective when it represents guided freedom or when it is used with
highly knowledgeable and motivated experts. In many situations, the costs associ-
ated with the authoritarian and laissez-faire styles of leadership can seriously ham-
per a leader’s effectiveness.
Task and Interpersonal Leadership
Closely related to the authoritarian, democratic, and laissez-faire model of
leadership style is the task and interpersonal model. From the late 1940s until the
early 1960s, several groups of researchers worked to identify and to label the
dimensions of leadership communication. These researchers used different meth-
odologies and measurement techniques but came to similar conclusions. Each of
Leadership and Followership Communication Styles 47
Box 2.3 Case Study The Importance of Leadership Communication
Style: SuperNova Microcomputer
Jay Brooks is the project director of a product development team at SuperNova Microcom-
puter. His team of 30 employees has been charged with the task of developing a new “cutting
edge” tablet computer for the consumer market. This group of 30 consists of the best technicians
within the organization.
Unfortunately, Jay’s team has been experiencing numerous difficulties and delays in the
development of the new computer system. A number of team members have complained to the
president of SuperNova, Sam Lowell, that Brooks is stifling creativity within the team and that
Laura Martin, the project assistant, would be a much more effective leader. “We could get this
project moving if Laura were in charge,” claims one team member.
Brooks, who was hired from a major competitor six months ago, is a very directive leader. He
holds a daily meeting from 8 to 10 am in which each unit of the entire team presents its latest
innovations. All new ideas must be cleared through Brooks. Many team members have com-
plained about these meetings, claiming that “Brooks might as well build this system by himself if
he is going to approve every chip.” In addition, all team members must complete a worksheet
isolating the specific tasks they have undertaken each day. This worksheet, wryly called “form
1984” by members of the team, is a major source of dissatisfaction among team members.
Laura Martin has been with the company since its inception a decade ago. Laura was passed
over for the job as project director because Sam Lowell felt that she was not as technically com-
petent as she needed to be. Laura was disappointed, but she accepted the decision because,
overall, she has been very happy at SuperNova. Indeed, Laura has been instrumental in promot-
ing the open, democratic, employee-oriented management style that is characteristic of Super-
Nova. As project assistant she interacts frequently with all members of the team. She has
discovered that many of the members feel unappreciated. One team member complains, “We are
expected to create one of the most advanced home computer systems in existence, but we are
treated like a bunch of rebellious third graders.”
Sam Lowell is disturbed because the project is falling way behind schedule. After only six
months, major delays have pushed back the target date for the project by a full year. The team
members themselves don’t seem to be aware that they are falling behind any projected sched-
ule; they only realize that the project is bogging down.
Things have gotten to the point that a number of team members are threatening to quit. If
they leave, the entire project will be jeopardized. Further, rumors are spreading through the team
that upper management is disappointed with productivity and may replace several key mem-
bers. All in all, members of the team seem very frustrated. “We just want to build the best product
that we can,” says one team member, adding, “I only wish they would let us.”
Discussion Questions
1. What problems can you identify at SuperNova Microcomputer?
2. Which leadership style (s) would be most effective in working with the product develop-
ment team? Why?
3. How would you suggest a leader might get the product development team back on
schedule? What policy and/or personnel changes would you recommend?
4. What recommendations would you make concerning the overall operation at SuperNova
Microcomputer?
5. How might the leaders at SuperNova Microcomputer assure their employees that prob-
lems like this can be avoided in the future?
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48 Chapter Two
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the research teams suggested that leadership consists of two primary communica-
tion dimensions: task and interpersonal. Although each group of researchers
applied its own unique label to the communication styles discovered, the groups
were essentially talking about the same set of communicative behaviors.
Task-oriented communication has been referred to as: production oriented,
initiating structure, Theory X management, concern for production. Interper-
sonal-oriented communication has been called: employee oriented, consideration,
Theory Y management, concern for people.
The similarity in findings among these researchers is not surprising. Leader-
ship boils down to two primary ingredients: work that needs to be done and the
people who do the work. Without these ingredients there is no need for leadership!
The leader employing the task style is primarily concerned with the successful
completion of task assignments. The task-oriented leader demonstrates a much
greater concern for getting work done than for the people doing the work. The task
leader is often highly authoritarian. In contrast, the interpersonal leader is con-
cerned with relationships. This style, similar to the democratic style, emphasizes
teamwork, cooperation, and supportive communication.
Ernest Stech describes the typical communication patterns of task- and inter-
personal-oriented leaders in his book Leadership Communication.27 He lists the
distinctions between these two styles of leadership in table 2.2.
In the next sections, we will focus on four of the most significant attempts to
identify the communication patterns of leaders: (1) the Michigan leadership stud-
ies, (2) the Ohio State leadership studies, (3) McGregor’s Theory X and Theory Y,
and (4) Blake and McCanse’s Leadership Grid.® (Turn to the Cultural Connections
feature at the end of the chapter for a closer look at leadership styles research con-
ducted outside the United States.)
Table 2.2 Leadership Communication Distinctions
Task Orientation
Disseminates information
Ignores the positions, ideas, and feelings of others
Engages in rigid, stylized communication
Interrupts others
Makes demands
Focuses on facts, data, and information as they
relate to tasks
Emphasizes productivity through the acquisition
of technical skills
Most often communicates in writing
Maintains a “closed door” policy
Interpersonal Orientation
Solicits opinions
Recognizes the positions, ideas, and feelings of
others
Engages in flexible, open communication
Listens carefully to others
Makes requests
Focuses on feelings, emotions, and attitudes as
they relate to personal needs
Emphasizes productivity through the acquisition
of personal skills
Most often communicates orally
Maintains an “open door” policy
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The Michigan Leadership Studies
Shortly after World War II, a team of researchers at the University of Michigan
set out to discover which leadership practices contributed to effective group per-
formance. To determine the characteristics of effective leaders, the Michigan
researchers looked at both high- and low-performing teams within two organiza-
tions. Twenty-four groups of clerical workers in a life insurance company and 72
groups of railroad workers were studied in an attempt to identify the factors con-
tributing to satisfactory and unsatisfactory group leadership.28
From their observations of these work groups, the Michigan researchers noted
a distinction between what they called “production-oriented” and “employee-ori-
ented” styles of leadership communication. Production-oriented leaders focus on
accomplishing tasks by emphasizing technical procedures, planning, and organiza-
tion. The production-oriented leader is primarily concerned with getting work
done. Employee-oriented leaders focus on relationships between people and are
particularly interested in motivating and training followers. Employee-oriented
leaders demonstrate a genuine interest in the well-being of followers both on and
off the job.
The Michigan researchers believed that the production-oriented and
employee-oriented styles were opposing sets of communicative behaviors. They
suggested these leadership communication styles could be described along a con-
tinuum as illustrated in figure 2.1. A leader could choose either a production-ori-
ented style, an employee-oriented style, or a neutral style of communication.
According to the Michigan research, leaders who exhibited employee-oriented
styles had more productive and satisfied work groups.
This one-dimensional view of leadership communication style was short
lived.29 Follow-up studies performed by the University of Michigan researchers
suggested that it was possible for leaders to adopt both production-oriented and
employee-oriented styles. Further, leaders who demonstrated high concern for
both production and people were found to be more effective than leaders who
exhibited only employee-oriented or production-oriented communication.30 Pro-
duction-oriented and employee-oriented leadership styles were not polar oppo-
sites but rather two distinct dimensions of leadership communication style.
Employee-Oriented Production-Oriented
Neutral
Figure 2.1 Continuum of Leadership Communication Style
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The Ohio State Leadership Studies
While the Michigan researchers were involved in their observations of work
groups, an interdisciplinary team of researchers at The Ohio State University
attempted to identify the factors associated with leadership communication.31 The
Ohio State researchers developed a questionnaire they called the Leader Behavior
Description Questionnaire (LBDQ). The LBDQ was administered to groups of
military personnel who were asked to rate their commanders.
Statistical analysis of the LBDQ indicated two primary dimensions of leader-
ship. These dimensions were labeled consideration and initiating structure. Con-
sideration consisted of interpersonal-oriented communication designed to express
affection and liking for followers; the consideration of followers’ feelings, opinions,
and ideas; and the maintenance of an amiable working environment. Inconsiderate
leaders criticized followers in front of others, made threats, and refused to accept
followers’ suggestions or explanations. Initiating structure referred to task-related
behaviors involved in the initiation of action, the organization and assignment of
tasks, and the determination of clear-cut standards of performance.
Consideration and initiating structure were believed to be two separate dimen-
sions of leadership. As a result, a leader could rate high or low on either dimension.
This representation of leader communication style allowed for the development of a
two-dimensional view of leadership. As depicted in figure 2.2, the Ohio State
researchers believed that it was possible for a leader to demonstrate varying amounts
of task (initiating structure) or interpersonal (consideration) communication.
Conclusions drawn from the Ohio State research focusing on the use of task
and interpersonal styles of leadership communication are complicated by varia-
tions in methodology and instrumentation. Over the years, several different ver-
sions of the LBDQ, such as the one found in the self-assessment in box 2.4, have
been used to measure task (initiating structure) and interpersonal (consideration)
related messages. As a result, the findings of the Ohio State team are inconsistent.
highlow
high
low
Initiating Structure
C
o
n
si
d
er
at
io
n
Figure 2.2 A Two-Dimensional View
of Leadership
Leadership and Followership Communication Styles 51
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In general, both consideration and initiating structure are important to effective
leadership. Considerate leadership communication seems to increase follower sat-
isfaction while decreasing hostility and strife. Initiating structure appears impor-
tant in guiding and organizing the completion of tasks.32
Box 2.4 Self-Assessment Leadership Style Questionnaire33
Instructions: Read each item carefully and think about how often you engage in the
described behavior. Indicate your response to each item by circling one of the five numbers to
the right of each item.
Key: 1 = Never 2 = Seldom 3 = Occasionally 4 = Often 5 = Always
1. Tells group members what they are supposed to do. 1 2 3 4 5
2. Acts friendly with members of the group. 1 2 3 4 5
3. Sets standards of performance for group members. 1 2 3 4 5
4. Helps others in the group feel comfortable. 1 2 3 4 5
5. Makes suggestions about how to solve problems. 1 2 3 4 5
6. Responds favorably to suggestions made by others. 1 2 3 4 5
7. Makes his or her perspective clear to others. 1 2 3 4 5
8. Treats others fairly. 1 2 3 4 5
9. Develops a plan of action for the group. 1 2 3 4 5
10. Behaves in a predictable manner toward group members. 1 2 3 4 5
11. Defines role responsibilities for each group member. 1 2 3 4 5
12. Communicates actively with group members. 1 2 3 4 5
13. Clarifies his or her own role within the group. 1 2 3 4 5
14. Shows concern for the well-being of others. 1 2 3 4 5
15. Provides a plan for how the work is to be done. 1 2 3 4 5
16. Shows flexibility in making decisions. 1 2 3 4 5
17. Provides criteria for what is expected of the group. 1 2 3 4 5
18. Discloses thoughts and feelings to group members. 1 2 3 4 5
19. Encourages group members to do high-quality work. 1 2 3 4 5
20. Helps group members get along with each other. 1 2 3 4 5
Scoring: First, sum the responses on the odd-numbered items. This is your task score. Second,
sum the responses on the even-numbered items. This is your relationship score.
Total scores: Task ___________ Relationship ____________
Interpretation
45–50 Very high range
40–44 High range
35–39 Moderately high range
30–34 Moderately low range
25–29 Low range
10–24 Very low range
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In recent years scholars have isolated a third leadership style called change-cen-
tered leadership. Change-centered or development-oriented leadership encourages
creativity, experimentation, risk taking, and the adoption of innovations. Swedish
investigators first noted this style when reexamining the original Ohio State studies.
They and other researchers subsequently found that change-oriented leadership
improves work performance and employee job satisfaction while stimulating learn-
ing.34 After reviewing 50 years of research, professors Gary Yukl, Angela Gordon, and
Tom Taber conclude that change-centered behaviors should join task and relational
behaviors as components of leadership styles. All three types of behaviors play a role
in effective leadership, though not all behaviors are equally important in every con-
text and every behavior is not significant in every leadership situation. Here are the
specific behaviors that Yukl and his colleagues associate with each leadership style:35
Task Behaviors
• Short-term planning—“deciding what to do, how to do it, who will do it, and
when it will be done.” Includes writing plans and budgets, making schedules,
and coordinating with others to determine a plan of action.
• Clarifying responsibilities—guiding and coordinating work activity. Involves
setting objectives, looking for the best way to do the work, and evaluating
performance against benchmarks.
• Monitoring operations and performance—gathering data about operations,
work progress, the performance of individual followers, product and service
quality, and project and program success. Takes the form of observation,
reading reports, reviewing performance data, inspecting quality, and holding
progress review meetings.
Relations Behaviors
• Supporting—demonstrating consideration, concern, and acceptance for the
needs and feelings of others.
• Developing—coaching others. Examples: helping someone learn how to do a
task or learn from a mistake, explaining how to solve a problem, providing
opportunities for followers to develop their skills and confidence.
• Recognizing—expressing praise and appreciation for excellent performance,
significant contributions, and noteworthy achievements. Often combined
with tangible rewards.
• Consulting—involving followers in important decisions.
• Empowering—delegating to followers and giving them autonomy and dis-
cretion.
Change Behaviors
• External monitoring—scanning the environment to identify threats and
opportunities from customers, clients, suppliers, government policies, mar-
ket trends, and so on. Includes reading industry reports, attending profes-
sional meetings, talking to customers, studying competitors, and conducting
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market research. Monitoring also incorporates analyzing the information
and interpreting events to lay the foundation for change.
• Envisioning change—creating an inspiring vision to encourage followers to
commit to change; connecting with the values, goals, and ideals of followers.
• Encouraging innovative thinking—sparking innovative thinking in others
and in oneself; proposing innovative ideas.
• Taking personal risks—stepping out to push for change in the face of opposi-
tion, which may result in loss of job, reputation, or career.
McGregor’s Theory X and Theory Y
In the late 1950s, Douglas McGregor, a professor of management at the Massa-
chusetts Institute of Technology, attempted to isolate the ways in which attitudes
and behaviors influence organizational management. The result of this investiga-
tion was McGregor’s classic work, The Human Side of Enterprise.36 In his book,
McGregor identifies two basic approaches to supervision—Theory X management
and Theory Y management.
Theory X and Theory Y represent basic approaches for dealing with followers.
Both approaches are based on a set of assumptions regarding human nature. The-
ory X managers believe that the average person has an inherent dislike for work
and will avoid engaging in productive activities whenever possible. Managers must
coerce, control, direct, and threaten workers in order to ensure performance.
Indeed, Theory X management assumes that most people actually desire strict
supervision as a means of insuring security. If workers are told what to do, they can
have little doubt that they are performing as expected. This approach emphasizes
task supervision with little or no concern for individual needs.
Theory Y managers work to integrate organizational and individual goals; The-
ory Y assumes that work is as natural as play or rest. Work is not viewed as inherently
unpleasant but rather as a source of satisfaction. Therefore threats, punishment, and
direct supervision are not necessary to ensure productivity. Personal commitment
and pride are sufficient to ensure quality workmanship. Further, Theory Y argues that
the average person seeks responsibility as an outlet for imagination and creativity.
This approach emphasizes individual commitment by recognizing individual needs
as well as organizational needs.
The leader employing a Theory X orientation adopts a task-oriented approach.
This leader focuses on methods for getting work done. Little consideration is given
to those doing the work. The Theory Y leader, on the other hand, focuses on the
unique characteristics of the individuals performing the tasks. The tasks them-
selves are not ignored but are viewed in terms of the people involved.
The Theory X–Theory Y dichotomy has been criticized for being an overly
simplistic attempt to identify polarized extremes of human nature. McGregor
responded to his critics by explaining that Theory X and Theory Y are not polar
opposites. Rather, they are independent options from which a leader can select,
depending on the situation and the people involved.
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Blake and McCanse’s Leadership Grid®
One of the most commonly cited examples of the task and interpersonal
approach to leadership communication styles is the Leadership Grid by Robert
Blake and Anne Adams McCanse (formerly the Managerial Grid developed by
Blake and Mouton).37 Blake and McCanse identify communication styles based on
the degree of concern for production (task orientation) and concern for people
(interpersonal orientation) exhibited by a leader. These communication styles are
plotted on a graph with axes ranging from one to nine (see figure 2.3).
Concern for Production
C
o
n
ce
rn
fo
r
Pe
o
p
le
9
8
7
6
5
4
3
2
1
87654321 9
1 , 91 , 91 , 9
5 , 55 , 55 , 5
9 , 99 , 99 , 9
9 , 19 , 19 , 11 , 11 , 1
Country Club Management
Thoughtful attention to the needs
of people for satisfying
relationships leads to a
comfortable, friendly organization
atmosphere and work tempo.
Impoverished Management
Exertion of minimum effort to
get required work done is
appropriate to sustain
organization membership.
Team Management
Work accomplishment is from
committed people; interdependence
through a “common stake” in
organization purpose leads to
relationships of trust and respect.
Authority Compliance
Efficiency in operations results from
arranging conditions of work in
such a way that human elements
interfere to a minimum degree
Middle-of-the-Road Management
Adequate organization performance is
possible through balancing the necessity to
get out the work with maintaining morale of
people at a satisfactory level.
High
Low High
Low
Figure 2.3 The Leadership Grid38
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The five plotted leader communication styles are:
1,1 Impoverished Management. The impoverished leader demonstrates a low
concern for tasks and a low concern for relationships. The leader with a 1,1 orien-
tation does not actively attempt to influence others but rather assigns responsibili-
ties and leaves followers to complete tasks on their own.
9,1 Authority Compliance. This leader is highly concerned with the completion
of task assignments but demonstrates little concern for personal relationships
(“produce or perish”). The primary function of the 9,1 oriented leader is to plan,
direct, and control behavior. Followers are viewed as human resources who facili-
tate the completion of tasks. Input from followers is not encouraged; the 9,1 ori-
ented leader attempts to dominate decision making.
5,5 Middle-of-the-Road Management. This middle-of-the-road leader is ade-
quately concerned with both production and people. In an attempt to involve fol-
lowers, the 5,5 leader engages in compromise. Middle-of-the-road leaders do not
rock the boat—they push enough to achieve adequate productivity but yield if they
believe increasing the workload will strain interpersonal relationships. As a result,
the 5,5 leader often achieves mediocre results.
1,9 Country Club Management. The country club leader is more concerned
with interpersonal relationships than with the completion of tasks. The 1,9 leader
seeks to establish a supportive, friendly environment. Although country club leaders
may want tasks to be completed effectively, they will emphasize factors that contrib-
ute to the personal satisfaction and happiness of followers. The 1,9 leader believes
his or her primary responsibility is to provide a positive working environment.
9,9 Team Management. Team leadership involves a high concern for both pro-
duction and people. The 9,9 leadership style is the ideal in which the successful exe-
cution of task assignments as well as individual support and caring are emphasized.
The 9,9 leader nurtures followers so that they are able to achieve excellence in both
personal and team goals. Under team leadership, both leaders and followers work
together to achieve the highest level of productivity and personal accomplishment.
Leaders generally adopt one leadership communication style, which they use
in most situations. This is called a dominant style. A second orientation from the
model may be used as a backup style. For example, a leader might generally adopt a
5,5 leadership communication style but might shift to a 9,1 style when pressured to
get orders out to an important customer.
The most effective leadership communication style, according to Blake and
McCanse, is team management (9,9). Implementation of the 9,9 style in organiza-
tional contexts is associated with increased productivity and profitability,
increased frequency of communication, and improved leader-follower relations.39
Follower Communication Styles
Followers, like leaders, need to understand their communication styles to
carry out their roles successfully.40 In this section we’ll examine four systems for
categorizing followers. Each typology provides insights into the characteristics of
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ineffective and effective followers; each offers guidelines for functioning more
effectively in the followership role.
Engaged Followers
Political scientist Barbara Kellerman places followers along a continuum based
on how willing they are to engage with their leaders and with their fellow followers.41
Isolates are the least engaged followers. In fact, they barely qualify as followers
because they don’t care about their leaders or communicate with them. The mil-
lions of Americans who don’t vote are isolates as are the members of a club that
never show up for meetings. Isolates, by refusing to become involved, empower
leaders and other, more engaged, followers to make decisions for them.
Bystanders observe what is going on but do not actively participate. Many citi-
zens in Nazi Germany acted as bystanders by refusing to oppose Hitler. They stood
by as the nation’s leadership plunged the world into war and slaughtered millions
in concentration camps. Some employees at Penn State University apparently
stood aside instead of intervening when they suspected that a long-time assistant
football coach was sexually abusing children. By standing aside, followers allow the
status quo to continue.
Participants are moderately engaged with their leaders and organizations,
offering support or opposition. Employees at Merck were supportive participants
when they developed and marketed the painkiller Vioxx despite concerns about its
safety. Later the drug was withdrawn from the market because it dramatically
increased the likelihood of heart attacks in patients. Faculty members who hold a
vote of “no confidence” in the university president would be categorized as opposi-
tional participants.
Activists are motivated by strong feelings about their leaders. They are ener-
getic and highly engaged, working to serve or to undermine their leaders. Activist
volunteers and small contributors helped Bernie Sanders mount a significant pres-
idential bid in 2016, one that surprised political pundits. Loyal supporters were
also key to the election of Donald Trump, which also took political experts by sur-
prise. Activist Republican members of Congress ousted House Majority Leader
John Boehner from his position in 2015.
Diehards are totally committed to or opposed to their leaders. They are willing
to die in order to support them or to perish in an attempt to remove them from
their positions of power. Diehards are at the heart of the civil war in Syria. Rebels
are risking death to overthrow President Assad while his loyal supporters are risk-
ing death to keep him in power.
Kellerman argues that two criteria separate good followers from bad follow-
ers. First, better followers are engaged with their leaders. That’s because silence
signals that followers are ignorant, apathetic, or too frightened to speak up. When
followers remain quiet, bad leaders are able to stay in power. Good followers, on
the other hand, speak out the first time they note leader misbehavior, before it
becomes ingrained. When confronting leaders, they are well prepared, arming
themselves with the facts, seeking advice, and recruiting allies. Motivation is the
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second criterion separating good from bad followers. The best followers are moti-
vated by the public interest, not self-interest. They seek to serve their organiza-
tions, communities, and countries.
Exemplary Followership
To identify the components that make up follower styles, Robert Kelley asked
individuals and focus groups to describe the best, worst, and typical followers in
their organizations.42 He found that followers differ on two dimensions—indepen-
dent/critical thinking and active engagement. The best followers are people who
think for themselves and take initiative. The worst followers have to be told what to
do and require constant supervision. Typical followers take direction and complete
jobs on their own after being told what is expected of them.
Once he had isolated the key characteristics of followership, Kelley then devel-
oped the questionnaire found in box 2.5. Followers fall into one of five categories
based on how they respond to the independent thinking and active engagement
sections of this test. Alienated followers are highly independent thinkers who put
most of their energies into fighting rather than serving their organizations because
they’ve become disillusioned with their leaders or feel unappreciated. Alienated
followers provide a dose of healthy skepticism for the group but generally come off
as cynical. An example of an alienated follower would be the class critic who sits in
the back of the room and continually challenges what the instructor has to say. In
contrast, conformists are committed to organizational goals but express few
thoughts of their own. These followers (often referred to as “yes men/women” in
popular culture) may hold back their ideas out of fear or deference to authority.
Pragmatists are moderately independent and engaged. Pragmatism is a way of cop-
ing with organizational uncertainty caused by frequent changes of leadership, lay-
offs, and restructuring. These organizational survivors hold on to their jobs but are
not likely to be promoted. Passive followers demonstrate little original thought or
commitment. They rely heavily on the leader’s direction and meet only minimal
expectations. Their passivity may stem from a lack of skills or be a response to serv-
ing under authoritarian leaders. Passive followers can be found at many fast-food
restaurants where teenagers with limited job experience work under highly direc-
tive supervisors. Exemplary followers rate highly as both critical thinkers and active
participants, contributing innovative ideas and going beyond what is required.
Kelley outlines three sets of skills and values that characterize exemplary fol-
lowership. Utilizing these skills can help us shift from the alienated, conformist,
pragmatist, and passive styles to the exemplary category. First, exemplary followers
add value to the organization by helping it reach its objectives. They know what
they want to achieve in life and commit themselves to organizations that share the
same purposes. They understand what tasks are most important to achieving an
organization’s vision and develop the skills necessary to carry out these critical
path activities. Second, outstanding followers “weave a web of relationships”
through joining teams, building bridges to others throughout the organization, and
working as partners with leaders. Third, exemplary followers cultivate a coura-
58 Chapter Two
Box 2.5 Self-Assessment Followership Style Questionnaire43
For each statement, think of a followership situation and how you acted. Choose a number
from 0 to 6 to indicate the extent to which the statement describes you. 0 indicates rarely applies
and 6 indicates almost always applies.
____ 1. Does your work help you fulfill some societal goal or personal dream that is important
to you?
____ 2. Are your personal work goals aligned with the organization’s priority goals?
____ 3. Are you highly committed to and energized by your work and organization, giving
them your best ideas and performance?
____ 4. Does your enthusiasm also spread to and energize your coworkers?
____ 5. Instead of waiting for or merely accepting what the leader tells you, do you personally
identify which organizational activities are most critical for achieving the organization’s
priority goals?
____ 6. Do you actively develop a distinctive competence in those critical activities so that you
become more valuable to the leader and the organization?
____ 7. When starting a new job or assignment, do you promptly build a record of successes in
tasks that are important to the leader?
____ 8. Can the leader give you a difficult assignment without the benefit of much supervision,
knowing that you will meet your deadline with highest-quality work and that you will
“fill in the cracks” if need be?
____ 9. Do you take the initiative to seek out and successfully complete assignments that go
above and beyond your job?
____ 10. When you are not the leader of a group project, do you still contribute at a high level,
often doing more than your share?
____ 11. Do you independently think up and champion new ideas that will contribute signifi-
cantly to the leader’s or the organization’s goals?
____ 12. Do you try to solve the tough problems (technical or organizational), rather than look
to the leader to do it for you?
____ 13. Do you help out other coworkers, making them look good, even when you don’t get
any credit?
____ 14. Do you help the leader or group see both the upside potential and downside risks of
idea or plans, playing the devil’s advocate if need be?
____ 15. Do you understand the leader’s needs, goals, and constraints, and work hard to help
meet them?
____ 16. Do you actively and honestly own up to your strengths and weaknesses rather than put
off evaluation?
____ 17. Do you make a habit of internally questioning the wisdom of the leader’s decision
rather than just doing what you are told?
____ 18. When the leader asks you to do something that runs contrary to your professional or
personal preferences, do you say “no” rather than “yes”?
____ 19. Do you act on your own ethical standards rather than the leader’s or the group’s standards?
____ 20. Do you assert your views on important issues, even though it might mean conflict with
your group or reprisals from the leader?
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Leadership and Followership Communication Styles 59
Finding Your Followership Style
Use the scoring key below to score your answers to the questions.
Independent Thinking Items Active Engagement Items
Question 1. ____ Question 2. ____
5. ____ 3. ____
11. ____ 4. ____
12. ____ 6. ____
14. ____ 7. ____
16. ____ 8. ____
17. ____ 9. ____
18. ____ 10. ____
19. ____ 13. ____
20. ____ 15. ____
Total Score ____ Total Score ____
Add up your scores on the independent thinking items. Record the total on a vertical axis, as
in the graph below. Repeat the procedure for the active engagement items and mark the total on
a horizontal axis. Now plot your scores on the graph by drawing perpendicular lines connecting
your two scores. The juxtaposition of these two dimensions forms the basis on which people clas-
sify followership styles.
Followership Style Independent Thinking Score Active Engagement Score
EXEMPLARY High High
ALIENATED High Low
CONFORMIST Low High
PRAGMATIST Middling Middling
PASSIVE Low Low
Independent, Critical Thinking
Dependent, Uncritical Thinking
Passive
Engagement
Active
Engagement
alienated
followers
passive
followers
exemplary
followers
conformist
followers
pragmatist
followers
0
10
20
30
40
50
60
100 20 30 40 50 60
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geous conscience by making the right ethical judgments and then following
through on those choices. They anticipate and eliminate ethical problems before
they pose a significant threat and disobey leaders who issue directives that put the
organization at risk. (For an example, see the case study in box 2.6; for an in-depth
discussion of courageous followership, see chapter 11.)
Box 2.6 Case Study When Followers Dare
National Insurance Company is a full-service insurance provider with corporate divisions in 15
locations in the United States. Each division is responsible for writing and servicing policies
within its geographic area. For several years the general manager of the Western Division was
Fred Jackson. Under Jackson’s leadership, the Western Division became the most successful divi-
sion in the company, achieving a goal of policy sales of $100 million a full 18 months ahead of
projections. The success of the Western Division was directly attributable to Jackson’s open, dem-
ocratic leadership style. Jackson knew all of his 250 employees by their first names and was
always willing to talk with an employee who had a question or concern. Jackson, who had
worked his way up from an entry-level position in the company, was a tireless cheerleader for his
staff and never failed to recognize his employees’ achievements. When his division reached its
goal of $100 million in policy sales, Jackson hired a local high school band to march through the
parking lot and then invited all of his employees to join him for a catered lunch-hour barbecue.
Senior management at National recognized Jackson’s leadership prowess, and he was promoted
to the corporate headquarters in New York.
Jackson’s replacement in the Western Division was a recent Stanford MBA graduate named
Jason Hirsch. Hirsch’s leadership style was very different than his predecessor’s. Where Jackson
had been open and interactive, Hirsch was closed and private. He spent most of his time alone in
his office and made only token appearances at company meetings and functions. Most of Hirsch’s
communication consisted of directives handed to the senior management team. Within a few
months of Hirsch’s arrival, the mood at the Western Division began to change. The energy and
team spirit that had been so prevalent under Jackson’s leadership was significantly diminished.
Sales declined dramatically, and rumors surfaced suggesting the Western Division would be
closed with its business moving to other National Insurance Company divisions.
These rumors were the catalyst for a plan among the senior management team in the Western
Division. These managers felt that it was their responsibility to communicate their dissatisfaction
to Hirsch to save jobs in the Western Division. One morning when Hirsch entered the building, he
was greeted by his 12 senior managers dressed in military fatigues. Hirsch was informed that his
managers had “taken over the office,” and he was escorted to a meeting room. The managers
explained to Hirsch that the military uniforms were a joke and that their “coup” was only an
attempt to sit down with Hirsch and discuss how to improve the Western Division. Surprisingly
(some of the managers fully expected they might be fired for their actions), Hirsch was very open
to discussing the situation. As a newcomer to the Western Division, he had felt like an outsider.
This bold move by his followers offered an opportunity for communication. Hirsch admitted that
he was very nervous about taking charge of the division after the departure of the very popular
and successful Fred Jackson. Once Hirsch and his managers began to communicate, they were
able to identify strategies for improving the situation in the Western Division. Although it took
time, the managers’ coup helped to develop a much improved relationship between Hirsch and
his staff. Within six months the Western Division was, once again, among the most successful
divisions within National Insurance Company.
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The 4-D Followership Model
Organizational consultant Roger Adair categorizes employees according to
their degree of job satisfaction, their productivity, and turnover—their intention to
leave their organization.44 In his 4-D Followership model, Quadrant I Disciple Fol-
lowers are focused on serving the needs of others. Disciples are totally committed
and are willing to sacrifice for the company or organization. They are inclusive,
friendly communicators, willing to share their ideas and to learn from others. They
are not likely to leave the organization. Quadrant II Doer Followers focus on meet-
ing their personal needs. These individuals are productive “go-getters.” Though
they may appear to be disciples at first, they are quick to move on when new
opportunities present themselves. Doers are hard workers but can be competitive
and are focused on furthering their careers. Quadrant III Disengaged Followers
take a passive approach when under stress. These followers are detached and care-
fully limit their communication, appearing nonresponsive, closed minded, and
guarded. Inertia keeps them in their current organizations. Quadrant IV Disgrun-
tled Followers respond actively to stress. These constituents tend to be vocal,
aggressive, and combative. They are unforgiving and closed to other points of view.
Disgruntled followers are more than ready to leave their current organizations,
believing that any new situation has got to be better than their current one.
Adair believes that most employees function as either disciples or doers. They
are most productive and satisfied when they operate within the quadrant that nat-
urally fits them best. Further, both types of followers are essential to organizational
success. Stress can push disciples and doers into the disengaged or disgruntled
quadrants, however. In order to shift back to their natural quadrant, followers need
to change their attitudes and, at the same time, work with their leaders to make this
change. For example, the disciple follower who wants to function independently
may become passive if supervised closely. To return to the discipleship quadrant,
this follower will need to give up some of her autonomy and the leader will need to
Discussion Questions
1. Do you think it was appropriate for the followers to approach Jason Hirsch the way they
did? Why? Why not?
2. Do followers have a responsibility to take action when a leader’s ineffectiveness may have neg-
ative consequences on others? How can followers determine when it is time to take action?
3. What can followers do to help a new leader succeed?
4. Robert Kelley suggests that two components make up follower communication styles:
independent/critical thinking and active engagement. How would you rate the follower
communication of the senior management team in the Western Division? In what category
on the Kelley model would you place the followers who organized the “coup”?
5. What impact do you think each of the follower communication styles has on organiza-
tional effectiveness? What style of follower would you like to lead?
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relinquish a degree of control. A doer follower who is used to being a top per-
former is likely to become aggressive in the face of failure. To return to the doer
quadrant, the disgruntled employee will have to change from within by accepting
the fact that he may not always excel. His leader will need to set limits on how
vocal the worker can be in expressing his displeasure about his current situation.
Transcendent Followership
Advocates for transcendent followership argue that the best followers demon-
strate knowledge and skills that transcend or cross multiple levels or domains.45
They show competence in managing themselves, working with others, and sup-
porting and changing the organization as a whole. Followership at the domain of
the self describes the ability to direct one’s activities while remaining true to per-
sonal values and beliefs. Self-leadership rests on self-direction and self-motiva-
tion. (We’ll have more to say about self-leadership in chapter 5.) Competent
followers know their strengths and weaknesses and engage in self-criticism. They
assume responsibility for developing their skills, which may mean stepping out
beyond their comfort zones. For example, frontline employees at Toyota demon-
strate self-leadership by acting as problem solvers and change agents who tie their
work to that of their leaders. Followership at the domain of others is competence
in relating to peers and leaders. Those skilled in this domain relate to others in a
positive fashion by helping out coworkers, demonstrating kindness, and express-
ing gratitude. They build trusting relationships with leaders and function effec-
tively in teams, building on the leader’s strengths and minimizing her/his
weaknesses. Followership at the organizational level is competence at supporting
the group as a whole by, for example, scanning the environment for potential trou-
ble spots and dealing with unexpected situations that might disrupt service to cus-
tomers. Organizationally skilled followers are also supportive of the organization
when speaking to outsiders. Effectiveness at this level requires that followers be
proactive and persistent.
Proponents of the multi-domain approach argue that there are significant lim-
itations to only demonstrating competence at a single level. Followers who are only
skilled at self-leadership often focus on themselves and demonstrate limited con-
cern for others and the organization as a whole. They don’t like to share their
knowledge and may damage working relationships. As the founder of Pixar noted,
it is difficult “getting talented people to work effectively with one another.” The
self-oriented follower is most effective when he or she doesn’t have to depend on
others to complete a task. Followers skilled only at relationships are tempted to put
the goals of the team above that of the organization. They are most effective when
they are charged with executing a task or mission, not when called upon to gener-
ate creative ideas. Followers who are only competent at the organizational level
often promote better collective performance in the short run but at a high cost to
self and others. They may ignore their own needs or create an atmosphere of
dependence. This type of follower can’t be counted upon to engage in the indepen-
dent thinking that the group needs over time.
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Followers who demonstrate two out of the three levels of competence are more
effective than single-level followers. However, constituents should strive to work
effectively at all three domains. Transcendent followers help the organization
adapt to rapidly changing conditions. At the same time, these followers believe
they are contributing to something bigger than themselves; they are convinced that
their work is important. Transcendent followers are emotionally connected to their
coworkers and feel personal responsibility for their actions.
Communication Styles, Information Processing,
and Identity
So far in this chapter we have focused on the observable behaviors of leaders
and followers and explored the link between communication styles and perfor-
mance. However, this approach leaves a number of important questions unan-
swered. For example: What process do leaders and followers use when choosing
one style over another? How do constituents decide if someone is a leader? What
factors make leaders and followers more receptive or resistant to influence from
the other party? Information-processing scholars Douglas Brown, Robert Lord,
and others argue that we must look inside the minds of leaders and followers to
answer questions like these.46 They focus on cognitive processes that determine
behavior, “attempting to discern how individuals acquire, store, retrieve, and use
information to better understand how those individuals (i.e., leaders and followers)
function and adapt to the current context.”47
Three concepts are crucial to understanding the information-processing per-
spective. First, the basic building blocks of knowledge are symbols and categories
of symbols. These symbols (generally words) are stored in long-term memory and
allow us to engage in conceptual thinking. We draw on language whenever we
think, problem solve, plan, and remember.48 Second, these symbolic bits of knowl-
edge form interconnected networks called schemas or schemata, which assist us in
interpreting and making sense of the world around us. Imagine, for instance, how
confusing it would be to attend a wedding for the first time without any schema for
figuring out what is going on. You would have no idea how to dress, where to sit,
how to behave during the ceremony, the roles of the wedding party, and so forth.
Leaders and followers, too, have schemata that guide their behaviors, helping them
determine who is a “motivated” or “unmotivated” follower or a “successful” or
“unsuccessful” leader, for example. Third, schemas must be activated in order to
influence perceptions, attitudes, and behavior. The large volume of schemata in
long-term memory and the limited capacity of working memory mean that only a
small subset of schemas can be activated at a given time.
A leader’s selection of a particular behavioral style depends in part on the sche-
mata that she or he has stored in long-term memory. The leader who thinks of fol-
lowers as generally incompetent, for instance, is much more likely to engage in
authoritarian leadership that calls for strict supervision and direction on his or her
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part. (See the earlier discussion of Theory X.) If the leader’s schema holds that fol-
lowers perform better when they like their supervisors, she or he will adopt a rela-
tionally oriented style. Not surprisingly, leaders can’t utilize an alternative style
unless they have established a schema for the beliefs, attitudes, and behaviors of
that style. In the case of our authoritarian leader, it would be difficult for this indi-
vidual—perhaps someone raised by authoritative parents—to adopt a more demo-
cratic approach unless he or she understands what this style entails.
Researchers report that leaders with a broader variety of schemata are better
able to adjust their behavior to the situation and to generate superior solutions
more quickly. Experience plays an important role in developing expert knowledge
that leads to improved performance. For instance, when compared to junior offi-
cers, senior military officers have schemata that are better organized and that are
based on principles that can be applied to a variety of situations.49 Experience isn’t
the only way to develop new schemata, however. New symbolic networks can be
created through training programs, books, TED talks and YouTube videos as well.
Leaders also respond to the situation when choosing which communication
style to use. In particular, they must “make sense” of their followers through cate-
gorization. How they categorize followers determines their style, which, in turn,
has a direct impact on the performance of subordinates as well as the organization
as a whole. As we’ll see in our discussion of leader-member exchange theory in
chapter 3, followers selected to be members of the leader’s “in-group” have more
flexibility when it comes to completing their tasks and exert more influence in
decision-making. In contrast, leaders are more dominant in interactions with fol-
lowers who make up the “out-group.” In-group members are more productive and
satisfied than their out-group counterparts as a result.
Categorization extends to attributions about the causes of the followers’
behaviors. Superiors are more likely to punish poor performance (e.g., a delayed
shipment) if they perceive it is the product of internal forces (lack of motivation)
rather than external forces (unexpected delays caused by the weather). These attri-
butions are often biased. Leaders will protect themselves by blaming failure on
external forces, such as the shortcomings of followers, rather than on internal fac-
tors, such as the leaders’ failure to provide adequate guidance and resources.
Supervisors are generally more tolerant of the failings of subordinates they like.
Schemas guide followers as well as leaders. To begin, followers construct dif-
ferent definitions of what it means to be a follower.50 Passive followers define their
role as taking orders and following through on directions from leaders who have
more expertise. To them, a successful follower never challenges authority and
avoids taking risks. Active followers believe that it is important to express their
opinions and give input when asked by their leaders. But, according to their
schema, the good follower is loyal and supports the leader even when disagreeing
with the leader’s decision. Proactive followers take the initiative, offering feedback,
advice, and dissent even when they haven’t been asked to do so. They continue to
resist even after the decision has been made. Researchers Melissa Carsten and
Mary Uhl-Bien report that followers who view themselves as partners with their
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supervisors (as co-producers of leadership) are less likely to give into unethical
requests from their leaders and are more likely to voice their opposition. In con-
trast, passive followers comply rather than resist.
The impact of a leader’s style rests on how subordinates interpret his/her
actions. Consider who gets selected for a leadership role, for example. Judgments
of who is suitable to lead are largely based on implicit leadership theory—our
beliefs about what distinguishes a leader from a nonleader.51 The ideal small-group
leader takes an active role in the discussion through setting goals, giving direc-
tions, managing conflict, and summarizing the group’s deliberations (see chapter
7). The group member who engages in these prototypical behaviors is most likely
to emerge as leader when one has not been appointed ahead of time. It should be
noted that a leader candidate doesn’t have to have all the prototypical characteris-
tics to be selected for the role, and that the ideal leader will vary between situa-
tions. We have different expectations of a military leader than of a religious one or
of a frontline supervisor and the CEO in the same organization. (Take a look at box
2.7 to see how the prototypical leader in the United States compares to those in
other countries.)
Performance outcomes serve as indirect cues for evaluating those in leadership
roles. Observers make judgments about a leader’s effectiveness based on how well
the group performs and on whether or not they believe the leader is responsible for
Box 2.7 National Differences in Leadership Prototypes52
Nation Prototype
United States Free Agent Star—a winner who gets short-term results; sees money as an indi-
cator of worth
Latin America General—strong man in charge, keeps order, promotes change, controls
France Genius—smartest one, best exam score, member of intellectual elite, gradu-
ate of the best school
United Kingdom Diplomat—big thinker, well-educated, well-traveled, good social skills
Germany Master—most respected by peers, expert in field, has in-depth knowledge
Italy Godfather—holds together conflicting factions, punishes and favors, paternalistic
Holland Marathon Winner—outworks the rest, runs hard, trains well, endures, at head
of pack
Poland Baron—protects castle and fiefdom, exercises power for self and close associates
Japan Senior Statesman—older, wiser; from the group; survivor, consensus builder
China Warlord—local power; uses quanxi (favors) for loyal supporters; rich
Vietnam Communist Party Boss—wears numerous hats; favors to family and friends;
ideological
Israel Field Commander—smart, energetic, creative, tactical, self-made
Africa Tribal Chief—older, wiser, consultative; orchestrates various networks, builds
factions
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its successes or failures. We generally infer, for example, that the CEO of a highly
profitable company is effective due to the success of the corporation and our belief
that she or he plays a critical role in the organization’s high performance.53
Social psychologists have increasingly focused on the role of identity in leader-
ship and followership. Some identity theorists examine how leaders achieve their
goals by influencing the ways that followers think of themselves, their self-identity.54
The self-concept is made up of many different self-schemas, which are activated at
different times. When you are sitting in class, your student script is active. If you call
your mother on your cell phone after class, your son or daughter schema takes center
stage. Levels of self-identity range from individual (defining the self as different from
others), to the interpersonal or relational (defining the self in terms of relationships
with others), to the collective (identifying with the group or larger organization).
To be effective, leaders must both tailor their communication styles to the self-
identification level of their followers and, at the same time, help followers change
how they view themselves. Those followers who think of themselves as individuals
will be more open to personal performance feedback and rewards. Those operat-
ing at the interpersonal level will be looking to establish a positive emotional rela-
tionship with their leaders. Followers who define themselves at the collective level
will be more motivated by messages that emphasize teamwork and organizational
goals. Outstanding leaders encourage followers to shift their focus from personal
concerns to the group as a whole, which increases individual commitment and col-
lective performance. Often this shift begins with establishing good relationships
with new followers. Over time, these followers develop schemas that highlight
their group membership. They adopt the values and standards communicated by
the leader and begin to regulate their own behavior according to these guidelines.
Their personal goals—their images of what they would like to be in the future—
become linked to the vision of the organization.
Other theorists believe that social identity, not individual identity, is the key to
leadership effectiveness.55 The more an individual identifies with the group (the
more salient the group is to the person), the more important it is for the leader to
uphold the group’s identity. Followers like leaders who are “one of us,” who (a)
emphasize how the group is unique and distinctive (“we” are different from
“them”), and (b) communicate that the group is superior (“we” are better than
“them”). For example, the leader of an institutional technology department might
reinforce the idea that IT staff members are more creative and committed than
employees in other units. When social identity is strong, followers look to leaders
to support the interests of the group and group members, even at the expense of
other groups. The IT leader might argue for a larger department budget and lobby
for raises for department employees. If she or he is successful, other departments
may receive less money and their employees may not get raises. Setting the emo-
tional tone is an important element of leadership in social identity theory. Leaders
let followers know how they should feel and behave (see our discussion of emo-
tional intelligence in chapter 1). Followers, for their part, express disapproval and
anger towards leaders who threaten the group’s identity by acting unfairly or in a
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self-serving manner. They also disapprove of leaders who demonstrate emotions
that don’t fit with the group’s situation, such as a coach laughing and joking in the
locker room right after a loss.
The information processing and identity approaches deepen our understand-
ing of leader and follower styles by shifting the focus to intrapersonal communica-
tion—communication that occurs within the individual. The selection and
effectiveness of leadership styles depend on the storage and activation of symbols
and symbolic networks. Here are some implications of this approach for aspiring
leaders and followers.
1. Develop your knowledge and experience base. The more you learn about
leadership and get firsthand experience serving as a leader, the greater your
ability to meet the demands of the situation and to generate good solutions.
2. Acknowledge the power of categorization. How you categorize others will
determine how you respond to those individuals, how they respond to you,
how well they perform, and how well the group as a whole performs.
Beware of possible perceptual biases that unfairly categorize followers or
protect you at the expense of others.
3. Be careful how you view yourself as a follower. If you define the follower role
as passive, you will find it hard to resist unethical directives and to oppose
poor decisions. Think of yourself as a partner with your leader.
4. Know your audience. Determine the leadership prototypes held by the
group and act in a way that fulfills those expectations. What followers
expect of you, as a leader, will depend on a variety of factors including orga-
nizational and national culture, group history, and elements of the situation.
Not fulfilling leadership prototypes is a major cause of failure when leaders
are placed in other cultures. Know, too, how your followers define them-
selves and direct messages to their level of identity—self, relational, or orga-
nization centered.
5. Performance counts. Recognize that performance counts or, rather, your
connection with performance counts. To emerge as a leader and to be effec-
tive in a leadership role, you’ll need to be perceived as contributing to the
group’s success. Increase your power or discretion to influence events
through your knowledge and example (see chapter 5) while establishing
coalitions with others in the organization.
6. Be flexible. Different audiences and situations will call for a variety of responses.
A style that works in one setting may not work in another. Seek feedback about
how followers are responding to your behavior and adjust accordingly.
7. Focus attention on the “we” not the “me.” Emphasize the importance of the
group or organization’s shared mission and goals to encourage followers to
activate their collective identities. Such shared focus can boost individual
motivation and performance, which, in turn, helps the group become more
productive. One simple way to start this process is through your choice of
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words. Use more inclusive language like “us” and “we” instead of “I” and
“you.” Frequently communicate shared values and reward behavior that
serves common goals.
8. Respect and maintain the group’s social identity. Once collective identity is
activated, it exercises strong influence over the thoughts and behavior of
group members. Emphasize how your group is distinctive and look out for
the interests of the team and team members. Be prepared to sacrifice on the
group’s behalf; follow fair procedures. Set the emotional tone for the group
while expressing emotions appropriate to the situation.
CHAPTER TAKEAWAYS
• One factor that contributes to variations in leader effectiveness is communica-
tion style. Leadership communication style is a relatively enduring set of com-
municative behaviors that a leader engages in when interacting with followers.
• Authoritarian leaders maintain strict control over followers by directly regulating
policy, procedures, and behavior. Authoritarian leaders create distance between
themselves and their followers as a means of emphasizing role distinctions. Many
authoritarian leaders believe that followers would not function effectively without
direct supervision. The authoritarian leader generally feels that people left to com-
plete work on their own will be unproductive. As a leader, recognize that an author-
itarian style can boost output, but reduces follower satisfaction and commitment.
• Democratic leaders engage in supportive communication that facilitates interaction
between leaders and followers. The leader adopting the democratic communication
style encourages follower involvement and participation in the determination of
goals and procedures. Democratic leaders assume that followers are capable of
making informed decisions. The democratic style of leadership is often most effec-
tive, being associated with increased follower productivity, satisfaction, and
involvement/commitment.
• Laissez-faire refers to a form of leader communication that has been called non-
leadership by some. An ineffective version of this leadership communication
style involves abdication of responsibility on the part of the leader; leaders with-
draw from followers and offer little guidance or support. As a result, productiv-
ity, cohesiveness, and satisfaction often suffer. A more positive form of the
laissez-faire leadership communication style affords followers a high degree of
autonomy and self-rule while, at the same time, offering guidance and support
when requested. The laissez-faire approach works best when used with highly
knowledgeable and motivated experts.
• A number of researchers have concluded that leadership consists of two primary
communication dimensions: task and interpersonal, which focus on work that
needs to be done and the people who do the work. Recently change-oriented
communication has emerged as a third dimension. Change- or development-ori-
ented communication fosters innovation and change.
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• Several models focusing on the task and interpersonal dimensions of leadership
have been developed. Most notable are: (1) the Michigan leadership studies, (2)
the Ohio State leadership studies, (3) McGregor’s Theory X and Theory Y, and
(4) Blake and McCanse’s Leadership Grid.®
• As a follower, you also need to understand your communication style to carry out
your role successfully. Engaged followership, exemplary followership, the 4-D fol-
lowership model, and transcendent followership are four ways to categorize fol-
lower styles. The best followers are highly engaged and take initiative. They are also
committed to other followers, their leaders, and to their organizations. They dem-
onstrate competence across three levels or domains: self, others, and organization.
• Information-processing theory looks inside the minds of leaders and followers to
determine how they select and respond to communication styles. A leader’s
selection of a particular style depends (1) on schemata (interconnected bits of
symbolic knowledge) stored in memory, and (2) on the categorization of follow-
ers and other elements of the situation. For their part, followers construct pas-
sive, active, and proactive definitions of their roles, which determine how willing
they are to disobey unethical orders and to resist their leaders.
• To be selected as a leader, you will generally need to resemble the image of the
ideal or prototypical leader. Followers also make inferences about your effective-
ness based on performance outcomes or cues.
• In order to achieve your goals, influence how followers think of themselves. Tai-
lor your style to the self-concepts of followers, who may be individually, relation-
ally, or organizationally focused; at the same time, encourage followers to
identify with collective values and goals.
• The more salient the group identity is to members, the more important it is for
you as a leader to uphold that social identity. Effective leaders emphasize what
makes the group distinctive and superior. They also lobby on behalf of the team
and team members. Team members express anger and disapproval towards lead-
ers who are self-serving, unfair, and express inappropriate emotions.
• Important implications of the information-processing and identify approaches
include: (1) develop your knowledge and experience base as a leader, (2)
acknowledge the power of categorization, (3) be careful how you view your fol-
lower role, (4) know your audience, (5) don’t underestimate social influence, (6)
performance counts, (7) be flexible, (8) focus attention on the “we,” not the “me,”
and respect and reflect the group’s identity.
APPLICATION EXERCISES
1. Make a list of the qualities that you believe are important for effective leader-
ship. Compare your list with the communicative behaviors listed in table 2.1, p.
42. Do effective leaders seem to adopt one leadership communication style
more than others?
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2. In what types of situations do you believe each of the leadership communica-
tion styles identified in this chapter would be most effective? Least effective?
3. Try to think of historical examples of leaders who adopted one of the five grid
positions identified by Blake and McCanse. Which of these leaders was most
effective? Why?
4. In a group, develop a list of the characteristics of good and bad followers.
Report your findings to the rest of the class.
5. Determine if you are a task or relationally oriented leader using the scale found
in box 2.4. Then divide into task and relational groups. In your group, discuss
the following: What are the advantages and disadvantages of your style? Of the
other style? What frustrates you about the other style? What do you wish they
knew about your style? Then meet with the other team and share your
responses. Draw conclusions based on what each group shares.
6. Identify your follower communication style using the self-assessment question-
naire found in box 2.5. Why do you think you have adopted this style? What are
your strengths and weaknesses as a follower? If you’re not an exemplary fol-
lower, develop a strategy for becoming one. If you categorized yourself as exem-
plary, what can you do to become even more effective? Write up your findings.
7. In a group, discuss the relationship between leadership and followership
styles. Based on your past experience, identify how leader communication
styles have affected your performance as a follower. Try to pinpoint the leader-
ship behaviors you think are most important in promoting exemplary and
transcendent followership.
8. Reflect on your past experiences with leadership and try to identify how your
view of the most/least desirable leadership communication styles has been
affected. What have been the primary influences on your view (home, work,
school, other)?
9. Describe your prototypical political leader, student body president, professor,
and supervisor at work. How are these images similar? Different? Why? As an
alternative, select a group that you might want to lead. Describe the prototypi-
cal leader for this group. What leadership communication style would you
need to use to be selected for this role?
10. Keep a record of your leadership/followership activities over a period of one to
two weeks. Evaluate your efforts in light of the information-processing and
identity approaches.
CULTURAL CONNECTIONS:
THE PERFORMANCE-MAINTENANCE (PM) THEORY OF LEADERSHIP56
Shortly after World War II, American social psychologist Kurt Lewin urged a
colleague in Japan to investigate whether the findings of leadership style research-
ers in the United States would generalize to Japanese culture. In response, Jyuji
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Misumi and his colleagues carried out a 40-year research program that generated
the Performance-Maintenance (PM) Theory, which is based on two dimensions of
leadership—performance (P) and maintenance (M). Performance behavior
involves pressure to follow regulations and to produce. Maintenance behavior is
aimed at preserving the social stability of the group. A leader falls into one of four
quadrants: performance oriented (P), maintenance oriented (M), not exhibiting
either performance or maintenance behaviors (pm), or demonstrating both (PM).
Studies with Japanese subjects found that the PM style is most effective, followed
by the M style, P style, and pm-oriented style.
While Western task-relationship theory focuses on the behavior of leaders, PM
theory examines the experiences of followers with their leaders. Thus, the same
leader behavior may have a different meaning depending on the context. Pressure
to complete a task is more acceptable when the leader and follower have a strong
relationship, for example. Overall, performance and maintenance behaviors are
similar to the task and relationship behaviors identified in the Michigan and Ohio
State studies. Yet, the classification of behaviors as P or M differs between cultures.
For instance, Japanese maintenance behaviors include teaching new job skills, talk-
ing about work problems, and sending written notes to subordinates. In the United
States, supervisors are rated as higher in maintenance if they do NOT engage in
these activities. Similarly, Japanese supervisor performance behaviors, like meeting
socially after work hours or arranging help for a worker with personal problems,
would be considered maintenance behaviors by many US followers. Discussing an
employee’s personal problems with others when he or she isn’t around, which is
seen as promoting group solidarity in Japan, would not be accepted in the West.
The Leadership Grid, developed in the US, emphasizes that leaders need to be
high in both task and relationship behaviors. PM theory, on the other hand, asserts
that moderation is best. The best leaders display “substantial” amounts of both
behaviors and adjust their level of P or M communication depending on the situa-
tion. More P-type behavior is needed at the beginning of new project or with a
temporary group assigned a simple task. M-type leadership is best with anxious,
highly aroused followers. Further, the PM dimensions, rather than being seen as
opposites or distinct, interact with each other. That explains why P-oriented lead-
ership without maintenance behavior is largely ineffective.
LEADERSHIP ON THE BIG SCREEN: IN THE HEART OF THE SEA
Starring: Chris Hemsworth, Benjamin Walker, Cillian Murphy, Tom Holland
Rating: PG-13 for intense action scenes and mature themes
Synopsis: Herman Melville based his novel Moby Dick on the story of the Essex, a
real-life ship sunk by a whale in the Pacific in 1820. This film recounts the last voy-
age of the Essex, which is troubled from the start. Successful whaler Owen Chase
(played by Hemsworth) expects to be named captain. Instead, George Pollard
(Walker) is given command and Chase is appointed first mate. Pollard, though
young and inexperienced, is named captain because he is a member of a prominent
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Nantucket whaling family. The autocratic Pollard mocks Chase’s humble origins
and puts his crew in danger by sailing into a storm against the first mate’s advice,
nearly sinking the ship. Realizing that returning to port without any whale oil
would ruin both of their reputations (and leave them broke), the two set aside their
differences and sail thousands of miles to better hunting grounds off the coast of
South America. There a white whale destroys the Essex, leaving the crew drifting
for weeks in three small boats. Pollard and Chase develop a grudging respect for
one another as the survivors fight to stay alive. After their rescue, Pollard and
Chase appear at a public hearing and are urged by the ship’s owners—hoping to
protect the image of the whaling industry—to say the ship ran aground. Both the
captain and first mate refuse to lie.
Chapter Links: authoritarian and democratic leadership styles, task-oriented lead-
ership, Theory X, followership communication styles, leader and follower schemas
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�����
3
Traits, Situational, Functional,
Skills, and Relational Leadership
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Great leaders are never satisfied with current levels of performance.
They are restlessly driven by possibilities and potential achievements.
—Donna Harrison
�
OVERVIEW
Understanding and Explaining Leadership
The Traits Approach to Leadership
The Situational Approach to Leadership
Path-Goal Theory
Hersey and Blanchard’s Situational Leadership Approach
The Functional Approach to Leadership
Task-Related Roles
Group-Building and Maintenance Roles
Individual Roles
The Skills Approach to Leadership
Three-Skill Model
Task-Based Competencies
Problem-Solving Capabilities
The Relational Approach to Leadership
Vertical Dyad Linkage Model
Leader-Member Exchange Theory
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Understanding and Explaining Leadership
Much of what was written about leadership prior to 1900 was based on obser-
vation, commentary, and moralization. The increasing use of “scientific” proce-
dures and techniques to measure human behavior, which blossomed in the early
twentieth century, changed the way scholars looked at leadership. Over the past
130 years, seven primary approaches for understanding and explaining leadership
have evolved:
1. Traits approach
2. Situational approach
3. Functional approach
4. Skills approach
5. Relational approach
6. Transformational approach
7. Authentic approach
Early social scientists believed that leadership qualities were innate; an individ-
ual was either born with the traits needed to be a leader, or he or she lacked the
physiological and psychological characteristics necessary for successful leadership.
This approach to leadership, known as the traits approach, suggested that nature
played a key role in determining leadership potential. The idea that inherent lead-
ership traits could be identified served as the impetus for hundreds of research
studies in the early part of the twentieth century. After being challenged in the late
1940s, the popularity of the traits approach waned. However, in recent decades
there has been renewed interest in the significance of traits in shaping perfor-
mance and the perceptions of leadership effectiveness.
The situational approach argues that the traits, skills, and behaviors necessary
for effective leadership vary from situation to situation. Think of a successful
leader you know; perhaps he or she leads a student club, social group, or religious
congregation. Now imagine this leader as a union boss, school principal, football
coach, lab supervisor, or military commander. Is it difficult to picture this person
playing different leadership roles effectively? A leader is not always successful in
every situation. A leader’s effectiveness depends on his or her personality, the
behavior of followers, the nature of the task, and many other contextual factors.
The eighteenth president of the United States, Ulysses S. Grant, is an example of
how a leader’s effectiveness varies between situations. Grant was a highly effective
military leader but was considered inept as president.
While many researchers have attempted to identify factors influencing leader-
ship effectiveness in various contexts, others have studied the functions of leader-
ship. The functional approach looks at the way leaders behave. The underlying
assumption of the functional approach is that leaders perform certain functions
that allow a group or organization to operate effectively. An individual is consid-
ered a leader if he or she performs these functions. The functional approach has
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been applied primarily to group leadership. The perspective is important to com-
munication scholars because it attempts to identify specific communicative behav-
iors associated with leadership.
The skills approach identifies the abilities that individuals need to effectively
carry out their leadership functions. Unlike traits, these skills can be learned and
developed through training and experience; skill building is the focus of leadership
education and training. A variety of leadership skills lists have been offered, includ-
ing those based on organizational levels, leadership tasks, and problem solving.
The relational approach focuses on the links or relationships between leaders
and followers. This approach to leadership explores the unique interactions a
leader has with each of her or his followers. These interactions are critical in devel-
oping leader-follower relationships, which, in turn, impact effectiveness. Those
who have positive relationships with their leaders are generally more satisfied and
productive. Effective leaders try to establish high-quality relationships with as
many followers as possible.
In this chapter we will explore the traits, situational, functional, skills, and rela-
tional approaches to leadership. The transformational and authentic approaches
will be discussed in the next chapter. All seven approaches provide perspectives for
understanding and explaining leadership—frameworks that guide leadership the-
ory, research, and practice. Sometimes the approaches overlap; other times they
contradict one another. No single approach provides a universal explanation of
leadership behavior, but each provides useful insights. As you read, try to identify
at least one concept from each approach that you can use to become a more effec-
tive leader (see Application Exercise 10 on p. 101).
�
A good theory is one that holds together
long enough to get you to a better theory.
—D. O. Hebb
The Traits Approach to Leadership
In the early part of the twentieth century, it was widely believed that leaders
possessed unique physical and psychological characteristics that predisposed them
to positions of influence. Researchers were not completely sure which characteris-
tics were most important, but they assumed that an individual’s physical and psy-
chological features were the best indicators of leadership potential. Scores of
leadership studies focused on factors such as height, weight, appearance, intelli-
gence, and disposition. Other studies looked at status, social skill, mobility, popu-
larity, and other social traits in order to determine which of these characteristics
were most strongly associated with leadership. Researchers wanted to know, for
example, were leaders: tall or short? bright or dull? outgoing or shy?
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In 1948, Ralph Stogdill published a review of 124 studies that had appeared in
print between 1904 and 1947 with a focus on traits and personal factors related to
leadership.1 Stogdill’s review uncovered a number of inconsistent findings. Leaders
were found to be both young and old, tall and short, heavy and thin, extroverted
and introverted, and physically attractive as well as physically unattractive. Further,
the strength of the relationship between a given trait and leadership prowess varied
significantly from study to study. Stogdill concluded, “A person does not become a
leader by virtue of the possession of some combination of traits, but the pattern of
personal characteristics of the leader must bear some relevant relationship to the
characteristics, activities, and goals of the followers.”2
In 1974, Stogdill again published an exhaustive review of traits research. This
time he analyzed 163 traits studies published between 1949 and 1970.3 Fewer incon-
sistencies were uncovered in this research, but Stogdill remained convinced that
personality traits alone did not adequately explain leadership. Once again, Stogdill
concluded that both personal traits and situational factors influenced leadership.
�
Leaders are made, they are not born. They are made by
hard effort, which is the price which all of us
must pay to achieve any goal that is worthwhile.
—Vince Lombardi
Stogdill’s work has sometimes been cited as evidence that personal traits have no
bearing on leadership. Stogdill himself did not hold this view. In 1974, he wrote:
[I] have been cited frequently as evidence in support of the view that leadership
is entirely situational in origin and that no personal characteristics are predic-
tive of leadership. This view seems to overemphasize the situational and under-
emphasize the personal nature of leadership. Strong evidence indicates that
different leadership skills and traits are required in different situations. The
behaviors and traits enabling a mobster to gain and maintain control over a
criminal gang are not the same as those enabling a religious leader to gain and
maintain a large following. Yet certain general qualities—such as courage, forti-
tude, and conviction—appear to characterize both.4
Later researchers used advanced statistical techniques to reanalyze previous
reviews of trait research as well as to conduct additional reviews.5 The updated
analyses (as well as new analyses) revealed that personal characteristics do have an
influence on leadership behavior and perceptions. Contemporary research has
identified the following as important leader traits.6
Cognitive abilities. Investigators have discovered a link between intelligence
and effective leadership. Those who score higher on mental ability tests are gener-
ally more likely to emerge as leaders and perform successfully. Creative or diver-
gent thinking is also important, particularly in solving complex problems.
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Locus of control. Individuals with an internal locus of control (internals) believe
that the rewards they receive are largely under their control and rest upon their own
efforts. Individuals with an external locus of control (externals) believe that their
rewards are determined by outside forces like chance, powerful people, and fate.7
Internals are more likely to emerge as leaders; to rely more on persuasion than on
coercion; to pursue more innovative, risk-taking corporate strategies; and to engage
in outstanding leader behaviors that promote higher organizational performance.8
Personality. Personality studies have largely centered on the relationship
between leadership and the Big Five Model. The Big Five personality model orga-
nizes personality traits around five dimensions: neuroticism (emotional stability),
extraversion (sociability), openness to experience (creative and curious), agreeable-
ness (trusting and nurturing), and conscientiousness (organized and dependable).9
Meta-analysis of 78 leadership and personality studies has linked the Big Five per-
sonality factors (often referred to by the acronym NEOAC) to leadership effective-
ness. Extraversion was found to have the strongest positive relationship to
leadership, followed by conscientiousness, and openness. Agreeableness was found
to have only a weak association with leadership. Neuroticism had a negative rela-
tionship with leadership.10
In practical terms, those with higher or lower ranges within these personality
dimensions can be expected to experience work differently. High extroverts like to
be around people and enjoy interaction and social settings, while those scoring
lower on this dimension are more energized by working alone. (Turn to box 3.1 for
a closer look at introverted leaders.) Those with a higher openness to experience
are intrigued by new ideas and activities, while workers scoring lower on this
dimension prefer the familiar and tend to be more practical. Highly agreeable peo-
ple have a tendency to accommodate the needs of others, while those scoring lower
on this dimension are more inclined to focus on their own personal needs. Those
with high conscientiousness scores tend to be more focused and organized, while
those scoring lower on this dimension are more spontaneous and tend to be more
comfortable with multitasking. Those who are higher on neuroticism tend to be
more reactive and affected by stress, while those scoring lower on this dimension
are generally calm and less impacted by stress.11
Motivation. Three motives have drawn the most attention from traits research-
ers: power, achievement, and affiliation.12 Generally speaking, the most effective lead-
ers are high in power motive, moderate to high in achievement motivation, and lower
in the need to affiliate with others. Power motivation encourages individuals to seek
and exert influence as leaders. However, power should be exercised on behalf of the
group instead of personal gain.13 Leaders also seek achievement but, as they take
upper level positions, they must set aside the desire for personal achievement and
focus on achieving through others. Those with a strong need to relate to others (affili-
ation) are typically not as successful because their need to please others interferes with
their ability to make tough decisions like laying people off or denying promotions.
Investigators have also discovered that individuals differ in their motivation to
lead (MTL).14 MTL determines how much a person seeks out leadership roles as
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well as the amount of effort he or she puts forth to succeed once in a leadership
position. MTL is made up of three factors. Those with affective-identity leadership
motivation are driven to express domination and power. They are generally outgo-
ing and confident, value achievement, and have significant past leadership experi-
ence. Those with social-normative leadership motivation lead because they are
driven by a sense of duty and obligation to the group. Those with non-calculative
leadership motivation don’t consider the cost of leading but, instead, lead because
they want to preserve group harmony. People with high overall motivation to lead
are more likely to be both informal and formal leaders, receive higher effectiveness
ratings, and benefit more from leadership training. (To determine your motivation
to lead, complete the self-assessment in box 3.2.)
Social appraisal (social intelligence). Social appraisal is the ability to recog-
nize the feelings and behaviors of others in social situations and to respond effec-
tively based on that knowledge. A number of researchers argue that this trait is
essential to effective leadership. They report that individuals who are better at
monitoring their thoughts and feelings are more likely to emerge as leaders. Once
in leadership roles, those who are skilled at responding flexibly to a variety of con-
texts experience more success. Emotional intelligence is a subset of social intelli-
Box 3.1 Research Highlight The Introverted Leader15
It’s easy to see why extroverts would be more likely to emerge as leaders. They fulfill the
image of the prototypical leader by speaking up, asserting themselves, and making connections
with others. As we saw in chapter 1, in the United States willingness to communicate is tied to
leadership emergence and a number of other positive outcomes. Writer Brian Walsh sums up the
nation’s bias toward extroversion this way:
Simply being an introvert can also feel taxing—especially in America, land of the loud
and home of the talkative. From classrooms built around group learning to open-plan
offices that encourage endless meetings, it sometimes seems that the quality of your
work has less value than the volume of your voice.16
A number of scholars argue that all the focus on the extroverted leader overlooks the fact that
introverted people can also be effective leaders. They point to Mohandas Gandhi, Moses, Warren
Buffet, Bill Gates, Rosa Parks, and Albert Einstein as prominent examples of leader-introverts. In
fact, introverts have significant advantages over extroverts. Introverts are better listeners, which
enables them to gather the ideas of followers. They also are more aware of risk and are more
innovative. Because they work well alone, introverts can concentrate on developing their skills.
An exchange between Bill Clinton (an extrovert) and Barack Obama (an introvert) illustrates
the differences between the two leader types. After attending the funeral of Israel’s Simon Perez,
the departure of Air Force One was delayed because former president Clinton was still shaking
hands on the tarmac. Finally, President Obama, who had already boarded, had to come out of the
door of the plane to urge Clinton to get on the plane.
When it comes to leadership, introverts and extroverts can learn from each other. Introverts
need to adopt extroverted behaviors when needed—engaging in small talk, leading meetings,
approaching strangers, public speaking. For their part, extroverts need to adopt introverted
behaviors—listening, seeking out solitude for thought, and resisting unnecessary risk taking.
Traits, Situational, Functional, Skills, and Relational Leadership 79
Box 3.2 Self-Assessment Motivation to Lead Scale17
Instructions: Respond to each of the following items on a scale of 1–5; 1 = strongly disagree,
5 = strongly agree.
____ 1. Most of the time, I prefer being a leader rather than a follower when working in a group.
____ 2. I am the type of person who is not interested in leading others. (reverse)
____ 3. I am definitely not a leader by nature. (reverse)
____ 4. I am the type of person who likes to be in charge of others.
____ 5. I believe I can contribute more to a group if I am a follower rather than a leader. (reverse)
____ 6. I usually want to be the leader in the groups that I work in.
____ 7. I am the type who would actively support a leader but prefers not to be appointed as
leader. (reverse)
____ 8. I have a tendency to take charge in most groups or teams that I work in.
____ 9. I am seldom reluctant to be the leader of a group.
____ 10. I am only interested in leading a group if there are clear advantages for me. (reverse)
____ 11. I will never agree to lead if I cannot see any benefits from accepting that role. (reverse)
____ 12. I would only agree to be a group leader if I know I can benefit from that role. (reverse)
____ 13. I would agree to lead others even if there are no special rewards or benefits with that role.
____ 14. I would want to know “what’s in it for me” if I am going agree to lead a group. (reverse)
____ 15. I never expect to get more privileges if I agree to lead a group.
____ 16. If I agree to lead a group, I would never expect any advantages or special benefits.
____ 17. I have more of my own problems to worry about than to be concerned about the rest of
the group. (reverse)
____ 18. Leading others is really more of a dirty job rather than an honorable one. (reverse)
____ 19. I feel that I have a duty to lead others if I am asked.
____ 20. I agree to lead whenever I am asked or nominated by the other members.
____ 21. I was taught to believe in the value of leading others.
____ 22. It is appropriate for people to accept leadership roles or positions when they are asked.
____ 23. I have been taught that I should always volunteer to lead others if I can.
____ 24. It is not right to decline leadership roles.
____ 25. It is an honor and privilege to be asked to lead.
____ 26. People should volunteer to lead rather than wait for others to ask or vote for them.
____ 27. I would never agree to lead just because others voted for me. (reverse)
Scoring: Reverse scoring where indicated, and add up scores for each of the three dimensions.
Range: 9-45 on each dimension; 27–135 for total score.
Affective-Identify MTL Items 1–9 ___________
Noncalculative MTL Items 10–18 ____________
Social-Normative MTL Items 19–27 _____________
Total MTL Score ______________
The higher your score on a set of items, the greater your motivation to lead based on that
dimension. The total score reveals your overall motivation to lead.
Johnson-Hackman 7E.book Page 79 Wednesday, January 10, 2018 1:42 PM
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gence. Leaders who can identify, use, understand, and manage emotions are
generally more successful (see chapter 1).
Research findings establish that there are traits that are advantageous for lead-
ers. These characteristics increase the likelihood that someone will emerge as a
leader and perform successfully in that role. However, the trait approach leaves
many unanswered questions: (1) What is a trait? Items on some lists—like integ-
rity, knowledge, or social intelligence—appear to be learned or developed rather
than innate. (2) What, if any, traits are universally needed? Ask a group of people to
generate a list of essential leader traits and you are likely to find little agreement
(see Application Exercise 3.2). (3) How do we account for successful leaders who
seem to lack many of the personal characteristics deemed necessary for leader-
ship? (See box 3.3.) (4) How much does success depend on meeting the demands of
the situation in addition having important traits? A leader’s cognitive abilities will
equip her to problem solve in a particular setting, for instance. But general intelli-
gence is not enough in and of itself to guarantee success in that situation. The
effective leader must analyze the context, identify and solve problems, and apply
relevant experience and knowledge.
Box 3.3 Case Study Eleanor Roosevelt: The Timid Child
Who Became the World’s First Lady18
Eleanor Roosevelt was one of the most important leaders of the twentieth century. While her
husband Franklin Delano Roosevelt was president, she devoted herself to promoting social issues
like civil rights, better treatment for the poor, workers rights, and equality for women. She had a
hand in creating the National Youth Administration (a work-training program for young people)
and keeping other New Deal programs operating during World War II. Eleanor served as Frank-
lin’s “eyes and ears,” traveling extensively as his representative to visit combat troops, coal miners,
farmers, housewives, school children, and other groups. Franklin supported her efforts, even
though he didn’t always know what she was up to. In one case, she left early to visit a prison with-
out saying goodbye to her husband. When he asked Eleanor’s secretary where she was, the secre-
tary replied, “She’s in prison, Mr. President.” “I’m not surprised,” Franklin replied, “but what for?”19
Mrs. Roosevelt continued her activism after FDR died. President Truman asked her to be a del-
egate to the first session of the United Nations after World War II. There she chaired the UN com-
mittee that drafted the Universal Declaration of Human Rights. She made a number of
international trips promoting understanding between cultures. At her death many considered
her to be the “First Lady of the World.”
Mrs. Roosevelt’s emergence as a world figure is surprising given that she had few of the quali-
ties typically associated with leaders. She began life as a shy and unattractive child who earned
the family nickname “Granny” because she was so somber. In Eleanor’s words, “I was a solemn
child, without beauty and painfully shy and I seemed like a little old woman entirely lacking in the
spontaneous joy and mirth of youth.”20 Her insecurity grew when she was orphaned (her mother
died of diphtheria and her father of alcoholism). After her marriage to FDR, her timidity kept her
out of the limelight as she gave birth to six children. Her fear made her a poor public speaker
when she finally did start campaigning on behalf of her husband. Through diligent preparation,
she overcame her fears and changed her speaking voice, eliminated her nervous giggle, and
learned to make eye contact. She also had to learn to deal with the media. (In one bold step, Mrs.
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The Situational Approach to Leadership
As the traits approach became less accepted as an explanation of leadership
behavior, many researchers began to pursue situational explanations for leadership.
These approaches, often called contingency approaches, assume that leadership
behavior is contingent on variations in the situation.22 For example, the strategy for
effectively leading a high-tech research and development team is much different
from the strategy for effectively leading a military combat unit. The differences in
leadership style might be attributed to task and relational structure, superior-sub-
ordinate interactions, the motivation of followers, or any one of a number of other
situational factors. Two of the most commonly studied situational approaches are
path-goal theory, and Hersey and Blanchard’s situational leadership model.
Path-Goal Theory
Path-goal theory is based on a theory of organizational motivation called
expectancy theory. Expectancy theory claims that followers are more motivated to
be productive when they believe that successful task completion will provide a
Roosevelt began to hold press conferences for women reporters only.) Once she found her voice,
she had to endure verbal assaults that would shake the confidence of even the most assured
leader. She became the brunt of jokes and vicious attacks, particularly in the South, for her efforts
to end lynching and for her friendship with black leaders. Eleanor summed up her evolution as a
leader this way:
[O]ne can, even without any particular gifts, overcome obstacles that seem insurmount-
able if one is willing to face the fact that they must be overcome; that, in spite of timidity
and fear, in spite of a lack of special talents, one can find a way to live widely and fully.21
What enabled Mrs. Roosevelt to overcome personal and societal obstacles? To begin, it is clear
that she did have some “special talents”—the ability to write, to empathize with the needs of oth-
ers, to persevere. She also had a learning attitude, which enabled her to reflect on her childhood,
grow from mistakes, accept help from mentors, listen to others, and respect people from other
cultures. Eleanor didn’t appear to have a strong achievement orientation but was motivated
instead by her passion: to help others. To pursue her vision, she took risks, endured criticism, and
created networks of friends and supporters.
Discussion Questions
1. What do you know about Eleanor Roosevelt from prior courses and study? How would you
evaluate her as a leader?
2. What leadership traits did Eleanor Roosevelt appear to lack? What traits, if any, did she have?
3. Does Mrs. Roosevelt demonstrate that leaders are made rather than born? Why or why not?
4. Can you think of other leaders who succeeded even though they lacked important charac-
teristics that we associate with effective leadership? What accounts for their success?
5. What principles do you see in the life of Eleanor Roosevelt that can help you become a bet-
ter leader?
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path to a valuable goal. According to Robert House and his associates, leaders play
an important role in influencing follower perceptions of task paths and goal desir-
ability.23 It is a leader’s responsibility to communicate clearly what is expected of
followers and what rewards can be anticipated when tasks are successfully com-
pleted. He or she is also responsible for helping followers overcome obstacles to
completing the task. Take, for example, a group of students assigned to give a class-
room presentation. How might the leader of such a group apply expectancy the-
ory? By providing specific expectations for individual task assignments and
reinforcing the group goal (a quality product that will receive a good grade), the
group leader can increase the motivation and satisfaction level of followers. She or
he may also need to help the group deal with such barriers as limited practice time
and computer software problems.
According to House and Terence Mitchell, the ability to motivate followers is
influenced by a leader’s communication style as well as by certain situational fac-
tors. Four communication styles are identified.
1. Directive leadership—procedure-related communication behavior that
includes planning and organizing, task coordination, policy setting, and
other forms of specific guidance.
2. Supportive leadership—interpersonal communication focusing on concern
for the needs and well-being of followers and the facilitation of a desirable
climate for interaction.
3. Participative leadership—communication designed to solicit opinions and
ideas from followers for the purpose of involving followers in decision making.
4. Achievement-oriented leadership—communication focusing on goal attain-
ment and accomplishment, emphasizing the achievement of excellence by
demonstrating confidence in the ability of followers to achieve their goals.
In path-goal theory, two situational variables are most influential in the selec-
tion of an appropriate leadership communication style: the nature of followers and
the nature of the task. Follower characteristics thought to be important include fol-
lower needs, abilities, values, and personality. Important task factors include task
structure and clarity. These factors influence motivation and satisfaction levels
among followers and determine the most effective leader communication style.
Box 3.4 diagrams the use of particular leader communication styles depending on
follower characteristics and abilities, and task structure.
Directive leader communication is most effective when followers are inexperi-
enced or when the task is unstructured. In these situations, followers might have a
low expectation of their ability to perform satisfactorily. This expectation can lead
to decreased motivation and satisfaction. In general, when expected behavior and
task assignments are ambiguous, such as in a new position or job function, follow-
ers need directive leadership. On the other hand, if behavioral expectations are
clearly understood and followers are competent in performing tasks, directive lead-
ership lowers motivation and satisfaction. Nobody likes to have someone looking
over her or his shoulder when the task is clear and performance is not problematic.
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When followers confront structured tasks that are stressful, tedious, frustrat-
ing, difficult, or dissatisfying (such as working on an assembly line), a leader can
make the situation more tolerable by engaging in supportive leader communica-
tion. In situations such as these, followers might have the necessary skills to com-
plete tasks effectively, but they may lack confidence or commitment. This lack of
confidence or commitment can produce a low self-expectation, resulting in poor
performance. Supportive communication bolsters confidence and commitment
and offers social rewards that can enhance motivation and satisfaction. Simply rec-
ognizing the difficulty of a task and expressing your appreciation for a follower’s
efforts can increase motivation and satisfaction levels. Supportive communication
will contribute less to motivation and satisfaction when tasks are already stimulat-
ing and enjoyable.
�
Good leadership consists of showing average people
how to do the work of superior people.
—John D. Rockefeller
Situations in which tasks are unstructured and behavior expectations are
ambiguous are good opportunities for participative leader communication. Partic-
ipating in decision making allows followers to think critically about expected
behavior and task performance. Becoming more intimately involved with an
unclear task can increase understanding and motivation. A follower struggling to
develop a program to simplify a new computerized accounting system might bene-
fit from participative communication. When uncertainty is uncomfortable for fol-
lowers, participative communication stimulates understanding and clarity and can
increase satisfaction. In situations where the task is highly structured and followers
Box 3.4 Path-Goal Theory Factors
Communication
Style
Nature of
Followers
Nature of Task
Achievement-
Oriented
Followers possess
necessary skills
and have high
need to succeed.
Task is unstruc-
tured and under
the control of fol-
lowers.
Participative
Followers are
unsure (particu-
larly if uncertainty
prompts appre-
hension) and have
an internal locus
of control.
Task is unstruc-
tured.
Supportive
Followers are
skilled and
have a need
for affiliation.
Task is struc-
tured (partic-
ularly if task
is stressful).
Directive
Followers are
inexperienced
or unsure, have
an external locus
of control and a
strong belief in
authority.
Task is unstruc-
tured.
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are aware of behavior expectations, participative leadership will have a minimal
effect on motivation and satisfaction, according to path-goal theory.
Achievement-oriented leader communication increases a follower’s confi-
dence in his or her ability to realize challenging goals. By emphasizing excellence
and demonstrating confidence in a follower’s abilities, a leader can create a positive
performance expectation. We are more likely to produce excellent results when
others have expressed confidence in our ability to excel. The expectations of his
coach and teammates might offer a partial explanation for the incredible success of
Michael Jordan when he played for the Chicago Bulls. When the coach was asked
what his game plan was, he claimed, “We give the ball to Michael and get out of his
way.” Achievement-oriented communication is most effective in unstructured situ-
ations. Followers performing highly structured tasks will not be as effectively moti-
vated by achievement-oriented messages.
Twenty-five years after first presenting the theory, House offered an updated ver-
sion that addressed the motivation of work units (not just individuals) and intro-
duced additional leader behaviors that are “theoretically acceptable, satisfying,
facilitative, and motivational for subordinates.”24 These include: (1) clarifying behav-
iors that sharpen understanding of goals, means, standards, and rewards and punish-
ments; (2) work facilitation behaviors that address planning, scheduling, and
organization as well as coordinating and overseeing the work of subordinates; (3)
interaction facilitation behaviors that resolve disputes, foster collaboration and team-
work, and encourage communication, resulting in member satisfaction; (4) group
oriented decision processes that improve decision quality and acceptance, like involv-
ing all participants, drawing on the skills of expert members, identifying mutual
interests, presenting alternatives, and breaking the problem into smaller parts; (5)
representation and networking behaviors that secure resources for the unit from out-
side groups; and (6) values-based leader behaviors that motivate by appealing to the
values of followers and tying follower identity to the group and organization.
Path-goal theory attempts to explain follower motivation and satisfaction in
terms of leader behavior and task structure. Although the approach neglects many
situational variables that might potentially be important (such as power, organiza-
tional climate, and group cohesiveness), path-goal theory provides a viable expla-
nation of the relationship among leaders, followers, and tasks. Nevertheless, path
theory development has been hampered by inconsistent research findings and
problems with how to assess the styles and outcome variables. Path-goal theory
initially generated a large number of projects (more than 100) but few path-goal
studies have been conducted in the past few years.25
Hersey and Blanchard’s Situational Leadership Approach
Paul Hersey and Kenneth Blanchard originated the situational leadership
approach in the late 1960s while working on the first edition of their book, Man-
agement of Organizational Behavior, and later independently refined the model—
Hersey as the Situational Leadership Model, and Blanchard as the Situational
Leadership II Model. The situational leadership approach posits that different situ-
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ations call for different styles of leadership. Hersey and Blanchard suggest that the
readiness level of followers plays an important role in selecting appropriate leader-
ship behavior.26 As does path-goal theory, Hersey and Blanchard divide leader
behavior into task and relationship dimensions. The appropriate degree of task and
relationship behavior exhibited by a leader depends on the readiness of followers.
According to the situational leadership approach, follower readiness consists
of two major components that can be plotted along a continuum: ability and will-
ingness. In Blanchard’s later version of the model, he uses the terms competence
and commitment to refer to these components. Ability/competence refers to skills,
knowledge, and experience. A medical intern making rounds for the first time has
low ability. A budget officer preparing a yearly financial statement for the twentieth
consecutive year has high ability. Willingness/commitment relates to feelings of
confidence and motivation. A factory worker who is bored and unchallenged by a
repetitive task has low willingness, while a teacher committed to excellence in the
classroom has high willingness. Readiness levels can fluctuate as a follower moves
from task to task or from one situation to another.
Four combinations of ability and willingness indicate follower readiness:
Readiness Level 1: Low ability and low willingness (follower lacks skills and moti-
vation)
Readiness Level 2: Low ability and high willingness (follower lacks skills but is
committed)
Readiness Level 3: High ability and low willingness (follower is skilled but lacks
motivation)
Readiness Level 4: High ability and high willingness (follower is skilled and moti-
vated)
According to Hersey and Blanchard, the readiness level of followers dictates
effective leader behavior. By adapting the Blake and McCanse Leadership Grid® dis-
cussed in chapter 2, Hersey and Blanchard suggest appropriate task and relational
orientations for each of the four levels of follower readiness. R1 followers require
specific guidance. The most effective leader behavior with R1 followers is high
task-directed communication and low relationship-directed communication
(directing). Task-related messages direct and guide follower behavior. The use of
supportive, relationship-directed communication should be avoided at this level, as
such messages might be interpreted as a reward for poor performance.
R2 followers lack skills but are willing. Because they do not possess necessary
task skills, they need direct guidance. Because they are putting forth effort, they
need support. Thus, the most effective leader behavior with R2 followers is high
task/high relationship (coaching). At this level, the leader is “selling” the belief that
the necessary skills can be acquired. R3 followers are skilled but lack the willing-
ness to perform. Leaders need to promote follower participation in decision-mak-
ing. Task guidance is not necessary since performance has been demonstrated, but
leaders must encourage R3 followers to discuss problems or fears hampering com-
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mitment or confidence (supporting). The most effective leader behavior facilitates
involvement by using low task and high relationship behavior.
R4 followers are skilled and willing. Giving authority to these performers is the
best strategy (delegating). Since task skills are well developed, task guidance is not
necessary. Relationship behavior is not required because commitment and confi-
dence are not a problem. This does not mean that relationship behavior should be
completely ignored. Certainly a leader needs to offer support and recognition peri-
odically to maintain the level of excellence of the R4 follower.
�
Things do not change, we change.
—Henry David Thoreau
By engaging in appropriate leadership behavior, Hersey and Blanchard suggest
a leader can influence follower behavior. The manipulation of task and relationship
behaviors in accordance with follower readiness can facilitate growth and develop-
ment among followers. If leaders carefully diagnose the situation, communicate
accordingly, and maintain flexibility as the situation changes, the situational lead-
ership approach claims that they will be more effective in influencing followers.
(Practice applying this approach by analyzing the case study in box 3.5.) However,
investigators have been unable to consistently substantiate Hersey and Blanchard’s
claims.27 Not only are there problems with the instrument used to measure the sit-
uational flexibility of leaders, but also the styles recommended for each of the read-
iness levels do not always produce the best results. For example, a high task/high
relationship can be effective for R1 followers. As a consequence, some scholars
suggest that situational leadership should be treated more as a teaching tool than a
theory. It can be used to introduce the importance of the situation (particularly fol-
lower readiness) to leadership success.
The Functional Approach to Leadership
Traits and situational approaches focus primarily on the individual character-
istics of leaders and followers. The functional approach looks at the communica-
tive behavior of leaders. The functional approach suggests that it is the ability to
communicate like a leader that determines leadership. Imagine that while driving
you witness an accident. Several motorists, including you, stop to offer assistance.
Who will become the leader in this emergency situation? Will the leader be the
person with the most knowledge regarding first aid? Perhaps. Will the leader be the
person with the right combination of motivation and willingness for the situation?
Maybe. Most likely the leader will be the person who starts behaving like a leader.
Leadership functions in this situation might include assigning tasks (“You call
911”), initiating action (“I’ll put my jacket on him so he’ll be warm”), giving support
(“The ambulance will be here in just a few minutes”), and mediating conflict (“Let’s
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not worry about whose fault it was until everyone is feeling better”). By performing
the functions of leadership, an individual will be viewed as a leader by others.
Many ordinary people took on leadership functions during the horrific events
of September 11, 2001. Office workers carried injured colleagues down the stairs of
the World Trade Center, while firefighters rushed up to help victims. Those in
Box 3.5 Case Study Leadership at The Campus News
Maryanne Norton is the faculty advisor to The Campus News, the student newspaper at Algon-
quian University. She oversees production of the weekly publication and advises the newspaper’s
editor, Mark Lee, and his staff. Mark is a junior political science major with little experience in jour-
nalism. He is, however, enthusiastic and excited about his role as editor of The Campus News. Mark
is typical of many of the staff in his lack of journalistic skills. In fact, many of The Campus News
reporters have no background in news writing. As a faculty member in the Department of Com-
munication, Maryanne teaches four courses per semester and is responsible for several other
projects, including supervision of the internship program. Maryanne has a keen interest in stu-
dent journalism and has long been an advocate of the rights of student reporters. Although
Maryanne is very busy, she takes time to meet with the staff of The Campus News each week prior
to publication and often hosts social gatherings for the students at her home. Although the staff
of The Campus News is comprised of students, Maryanne believes the most effective approach to
leading is to treat followers as peers and colleagues; she is most comfortable serving as a confi-
dant and a friend to her advisees. She rarely criticizes a story and feels it is not her place to correct
the work of the student reporters. She is quick to offer suggestions or guidance when asked for
advice, but mainly she tries to make the experience of working for The Campus News enjoyable
and rewarding for students.
Although there have been minor problems in the past during Maryanne’s term as advisor, The
Campus News has been heavily criticized recently. The inexperience of Mark and his staff has been
evident in the last few issues of the student newspaper. In one headline, the name of the Dean of
Engineering was misspelled, and details have been inaccurately reported in several stories. The
most troubling error occurred in a story about Algonquian’s attempt to settle a dispute with a fac-
ulty member who had been denied tenure. The story did not present the situation accurately and
contained several quotes attributed to administrators at Algonquian that were later determined
to have been taken out of context. One of the statements was so inflammatory that the adminis-
trator quoted was subpoenaed and asked to explain his comments in a deposition.
Shortly after that incident, Maryanne was called into the university president’s office to dis-
cuss the situation at The Campus News.
Discussion Questions
1. What is the problem at The Campus News?
2. How would you rate Maryanne Norton as a leader? How would you rate Mark Lee as a follower?
3. Which leadership style discussed in the Hersey and Blanchard situational leadership
approach does Maryanne exhibit? How would you rate the readiness level of the student
followers at The Campus News?
4. What situational leadership style would be most effective with the students working for
The Campus News? Why?
5. What would you advise Maryanne to tell the president of Algonquian University she will do
to improve the situation at The Campus News?
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buildings near Ground Zero pulled pedestrians off the street and out of harm’s way.
Staff at Starbucks and other businesses organized to provide food to relief workers.
Employees at many firms in Manhattan refused to be cut off from their jobs, find-
ing new ways to get to work by kayaking the East River, renting buses, and hiking.
One of the earliest contributions to the functional approach was Chester Bar-
nard’s 1938 classic, The Functions of the Executive.28 Barnard’s work isolated com-
munication as the central function of organizational leadership. Since then, a
number of researchers have attempted to identify the various behaviors associated
with leadership in organizations and groups. Kenneth Benne and Paul Sheats were
pioneers in the classification of functional roles in groups.29 After analyzing group
communication patterns, they identified three types of group roles: task-related,
group building and maintenance, and individual.
Task-Related Roles
According to Benne and Sheats, these roles contribute to the organization and
completion of group tasks. Six task-related roles are described below.
The initiator. This person defines the problem, establishes the agenda and pro-
cedures, and proposes innovative strategies and solutions. The initiator makes
statements such as: “I see our problem as maintaining our market share,” or “Let’s
begin by just throwing out some possible ways to approach this problem.”
The information/opinion seeker. Someone in this role solicits ideas, asks ques-
tions about information provided by others, and asks for evaluations of informa-
tion and procedure. The information/opinion seeker makes statements such as:
“Why do you think our production costs will increase in the next quarter?” or “Do
you think we are spending enough time discussing possible solutions?”
The information/opinion giver. In contrast to the above, this person presents and
evaluates facts and information and evaluates procedure. The information/opinion
giver makes statements such as: “I think we will serve our students better by offering
more night courses next semester,” or “I learned in my group communication course
that we shouldn’t offer solutions until we have thoroughly analyzed the problem.”
The elaborator. The elaborator provides examples and background as a means
for clarifying ideas and speculates how proposed solutions might work. A person
in this role makes statements such as: “A raffle may be an effective way to raise
money. Last year, the Ski Club made $1,000 from its raffle.”
The orienter/coordinator. This group member summarizes interaction, looks
for relationships among ideas and suggestions, and focuses group members on
specific issues and tasks. The orienter/coordinator makes statements such as:
“That suggestion seems to fit with Glenn’s idea about training,” or “Maybe if we all
come to the next meeting with a few pages of notes we could put together an out-
line for our presentation.”
The energizer. In groups, the energizer stimulates or arouses the group to
achieve excellence and promotes activity and excitement. The energizer makes
statements such as: “If we can get this product out on schedule, I think it will revo-
lutionize the industry.”
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Group-Building and Maintenance Roles
People who fulfill these roles contribute to the development and maintenance
of open, supportive, and healthy interpersonal relationships among group mem-
bers. Four group-building and maintenance roles are described below.
The encourager. Someone in this role supports and praises the contributions of
others, communicates a sense of belonging and solidarity among group members,
and accepts and appreciates divergent viewpoints. The encourager makes state-
ments such as: “I agree with Susan,” or “I am confident that our group will do a
great job next week,” or “I can appreciate your concern about reaching a decision
too quickly. We must be careful not to jump to premature conclusions.”
The harmonizer/compromiser. This group member mediates conflict, reduces
tension through joking, and attempts to bring group members with opposing
points of view closer together. The harmonizer/compromiser makes statements
such as: “What’s the worst thing that could happen if we don’t get this project done
on time? Okay, what’s the second worst thing that could happen?” or “Is there any
way both you and Brett can get what you want from this decision?”
The gatekeeper. This person encourages the involvement of shy or uninvolved
group members and proposes regulations of the flow of communication through
means such as time and topic limitation. The gatekeeper makes statements such as:
“I’d be interested to hear what Luisa has to say about this,” or “Why don’t we limit
our discussion of the budget to twenty minutes.”
The standard-setter. This person in this role expresses group values and stan-
dards and applies standards to the evaluation of the group process. The standard-
setter makes statements such as: “Our goal has always been to develop user-
friendly products,” or “Let’s try to be critical of ideas, not people. That has always
been our policy in the past.”
Individual Roles
When a group member’s behavior is not supportive of task or group relation-
ships, group effectiveness can be minimized. Although a certain degree of individu-
ality is healthy, individual-centered behaviors do not contribute to task completion
or relationship development and maintenance. Five possible disruptive individual
roles are included here. Playing any of these roles can seriously disrupt a group and
keep it from carrying out its task.
The aggressor. This person attacks the ideas, opinions, and values of others;
uses aggressive humor; and makes personal judgments. The aggressor makes state-
ments such as: “It is better to keep your mouth shut and appear stupid than to open
it and remove all doubt,” or “Pete’s concern for equal workloads is the reason this
group is so unproductive.”
The blocker. This group member resists the ideas and opinions of others and
brings up “dead” issues after the group has rejected them. The blocker makes state-
ments such as: “I don’t care if we already voted against it; I still think that we ought
to go ahead with the project.”
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The recognition-seeker. Another individual who minimizes group effectiveness
is the person who relates personal accomplishments to the group and claims to be
more expert and knowledgeable than other group members on virtually every
topic. The recognition-seeker makes statements such as: “I know I am not a nurse,
but I might as well be, considering how much time I spent with my husband when
he was ill.”
The player. This group member maintains a noncaring or cynical attitude and
makes jokes at inappropriate times. The player makes statements such as: “We
can’t get much accomplished in one hour. Let’s knock off early and get a beer.”
The dominator. Particularly disruptive, the dominator lacks respect for the
views of others, disconfirms the ideas and opinions of others, and frequently inter-
rupts. The dominator makes statements such as: “Rahid’s idea doesn’t seem worth-
while to me. The way to get this program to run is to do what I have suggested.”
Roles associated with the successful completion of the task and the develop-
ment and maintenance of group interaction help facilitate goal achievement and
the satisfaction of group needs. These roles serve a leadership function. Roles asso-
ciated with the satisfaction of individual needs do not contribute to the goals of the
group as a whole and are usually not associated with leadership. By engaging in
task-related and group-building/maintenance role behaviors (and avoiding individ-
ual role behavior), a group member can perform leadership functions and increase
the likelihood that he or she will achieve leadership status within the group. (Turn
to chapter 7 for an in-depth look at group leadership.)
In addition to the Benne and Sheats categories, several other communicative
behaviors associated with leadership have been identified. Box 3.6 lists three sets of
proposed leadership functions.
The functional approach provides guidelines for the behavior of leaders by
suggesting the necessary functions that a leader should perform. Functional theo-
rists offer this advice: “To be a leader you’ve got to act like a leader.” In its present
form, the functional approach does not provide a clear, well-developed prescrip-
tion for leader behavior. Many of the identified leader behaviors are vague, and
some are contradictory. How, for example, can a leader increase interdependence
among group members? What specific leader behaviors facilitate work? How can a
leader both set standards and compromise? Still, the functional approach does pro-
vide a useful framework for identifying communication behaviors that contribute
to the exercise of leadership.
The Skills Approach to Leadership
The skills approach fills in some of the gaps of the functional approach by
identifying the abilities leaders need to carry out their functions. Effectiveness is
the key criteria for skills theorists and researchers. First they want to learn what
makes leaders effective when carrying out their leadership roles. Then they want to
use this information to help aspiring leaders increase their chances of success. This
approach is based on the premise that, unlike traits, skills can be developed. Thus,
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skill building is a major focus of most university leadership classes, corporate train-
ing programs, and leadership texts like this one. Theorists, consultants, instruc-
tors, and writers offer a great many skill typologies or classifications to guide
developing leaders. Some are based on personal experience and observation while
others have a stronger theoretical and research base. In this section we’ll focus on
three influential skill typologies: the three-skill model, task-based competencies,
and problem-solving capabilities.
The Three-Skill Model
Robert Katz presented one of the earliest skill-based models in a 1955 Harvard
Business Review article.33 Katz developed his model based on field research and
observations of executives. He identified three types of skills and argued that the
importance of each skill varies, depending on the leader’s level of responsibility.
Technical skill refers to understanding and becoming proficient in a particular
activity such as accounting, web design, carpentry, or sales. Human skill refers to
working with people. This skill is demonstrated through communication that
accurately reflects the intent of the manager while anticipating the reactions of
others. Those with this skill work well with others and create an atmosphere of
trust and security. Conceptual skill is “big picture” thinking that encompasses the
entire organization. Conceptual thinkers understand how organizational systems
interact and the relationship of the business to its industry, community, and the
Box 3.6 Research Highlight The Functions of Leadership
Krech and Crutchfield (1948)30
• executive • arbitrator
• planner • role model
• policy maker • group symbol
• expert • surrogate for individual responsibility
• external group representative • ideologist
• facilitator of internal relationships • parental figure
• supplier of rewards and punishments • scapegoat
Bowers and Seashore (1966)31
• supporter of others • goal emphasizer
• interaction facilitator • work facilitator
Cartwright and Zander (1968)32
• goal achievement (including: initiating action, focusing on goals, clarifying issues, developing
procedural plans, and evaluating outcomes)
• maintenance behavior (including: keeping interpersonal relationships pleasant, mediating dis-
putes, providing encouragement, involving reticent followers, and increasing interdepen-
dence among members)
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economy. They set the direction and tone for the organization. To put it another
way, technical skill is concerned with things, human skill is concerned with people,
and conceptual skill is concerned with ideas.
Katz argued that technical skill is most important at lower levels of the organi-
zation where employees are focused on completing tasks. Human skill is most
important at the next level as forepersons and middle managers must foster collab-
oration. Conceptual skill becomes most important at the top level where execu-
tives make strategic decisions. Katz believed that top executives could be effective
even if they had few technical skills. However, human skills remain essential to
their success.
To see how the three skills might operate at different organizational levels, con-
sider the case of a recent college graduate. She’s been hired by a public relations
firm to work on a team designing social media strategies for small corporate clients.
Her ability to work with social media is the technical skill that got her the position
and one that she will need to exercise to keep her job. If she ever wants to lead her
team, however, she will need human skill to enable her to build trust, foster collabo-
ration, convince others to accept her ideas, and so on. If later in her career she
aspires to move into a vice-president role, she will have to demonstrate an in-depth
understanding of both her public relations agency as well as the larger environ-
ment. She will likely be called upon to work with the CEO and other vice-presi-
dents in crafting organizational strategy and shaping the agency’s corporate culture.
Task-Based Competencies
Researchers and trainers at the Center for Creative Leadership (CCL) organize
their skills typology around the three major tasks of leadership described in chap-
ter 1: setting direction, gaining commitment, and creating alignment. To accom-
plish these tasks, individuals need to lead themselves, to lead others, and to lead
the organization. Based on decades of leadership development in a variety of orga-
nizations, CCL scholars identify the following sets of leader competencies, which
can be improved through training and experience.34
Leading Oneself
• Self-awareness: understanding personal strengths and weaknesses and how
those strengths and weaknesses impact others; understanding cultural
assumptions and biases.
• Ability to balance conflicting demands: balancing the demands of bosses,
subordinates, clients, personal life, and work life.
• Ability to learn: recognizing when new behaviors, skills, and attitudes are
needed; accepting responsibility for personal development; taking steps to
acquire new knowledge and behaviors.
• Leadership values: demonstrating honesty and integrity, which engender
trust from followers; developing personal initiative and drive and an opti-
mistic attitude.
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Leading Others
• Ability to build and maintain relationships: developing cooperative relation-
ships with diverse individuals; demonstrating respect for people from all dif-
ferent backgrounds and perspectives.
• Ability to build effective work groups: helping group members develop positive
relationships with one another; bridging differences between work groups.
• Communication skills: ability to communicate effectively through a variety of
media and to understand and process what others are thinking and feeling.
• Ability to develop others: helping others determine their development needs;
providing feedback and learning opportunities; coaching and mentoring fol-
lowers; recognizing and rewarding improvements in behavior.
Leading the Organization
• Management skills: facilitating and coordinating daily work; setting goals
and plans, putting systems in place; monitoring progress, solving problems,
and making decisions.
• Ability to think and act strategically: supporting the long-term vision and
mission of the group or organization though daily decisions; balancing
global needs with local demands.
• Ability to think creatively: seeing new possibilities, making connections,
developing new ideas; implementing innovative solutions.
• Ability to initiate and implement change: establishing the need for change; con-
vincing followers to change; putting new systems and procedures into place.
Problem-Solving Capabilities
Professor Michael Mumford of the University of Oklahoma and his colleagues
define leadership as an ongoing process of solving complex, ill-defined prob-
lems.35 Unlike a math problem or a true/false quiz, ill-defined problems don’t have
one clear answer and a workable solution is often sought instead of an ideal solu-
tion. Examples of ill-defined problems faced by leaders include, for example,
whether to sell a division of the company or to initiate a new compensation sys-
tem. Ill-defined problems are challenging because, first of all, it can be hard to fig-
ure out just what the problem is. Product defects on a manufacturing line may be
increasing but it might not be clear why, for instance. Moreover, it may be hard to
get timely, accurate information and to determine which data is relevant to the
issue at hand. Ill-defined problems are generally novel (they involve new situa-
tions), generate conflict, and must be solved within a limited time frame. Imple-
menting the solution means involving a variety of stakeholders both inside and
outside the organization. To be effective, leaders must possess the necessary
knowledge and skills (capabilities).
Problem-solving theorists identify three sets of skills that are key to solving
complex dilemmas: (1) problem-solving skills, (2) solution construction skills, and
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(3) social judgment skills. Problem-solving skills include defining the problem,
gathering information, identifying the key facts and concepts to apply to the
dilemma, combining the concepts in new ways (creativity), and developing an
answer. Solution construction skills describe the ability to develop solutions that
work within the context of a specific organization. To do so, leaders must be objec-
tive, self-reflective, understand the system, work within organizational restric-
tions, anticipate the long-term impact of changes, and so forth. They also need
insight into the needs, goals, and problems of different organizational groups.
Social judgment skills are used to implement the solution. Leaders must build con-
sensus as well as coordinate the activities of departments and individuals. Persua-
sion, negotiation, and other influence tactics (see chapter 6) are critical to rallying
support for proposals. Knowledge is the key to effectively using all three of these
skill sets. Effective leaders have developed complex schemas (see chapter 2). They
recognize prototypical problems; identify relevant problem-solving strategies
based on past experience; master concepts they then can combine in creative ways;
understand their tasks, organizations, and colleagues; know how to exercise influ-
ence, and so forth.
To test their theory, Mumford and his colleagues conducted a research pro-
gram with officers from the United States Army. They discovered that skill levels
increased with rank. Mid-level leaders demonstrated more complex knowledge
than junior level officers. Senior-level officers mastered new knowledge and skills
most rapidly and scored highest on measures of problem solving, social construc-
tion, and social judgment. In order to progress, junior leaders need to develop their
abilities to solve problems and their knowledge of relevant situations.
The skills approach underlies leadership development by emphasizing that
leaders are made not born. No matter what our particular personality traits, we
can learn to become better leaders by gaining further knowledge and developing
our skills. Time spent in leadership classes and workshops is time well spent. The-
orists not only identify capabilities that are critical to overall leadership effective-
ness, they also highlight the fact that senior leaders often need different skills than
lower-level leaders.
Despite its insights, the skills/capabilities approach suffers from significant
limitations. There is no universally accepted list of skills just as there is no univer-
sal list of traits. Instead, writers offer a variety of skills lists, many of which are not
supported by research. The conclusions of Mumford and his colleagues, who stud-
ied military officers, may not generalize to other settings.
The Relational Approach to Leadership
The relational approach to leadership shifts the focus from the characteristics
of leaders and followers (traits and situational) and leadership behaviors (func-
tional and skills) to the relationships among leaders and followers. The relational
approach has progressed through an early phase focusing on vertical dyadic rela-
tionships to the notion of leader-member exchange.
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Vertical Dyad Linkage Model
The most significant early relational approach to leadership was the vertical
dyad linkage (VDL) model developed by George Graen and his associates.36 Until
the development of VDL theory, researchers believed that leaders used the same
style, on average, with all the members of the group. Graen and his colleagues dis-
covered that this was not the case. They found that leaders treat individual follow-
ers differently and that followers offered differing descriptions of the same leader.
Some followers reported their relationship with a leader to be very positive. These
followers indicated they felt high levels of trust and respect for the leader. In such
relationships, followers felt a sense of duty and obligation to the leader and to the
tasks of the group or organization. Other followers perceived their relationship
with the leader to be strained. In these cases, the perception of the leader and the
importance of the work being done were lower. These variations in linkage patterns
resulted in two types of relationships: in-group and out-group. Members of the “in-
group” play the role of assistant, lieutenant, or advisor to a leader. The remaining
followers will be members of the “out-group.” Leader-follower exchanges differ in
each group. High levels of trust, mutual influence, and support characterize in-
group exchanges. In-group exchanges allow for wider latitude in task development;
followers are granted more responsibility and influence in decision making. Low
levels of trust and support characterize out-group exchanges. Authoritarian and
task-oriented leadership communication is often evident in out-group exchanges.
Leaders make choices regarding the inclusion of followers in both the in-group
and the out-group. Such factors as compatibility, liking, similarity in values, and
personality influence in-group/out-group determinations. Leaders and followers
also negotiate their respective roles. The leader might offer a follower more
responsibility. If the follower accepts these additional duties and performs well, he
or she may become a member of the in-group. Conversely, a follower may volun-
teer to work extra hours and move from the out-group to the in-group. (Box 3.7
highlights how in-groups and out-groups develop in the classroom.)
To fulfill leader expectations, members of the out-group must meet formal role
expectations, such as following company procedures, meeting deadlines, or sub-
mitting work containing few errors. In-group members are expected to work
harder, be more committed, take on more administrative duties, and be more loyal
to the leader than out-group members. The assistance of committed followers can
be very useful to a leader. Nonetheless, the leader must be mindful of maintaining
the in-group relationship by paying attention to the needs of in-group followers.
An in-group relationship is reciprocal; both the leader and the follower must main-
tain it.
Leader-Member Exchange Theory
Vertical dyad linkage marked the first stage of what was to become leader-
member exchange (LMX) theory. LMX theory focuses on the quality of the rela-
tionship between an individual leader and follower rather than on categorizing fol-
lowers as either a member of the in-group or the out-group.37 The quality of a
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leader-follower relationship (which ranges from low LMX to high LMX) can be
plotted along a continuum using the scale found in the self-assessment in box 3.8.
LMX researchers report that there is a link between relational quality and per-
sonal and organizational effectiveness. Followers who have high LMX relationships
with their leaders are:38
• more productive (produce a higher quality and quantity of work)
• more satisfied with their jobs
• less likely to quit
• enjoy better psychological health
• more satisfied with their supervisors
• more committed to the organization
Box 3.7 Case Study In-Groups and Out-Groups in the Classroom
Todd Higuera recently joined the faculty of Belmont University after earning his PhD. This is
his first full-time teaching position. Belmont, a branch of the larger state university system, is
known primarily as a teaching institution. Professor Higuera is expected to publish the occasional
book or article, but most of his success will depend on his performance in the classroom. So far
Todd is off to a good start. His evaluations are high, with students reporting that he is both
enthusiastic and knowledgeable about his subject.
There is one consistent negative thread in the feedback that Todd receives that might cause
him difficulty when he comes up for promotion and tenure. A number of students rate him low
on the item on the instructor evaluation form that reads “Treats all students fairly.” Written com-
ments on the form include such remarks as: “The instructor plays favorites”; “I felt ignored in the
class”; and “I am concerned that some students are given second chances while others are not.”
Todd finds these comments particularly troubling since he believes that it is unethical to treat
people unfairly and, coming from a Hispanic background, he has experienced discrimination
firsthand. Yet, as the primary instructor in a small major, he knows some students better than oth-
ers since he has taught them in several classes. He can see how students he meets for the first
time could think that they were at a disadvantage.
The beginning of the semester is approaching, and Todd wants to address the fairness issue
before he creates his syllabi for the upcoming term. He is open to advice from both students and
his fellow professors.
Discussion Questions
1. What instructor behaviors create in-groups and out-groups in the classroom? How do
these behaviors influence student performance?
2. Which of the behaviors you identified might be occurring in this case?
3. What advice would you give to Dr. Higuera for building high-quality relationships with
his students?
4. Should Dr. Higuera expect that he can establish in-group relationships with all of his stu-
dents? A majority of them? Can he still be perceived as fair if he doesn’t?
5. What responsibilities do students have for creating high-quality relationships with their
instructors? What steps should they take to help this happen?
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• more satisfied with the communication practices of the group and organization
• clearer about their roles in the organization
• more likely to go beyond their job duties to help other employees
• more successful in their careers
• likely to provide honest feedback
• highly motivated
• more influential in their organizations
Box 3.8 Self-Assessment Recommended Measure of
Leader-Member Exchange (LMX-7)39
Directions: Rate your relationship as a follower with a leader of your choice by circling the
numbers preceding your responses to these seven items. You can also rate your relationship as a
leader with a follower of your choice (leader items are in parentheses).
1. Do you know where you stand with your leader; that is, do you usually know how satisfied
your leader is with what you do? (Does your member usually know?)
(1) Rarely (2) Occasionally (3) Sometimes (4) Fairly Often (5) Very Often
2. How well does your leader understand your job problems and needs? (How well do you
understand the problems and needs of your member?)
(1) Not a Bit (2) A Little (3) A Fair Amount (4) Quite a Bit (5) A Great Deal
3. How well does your leader recognize your potential? (How well do you recognize member
potential?)
(1) Not at All (2) A Little (3) Moderately (4) Mostly (5) Fully
4. Regardless of how much formal authority he/she has built into his/her position, what are the
chances that your leader would use his/her power to help you solve problems in your work?
(What are the chances that you would use your power to help a member solve problems?)
(1) None (2) Small (3) Moderate (4) High (5) Very High
5. Again, regardless of the amount of formal authority your leader has, what are the chances that
he/she would “bail you out,” at his/her expense? (What are the chances that you would use
your power to cover a member’s shortcomings?)
(1) None (2) Small (3) Moderate (4) High (5) Very High
6. I have enough confidence in my leader that I would defend and justify his/her decision if he/
she were not present to do so. (Your member would support your decisions.)
(1) Strongly Disagree (2) Disagree (3) Neutral (4) Agree (5) Strongly Agree
7. How would you characterize your working relationship with your leader? (How would your
member characterize your working relationship?)
(1) Extremely Ineffective (2) Worse Than Average (3) Average (4) Better Than Average
(5) Extremely Effective
Scoring: Total the numbers preceding your responses. The higher the score, the better your
perceived relationship with your leader. To determine if your view matches that of your relational
partner, compare your rankings with those of your leader or follower.
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While Graen and his colleagues initially believed that leaders could only main-
tain a few high-quality relationships with trusted assistants due to limited time and
resources, they later became convinced that leaders should attempt to build high-
quality partnerships with all their followers, not just a chosen few. This marked a
shift to the third stage of LMX theory—leadership making. Leadership making
focuses on how leaders can establish partnerships with followers. Not all relation-
ships will become partnerships, but leaders have a duty to make the offer of part-
nership to all of their followers. Doing so will increase the number of high-quality
relationships, bond the organizational unit (build social capital), and improve per-
formance. Graen and Mary Uhl-Bien offer a three-phase model of the leadership-
making process.40 In the first phase—stranger—leaders and followers are essen-
tially strangers who occupy their respective roles. The rules and the organizational
hierarchy determine their interactions, which are largely formal in nature. The
leader makes requests, and the follower complies based on self-interest. In the sec-
ond phase—acquaintanceship—the parties begin to build more productive work-
ing relationships. They begin to share social as well as task information. This is a
testing phase, though, and the relationship could return to phase one. The third
and final phase—partnership—marks the highest level of relational maturity. Lead-
ers and followers exert mutual influence on one another, sharing a wide range of
task and social information. They enjoy a high level of mutual trust, respect, and
sense of obligation. Each feels empowered to provide criticism and support to the
other. Their relationship has expanded well beyond the formal work contract and
work rules that define the stranger phase.
Interest in LMX theory has not waned, even though it was first developed
decades ago, making it one of the “most durable theories for describing supervi-
sory behavior and understanding its consequences.”41 In fact, over half of the arti-
cles published on LMX were published recently along with an Oxford University
Press handbook devoted entirely to Leader-Member Exchange.42 There are several
possible reasons for the enduring popularity of the relational approach to leader-
ship. First, it is confirmed by our personal experiences. We have all experienced in-
group and out-group relationships. Teachers, coaches, and bosses, among others in
leadership roles, often spend more time with and give more attention to those stu-
dents, team members, and employees they prefer. We know firsthand the costs of
being in low-LMX relationships and the benefits of high-LMX relationships. Sec-
ond, there is a strong link between relational quality and important individual and
organizational outcomes. Developing relational partnerships pays off for the indi-
vidual and the group.
Third, LMX theory has matured, moving from descriptive to prescriptive
while becoming more equitable. In its early stages, the model described differences
in leader-follower relationships and appeared to promote inequality. Leaders could
only develop quality exchanges with a few followers and the rest of the group suf-
fered as a result. Now theorists offer prescriptive advice to leaders, urging them to
develop high-LMX relationships with as many followers as possible. Following this
advice fosters justice and fairness. When they share leadership duties with subordi-
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nates, leaders should encourage followers to develop high member-member
exchange (MMX) relationships with one another. Fourth, the theory highlights the
importance of communication. Communication patterns differ between in- and
out-groups. Partnerships are built and maintained through communication.
While influential, LMX theory has not escaped criticism.43 Critics point out
that a variety of measures have been used to measure leader-member exchanges,
generating confusion and making it hard to compare the results of different studies.
Superiors and subordinates often don’t see “eye to eye” when it comes to judging
the quality of their relationships, with leaders giving higher ratings. Some observers
complain that LMX theorists provide little practical advice to leaders who want to
develop relational partnerships. Others believe that the LMX model, despite its
evolution, still promotes inequality and injustice. These appear to be valid criti-
cisms, but the relational approach will likely continue to guide leadership scholar-
ship for decades to come. (Turn to the Cultural Connections feature at the end of
the chapter for a description of another relationally based approach to leadership.)
CHAPTER TAKEAWAYS
• Over the past 130 years, seven primary approaches for understanding and
explaining leadership have evolved: the traits approach, the situational
approach, the functional approach, the skills approach, the relational approach,
the transformational approach, and the authentic approach.
• The traits approach asserts that nature plays a key role in determining leadership
potential. Individuals are born with certain characteristics that equip them to
become leaders and to function effectively. Key leader traits appear to be cogni-
tive abilities, locus of control, personality, motivation, and social intelligence.
• The situational approach argues that the traits, skills, and behaviors necessary
for effective leadership vary from situation to situation. Two commonly studied
situational approaches are path-goal theory, and Hersey and Blanchard’s situa-
tional leadership theory.
• According to path-goal theory, leaders influence followers’ perceptions of the
task and the goal. When choosing a communication style, consider two factors:
the nature of the followers and the nature of the task. Directive leader communi-
cation is most effective when followers are inexperienced or when the task is
unstructured. Supportive leadership is appropriate when the task is stressful and
dissatisfying and followers lack confidence and commitment. Participative leader
communication is best when tasks are unstructured and followers feel uncertain
as a result. Achievement-oriented leadership boosts follower’s confidence that
they can reach challenging goals and is most effective when performing unstruc-
tured tasks.
• According to the situational leadership approach, you should focus on the job
maturity and psychological maturity of followers. A telling style (high task/low
relationship) succeeds with followers who are both unskilled at the tasks and
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unwilling to do the job. A selling style (high task/high relationship) should be
used with followers who lack skills but are willing. A participating style (low
task/high relationship) should be employed when dealing with skilled followers
who are unwilling. A delegating style (low task/low relationship) generates the
best results with followers who are both skilled and willing.
• The underlying assumption of the functional approach is that leaders perform
certain functions that allow a group or organization to operate effectively. You
will likely be considered a leader if you perform (1) task-related roles that con-
tribute to the organization and completion of group tasks and/or (2) group-
building and maintenance roles that develop and maintain supportive and
healthy interpersonal relationships. However, you will undermine your group’s
effectiveness if you play selfish individual roles that are disruptive.
• The skills approach identifies the competencies (capabilities) leaders need to
carry out their functions. Unlike traits, we can develop skills through training
and experience. Three notable skills typologies are the three-skill model (techni-
cal, human, conceptual), task competencies (leading oneself, leading others,
leading the organization), and problem-solving capabilities (problem solving,
solution construction, social judgment).
• The relational approach to leadership shifts the focus from the characteristics of
leaders and followers (traits and situational), leadership behaviors (functional)
and leader capabilities (skills) to the relationships between leaders and followers.
According to vertical dyad linkage (VDL) theory, some followers (in-group mem-
bers) enjoy a closer relationship or linkage with their leaders than other followers
(members of the out-group). In-group leader-follower exchanges are marked by
higher levels of trust, mutual influence, and support than out-group exchanges.
• Leader-member exchange (LMX) theory focuses on the quality of the relation-
ship between an individual leader and follower. Followers in high-quality (high-
LMX) relationships are generally more productive and satisfied. You should try
to establish partnerships with all of your followers, not just a few. The greater the
number of high-quality relationships you build with followers, the higher the
likely performance of your work group or organization.
APPLICATION EXERCISES
1. Make a list of the five traits you think every leader must have. Then pair up
with someone else and create a joint list consisting of ONLY the traits you both
had on your individual lists. Then repeat the process, creating a joint list in
groups of four, eight and so on until the entire class meets together. Put the
surviving traits (those that appeared on everyone’s lists) on the board. Were
any left? What does this exercise say about the potential strengths or weak-
nesses of the trait approach?
2. Complete the Motivation to Lead Scale on p. 79. What motivates you to lead?
How strong is your motivation to lead? What accounts for your score? How
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has your motivation to lead (or lack of motivation) contributed to your perfor-
mance as a leader?
3. Reflect on a time when you were part of a successful (or unsuccessful) group.
Apply path-goal theory to account for the group’s success or failure. What was
the nature of the task and the makeup of group members? What obstacles did
the group face and how did the leader help the group overcome these barriers?
What leadership style did the leader use and was it effective? Why or why not?
4. Discuss the Hersey and Blanchard situational leadership approach (on pp. 84–
86) with someone who is currently in a management position. Ask the person
to evaluate this model’s effectiveness given his/her past experiences. Share
your findings with others in class.
5. Either alone or in a group, make a list of leadership functions. Try to engage in
these behaviors the next time you participate in a group. See if others look to
you for leadership because you are acting like a leader.
6. Next time you are in a problem-solving group, make a list of positive and nega-
tive leadership actions you observe from other group members. Compare your
list with the Benne and Sheats typology on pp. 88–90. Compare the similarities
and differences in the two lists.
7. Describe a time when you or someone you know became a leader by commu-
nicating like a leader. Identify the specific behaviors that led to you or the per-
son you observed becoming the leader. What can you learn from the situation
to apply to other leadership situations? Write up your analysis and conclusions.
8. Complete the LMX scale on p. 97. What factors contribute to your ratings on
each of the items? What can you do to improve your relationship with this
leader or follower?
9. Analyze your skills (capabilities) as a leader using one of the skills lists
described in the chapter. What skills do you already possess? Which ones do
you need to develop? How will you acquire these competencies? Outline a
strategy for doing so.
10. Conduct interviews with several effective leaders. Try to identify which
approach to leadership provides the best explanation for their success. Share
your results with your classmates. As an alternative, identify the skills they
need to succeed in their leadership positions.
11. Create a list of concepts from the chapter that can help you become a more
effective leader. Gather with others and create a group list. Compare your
group’s list with those of other groups.
CULTURAL CONNECTIONS: PATERNALISTIC LEADERSHIP44
Nearly all the theories in the first section of this text were developed in the
United States. Researchers then determine how well these ideas translate to
Europe, Africa, Latin America, Asia, and other regions. In contrast, paternalism is
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an approach to leadership that has its origins outside the United States. Investiga-
tors then study how paternalistic leadership translates to U.S. society.
Paternalistic leaders act as father figures who treat subordinates like family
members. They take a personal interest in the lives of employees both on and off
the job. For example, bosses may attend the weddings, funerals, and baptisms of
workers and their families. In addition to being concerned and supportive, pater-
nalistic leaders act as authority figures who make decisions for followers. Followers
willingly submit to their power in return for their care and protection. Paternalistic
leadership shares elements in common with leader-member exchange theory. Like
LMX, paternalism is a relationship-based approach to leadership. High-quality
relationships encourage leaders to invest in their followers and followers to offer
their trust and loyalty to their leaders. Both LMX and paternalistic leadership spot-
light the importance of supportive communication and the exchange of resources.
Paternalism is a popular form of leadership in Asia, Latin America, and the
Middle East. It is effective in traditional cultures that believe that fathers should be
caring but demanding (India, for example), as well as in societies like China and
Mexico that value the collective good and hierarchical relationships. Obligation
and loyalty play an important role in these cultures and followers want their lead-
ers to be involved in their personal lives. Researchers in Turkey, Malaysia, Japan,
China, India, and Mexico report that paternalistic leadership practices increase
organizational commitment levels and foster trust and harmony.
Paternalism is not as well accepted in cultures (Israel, Germany, Canada) that
value individualism and equality. Constituents in these societies are likely to take
offense when leaders get involved in their personal lives, seeing such interest as a
violation of privacy. They have more difficulty accepting the idea that leaders
should have significantly more power and status than they do. Some Western lead-
ership scholars believe that paternalistic leaders are oppressive dictators who hide
their true intentions in order to get what they want from followers. However, these
critics may be confusing paternalism with authoritarianism. Genuine or benevo-
lent paternalistic leaders are follower centered, not self-centered, which keeps
them from abusing their authority. In addition, benevolent leaders demonstrate
high character by setting a good example and using their power to serve others.
In one study, employees from both India and the United States were more
committed to their organizations when their leaders acted in a paternalistic fash-
ion. This suggests that elements of paternalistic leadership may have universal
appeal. Followers from a variety of cultures apparently appreciate supportive lead-
ers who express genuine interest in their welfare.
LEADERSHIP ON THE BIG SCREEN: CONCUSSION
Starring: Will Smith, Alec Baldwin, Albert Brooks, Gugu Mbatha-Raw
Rating: PG-13 for mature subject matter and language
Synopsis: Allegheny County (Pittsburgh) forensic pathologist Bennet Omalu
(played by Smith) conducts an autopsy on the body of Pittsburgh Steeler football
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hall of famer Mike Webster in 2002 to determine the cause of Webster’s bizarre
behavior. Depressed, confused, and frequently enraged, Webster ended up living in
his truck and dying of heart failure at age 50. Omalu discovers that Webster’s brain
is riddled with tiny packets of tau protein, which destroy reasoning and emotional
control. He names this brain pattern CTE: chronic traumatic encephalopathy. The
brains of players Terry Long, Justin Strzeleczyk, and Andre Waters show the same
damage. With the help of former Steeler team doctor Justin Bailes (Baldwin) and
his boss, county coroner Cyril Wecht (Brooks), Omalu tries to convince the
National Football League to acknowledge that players are in danger. League offi-
cials respond by denying that there is any link between repeated football collisions
and brain trauma. Instead, they put pressure on Dr. Omalu to back off his claims.
Wecht comes under federal indictment (charges were later dropped) and Omalu
and his wife (Mbatha-Raw) are forced to relocate to California. Omalu is later vin-
dicated when five thousand former players successfully sue the NFL for failing to
acknowledge or treat brain injuries.
Chapter Links: cognitive abilities, internal locus of control, Big Five personality
traits, motivation, leadership skills, problem solving, leader-member exchange
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�����
4
Transformational and
Charismatic Leadership
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The new leader is one who commits people to action, who converts
followers into leaders, and who may convert leaders into agents of change.
—Warren Bennis
�
OVERVIEW
The Transformational Approach to Leadership
The Characteristics of Transformational Leadership
Creative
Interactive
Visionary
Empowering
Passionate
Perspectives on Charisma
The Sociological Approach
The Behavioral/Attribution Approach
The Communication Approach
Transformational and Charismatic Leadership: Interchangeable or Distinct?
Alternative Approaches to Outstanding Leadership
Authentic Leadership
The CIP Model
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The Transformational Approach to Leadership
Beginning in the late 1970s, the transformational approach emerged as a new
perspective for understanding and explaining leadership. The transformational
approach was first outlined by James MacGregor Burns. He compared traditional
leadership, which he labeled as transactional, with a more “complex” and “potent”
type of leadership he called transformational.1 The motivational appeals of the trans-
actional leader are designed to satisfy basic human needs; the appeals of the transfor-
mational leader go beyond those basic needs to satisfy a follower’s higher-level needs.
According to Abraham Maslow, five hierarchically arranged human needs
exist: physiological, safety, belonging and love, self-esteem, and self-actualization.2
(See figure 4.1.) The most basic human needs are physiological. Before we can con-
cern ourselves with other needs, we must secure the basic necessities: oxygen,
food, water, and sleep. If you study for several days without sleeping, the need for
sleep takes precedence over any other concern. Once physiological needs are satis-
fied, we can turn our attention to the second level of the hierarchy, safety needs.
Humans seek predictability and protection. We are generally most comfortable in
environments that are familiar and free from danger. If you become lost in the des-
ert in the heat of the day, one of your first priorities will be finding a safer, cooler
environment. After environmental factors are satisfied, social belonging and love
needs surface. Humans desire affiliation with others. Whether you are a member of
Physiological Needs
food, water, air
Self-Actualization Needs
self-fulfillment,
actualizing one’s potential
Self-Esteem Needs
high self-respect, self-approval,
esteem of others, achievement,
competency, reputation, prestige, status
Belonging and Love Needs
friendship, affection,
acceptance and identification with others
Safety Needs
structure, order, law, security, stability, protection,
freedom from fear, anxiety, chaos
Figure 4.1 Maslow’s Hierarchy of Needs
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a group or an organization, involved in a friendship or an intimate relationship, all
these situations involve seeking social connections with others.
Self-esteem needs become important after the first three levels have been rea-
sonably well satisfied. Self-esteem needs relate to our desire to feel good about our-
selves. Self-esteem consists of internal feelings of competence, respect, and self-
worth as well as external feedback and recognition that support positive esteem.
The feeling of satisfaction you get when you finish a difficult assignment, and the “A”
your instructor gives you for your hard work, help to satisfy your self-esteem needs.
When all other needs are satisfied, we can turn our attention to self-actualiza-
tion needs. Self-actualization is the process of applying your own unique set of
interests and abilities to become the best person you can possibly become. If you
are self-actualized, Maslow claims you will feel a sense of fulfillment and purpose.
He also suggests those who achieve self-actualization have a strong urge to help
others satisfy their self-actualization needs.
For Burns, the distinction between transactional and transformational leader-
ship is dichotomous—leaders are either transactional or they are transformational.
Subsequent research proposed that transformational leadership augments the
effects of transactional leadership.3 Similar to the hierarchy Maslow described,
lower-level transactional leadership is the foundation for higher-level transforma-
tional leadership. As leadership expert Bernard Bass explains: “Many of the great
transformational leaders, including Abraham Lincoln, Franklin Delano Roosevelt,
and John F. Kennedy, did not shy away from being transactional. They were able to
move the nation as well as play petty politics.”4
The transactional leader is most concerned with the satisfaction of physiologi-
cal, safety, and belonging needs. To meet these needs, a transactional leader
exchanges rewards or privileges for desirable outcomes—much the way a Marine
drill sergeant would trade a weekend pass for a clean barracks. Transformational
leaders also attempt to satisfy the basic needs of followers, but they go beyond
mere exchange by engaging the total person in an attempt to satisfy the higher-
level needs of self-esteem and self-actualization. Transformational leadership is
empowering and inspirational; it elevates leaders and followers to higher levels of
motivation and morality. According to Burns, “The result of transforming leader-
ship is a relationship of mutual stimulation and elevation that converts followers
into leaders and may convert leaders into moral agents.”5
�
The function of leadership is to
produce more leaders, not more followers.
—Ralph Nader
In a series of research studies involving groups of military leaders, university stu-
dents, corporate managers, and educators, Bernard Bass and his associates looked at
the factors of transactional and transformational leadership.6 These researchers identi-
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fied seven leadership factors: two dimensions of transactional leadership, four dimen-
sions of transformational leadership, and one nonleadership dimension (see box 4.1).
Transactional leadership is primarily passive. The behaviors most often associ-
ated with transactional leadership are establishing the criteria for rewarding follow-
ers and maintaining the status quo. Those leaders who went beyond transaction
and engaged in transformational leadership demonstrated active behaviors that
included providing a sense of mission, inspiration, emotional support, and intellec-
tual stimulation. As Bass notes:
Unlike the transactional leader who indicates how current needs of followers
can be fulfilled, the transformational leader sharply arouses or alters the
strength of needs that may have lain dormant. . . . It is leadership that is trans-
formational that can bring about the big differences and big changes in groups,
organizations, and societies.8
Whether or not a leader exhibits transformational behavior may be directly
related to his or her communication skills. Ted Zorn discovered a relationship
between the complexity of a leader’s communication system and the tendency to
exhibit transformational leadership behavior.9 Zorn found those leaders with the
most developed cognitive and communicative abilities were the most likely to be
perceived as transformational by their followers.
Evidence from a large body of studies conducted in a variety of settings (mili-
tary units, schools, religious congregations, Fortune 500 companies) demonstrates
that transformational leaders are highly effective. Their followers give them higher
evaluations and are more committed, satisfied, and engaged. Their organizations,
Box 4.1 Dimensions of Transactional and
Transformational Leadership7
Transactional Leadership Factors
Contingent reward: Provide rewards for effort; recognize good performance.
Management-by-exception: Maintain the status quo; intervene when subordinates do not
meet acceptable performance levels; initiate corrective action to improve performance.
Transformational Leadership Factors
Charisma: Provide vision and a sense of mission; inspire; build trust and respect.
Individualized consideration: Exhibit considerate and supportive behavior directed toward
each individual subordinate; coach and advise.
Inspiration: Communicate high expectations; use symbols to focus efforts and enhance under-
standing of goals.
Intellectual stimulation: Promote innovative ways of viewing situations; stimulate intelligent
problem solving and decision making.
Nonleadership Factor
Laissez-faire (abdication): Abdicate leadership responsibility; avoid problem solving and deci-
sion making.
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in turn, achieve outstanding results: more military victories, greater profits, higher
quality, and improved service.10 (Complete the self-assessment in box 4.2 to deter-
mine if you engage in transformational behaviors.)
Box 4.2 Self-Assessment Transformational Leadership Scale11
Instructions: Think about a situation in which you either assumed or were given a leadership
role. Think about your own behaviors within this context. To what extent does each of the follow-
ing statement characterize your leadership orientation?
Very little A moderate amount Very much
1 2 3 4 5 6 7
____ 1. Have a clear understanding of where we are going.
____ 2. Paint an interesting picture of the future for my group.
____ 3. Am always seeking new opportunities for the organization/group.
____ 4. Inspire others with my plans for the future.
____ 5. Am able to get others to be committed to my dreams.
____ 6. Lead by “doing,” rather than simply by “telling.”
____ 7. Provide a good model for others to follow.
____ 8. Lead by example.
____ 9. Foster collaboration among group members.
____ 10. Encourage employees to be “team players.”
____ 11. Get the group to work together for the same goal.
____ 12. Develop a team attitude and spirit among employees.
____ 13. Show that I expect a lot from others
____ 14. Insist on only the best performance.
____ 15. Will not settle for second best.
____ 16. Act without considering the feelings of others.
____ 17. Show respect for the personal feelings of others.
____ 18. Behave in a manner thoughtful of the personal needs of others.
____ 19. Treat others without considering their personal feelings.
____ 20. Challenge others to think about old problems in new ways.
____ 21. Ask questions that prompt others to think.
____ 22. Stimulate others to rethink the way they do things.
____ 23. Have ideas that challenge others to reexamine some of their basic assumptions about work.
____ 24. Always give positive feedback when others perform well.
____ 25. Give special recognition when others’ work is very good.
____ 26. Commend others when they do a better-than-average job.
____ 27. Personally compliment others when they do outstanding work.
____ 28. Frequently does not acknowledge the good performance of others.
(continued)
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The Characteristics of Transformational Leadership
Many researchers have attempted to describe the characteristics of transfor-
mational leaders. In one of the earliest projects, Tom Peters and Robert Waterman
studied 62 successful American companies. They discovered that excellent compa-
nies were most often blessed with extraordinary leadership.12 Warren Bennis and
Burt Nanus studied 90 successful leaders from business, government, education,
and sports in an attempt to identify the strategies used by transformational lead-
ers.13 James Kouzes and Barry Posner surveyed more than 1,300 managers in order
to discover practices common to successful transformational leaders.14 Bruce Avo-
lio and Bernard Bass developed a series of leadership case studies suggesting the
most successful leaders exhibit transformational leadership behaviors.15
The characteristics of transformational leaders identified by all of these
researchers are strikingly similar. Five primary characteristics appear, in one form
or another, in all of the classification systems dealing with extraordinary leaders.
Transformational leaders are creative, interactive, visionary, empowering, and pas-
sionate. Further, since transformational leadership can convert followers into lead-
ers themselves, these characteristics are often filtered throughout transformed
groups and organizations.
Scoring: Reverse your scores on questions 16, 19, and 28. There are seven dimension scores to be
computed. Articulate vision—Sum your responses to questions 1–5 and divide by 5. Provide
appropriate model—Sum your responses to questions 6-8 and divide by 3. Foster acceptance of
goals—Sum your responses to questions 9–12 and divide by 4. High performance expectations—
Sum your responses to questions 13–15 and divide by 3. Individual support—Sum your responses
to questions 16-19 and divide by 4. Intellectual stimulation—Sum your responses to questions
20–23 and divide by 4. Transactional leader behaviors—Sum your responses to questions 24–28
and divide by 5.
My scores are
Articulate vision _______
Role model ________
Foster goal acceptance ________
Performance expectations ________
Individual support ________
Intellectual stimulation ________
Transactional leader behavior ________
A high score of 6 and greater reflects a strong orientation to engage in each of these behav-
iors. A low score of 2 or less reflects that you are unlikely to engage in each of these behaviors.
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Creative
Transformational leaders are innovative and foresighted. They constantly chal-
lenge the status quo by seeking out new ideas, products, and ways of performing
tasks. Transformational leaders recognize that satisfaction with the status quo
poses a serious threat to group or organization survival. Resting on past achieve-
ments can blind members to new opportunities and potential problems. As organi-
zations such as AOL, Blockbuster, Circuit City, Bear Stearns, and Borders Books
have discovered, the most successful organizations are often in the most danger.
Transformational leaders ignore the adage, “If it ain’t broke, don’t fix it.” Instead,
the transformational leader adopts the attitude, “If it ain’t broke, you’re not looking
hard enough.”16 As Toyota executive Iwao Isomura explains, “Success is the best
reason to change.”17
The Process of Creativity
To clarify the relationship between creativity and leadership, we first need to
understand how the creative process works. Creativity, like leadership, is based on
our capacity for creating and manipulating symbols. Not only does creative prob-
lem solving involve abstract thought (which is made possible by language), but cre-
ative ideas nearly always take a particular symbolic form—as chemical formulas,
sentences, drawings, ad slogans, and so on.
Experts suggest that creativity involves making new combinations or associa-
tions with existing elements. Educator Sidney Parnes, for example, describes creat-
ing as “the fresh and relevant association of thoughts, facts, ideas, etc. in a new
configuration.”18 Psychologist Sarnoff Mednick defines creativity as “the forming of
associative elements into new combinations which either meet specified require-
ments or are in some way useful.”19
Creative thinking is frequently referred to as divergent or lateral thinking
because it requires looking at problems from a number of different perspectives,
thinking in broad categories, and producing a variety of solutions. Once a creative
idea is generated through lateral thinking, however, the concept is refined through
analysis, evaluation, and other convergent (vertical) thinking strategies. For exam-
ple, to develop his theory of relativity, Einstein used lateral thinking to visualize
himself as a passenger holding a mirror as he rode on a ray of light. He determined
that his image would never reach the mirror because both he and the glass would
move at the speed of light. In contrast, a stationary observer could catch Einstein’s
reflection in a mirror as the scientist passed by. Einstein started work on his theory
of relativity as a result of this visualization. In order to complete the task, he worked
for a decade using such vertical thought processes as calculation and reasoning.
One widely used description of creative problem solving was developed by
George Graham Wallas. Based on research done with problem solvers, Wallas
claimed that there are four steps to the creative process.20
1. Preparation. Creativity often begins with a conscious attempt to define and
solve a problem. The preparation stage involves days, months, and even
years of reading, gathering information, and repeating experiments. Com-
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posers, for example, may spend more than 10 years in study before their
first important compositions are finished. The more extensive the prepara-
tion, the more likely the creative solution. As two-time Nobel Prize winner
Linus Pauling once pointed out: “The best way to get a good idea is to get
lots of ideas.” In addition, valuable new insights often come from unrelated
fields of study. Take the case of Steve Jobs (profiled in the Leadership on the
Big Screen feature at the end of the chapter) who co-developed the Apple
computer. Before starting Apple, Jobs designed video games at Atari. He
attributes his success in developing the game Breakout to what he learned
about movement and perception in a college dance class.21
2. Incubation. During the incubation period, the conscious mind shifts to other
interests and the subconscious has an opportunity to make new associations,
which lead to creative problem solving. To see how the incubation process
works, build in an incubation period as you write your next major paper.
Work as hard as you can for a few hours, and then turn your attention to other
matters. When you return to write, you may find that ideas come more easily.
3. Illumination. Ideas may appear as sudden inspirations during the creative
process. These flashes of insight come during the illumination stage, often
when a person is alone and more sensitive to intuitive messages.
Carol Orsag Madigan and Ann Elwood compiled the stories of many such
inspirational moments in a book called Brainstorms and Thunderbolts.22
Here are a few examples of famous flashes of illumination:
• While in the bathtub, the ancient Greek scientist Archimedes discovered
the principle that “a body immersed in liquid loses as much in weight as the
weight of the fluid it displaces.” Afterwards he celebrated his discovery by
running naked through the streets, shouting “Eureka!” (“I have found it!”)
• The formula for the structure of benzene came to German chemist Fried-
rich August Kekule (1847) in a dream. Dreams were also a source of story
plots for Robert Louis Stevenson. Mary Shelley, on the other hand, got her
inspiration for the novel Frankenstein during a sleepless night.
• William Booth, the founder of the Salvation Army, came home after a
walk through the slums of London to announce to his wife, “Darling, I
have found my destiny.”
• Mary Baker Eddy used her recovery from a fall on the ice to launch a new
faith—Christian Science.
4. Verification. In this last stage, the creator develops the ideas that have come
through preparation, incubation, and illumination. Verification can include
writing poetry and novels, testing mathematical theorems, or checking with
suppliers and running cost data.
Becoming a Creative Leader
One common misconception about creativity is the belief that only a few peo-
ple are blessed with creative ability. According to this view, some outstanding indi-
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viduals like William Shakespeare, Marie Pasteur, Bill Gates, or artist Georgia
O’Keefe have large amounts of creative talent while most people have little or none.
Research suggests, however, that everyone can think creatively—not just a few cre-
ative superstars. Studies of creative people reveal that they do not fit a single profile.
Creative individuals are both aggressive and passive, introverted and extroverted,
unstable and adjusted. Creative people share only three characteristics: (1) they are
hardworking and persevering, (2) they are independent and nonconformist in their
thinking, and (3) they are comfortable with complexity and ambiguity.23
Becoming a creative leader means thinking more creatively yourself, while at
the same time helping followers develop their creative abilities. To achieve these
goals, leaders need to adopt a problem-finding perspective, learn to tolerate failure,
and focus collective attention on innovation.
Identifying new problems is called the problem-finding orientation to cre-
ativity.24 In order to develop a problem-finding orientation, keep in constant touch
with sources both inside and outside the organization or group—employees, mem-
bers of other task forces, customers, stockholders, government officials, media
outlets, industry officials, and others. These linkages will reveal gaps between what
the organization is and should be doing, shifts in the political or social climate, and
so on. In addition, go looking for “trouble” by posing questions that challenge cur-
rent products, practices, procedures, and beliefs. Psychologists Robert Kriegel and
David Brandt call this process “hunting for sacred cows.”25 Sacred cows are out-
moded, usually invisible ways of doing things that blind organizations to new
opportunities. For example, many reports, proposals, and publications could be
eliminated because nobody reads them. To round up sacred cows, leaders should
listen to complaints, identify and analyze basic assumptions, and form cow-hunt-
ing groups. Pay particular attention to the way you spend your time. Keep a daily
log for an average week and then eliminate the sacred cows by asking yourself: (1)
Why am I doing this activity, and what would happen if it didn’t exist? (2) Is some-
one else doing this task? (3) How and when did this practice come into being, and
who started it? and (4) Can another person, department, or company do it faster,
better, or more easily? (Application Exercise 4.4 provides practice with another
problem-finding technique.)
�
A leader is someone who can take a group of people
to a place they don’t think they can go.
—Bob Eaton
Because every creative idea carries with it the risk of failure, we need to toler-
ate mistakes if we hope to foster creativity in ourselves and those we lead. Creative
leaders concentrate on the task rather than on what can go wrong. They recognize
that failure is a significant learning tool; the only people who don’t fail are those
who don’t try. The founder of the Johnson & Johnson company once declared: “If I
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wasn’t making mistakes, I wasn’t making decisions.”26 IBM’s first president,
Thomas Watson, took this philosophy to heart. After making a $10 million blun-
der, a young executive walked into his office and began the conversation by saying,
“I guess you want my resignation.” Watson replied: “You can’t be serious. We’ve just
spent $10 million educating you!”27 Microsoft’s Bill Gates likes to hire people who
have made mistakes: “It shows they take risks. The way people deal with things that
go wrong is an indicator of how they deal with change.”28 Tesla Motors founder
Elon Musk says, “If things are not failing, you are not innovating enough.”29 One
study of 90 successful public and private leaders found that they simply didn’t con-
cern themselves with failing, seeing failure as a learning tool. The researchers call
this positive approach to failure the “Wallenda factor” after famed tightrope artist
Karl Wallenda. In 1978 he fell to his death because he focused his energies on not
falling rather than on walking across the wire.30
If you want to foster creativity, you need to help your group focus on generat-
ing new products, ideas, and procedures. In an organizational setting, invest your
own time in project start-ups and other innovative activities. Encourage creativity
by measuring and rewarding creative efforts. At 3M, for instance, innovative
employees receive cash awards and are honored every year for their scientific
achievements. The top 20 recipients receive a four-day holiday at the firm’s corpo-
rate retreat. Under the company’s dual track career system, creators don’t have to
move into management roles in order to earn more money or gain status.31 Box 4.3
describes another company known for being highly innovative.
Interactive
Transformational leaders are masterful communicators able to articulate and
define ideas and concepts that escape others. As suggested earlier, the process of
leadership depends on the existence of symbols that facilitate coordinated action.
Transformational leaders transmit their ideas through images, metaphors, and
models that organize meanings for followers. Extraordinary leadership is first, and
Box 4.3 Case Study Innovation: The Soul of Google32
Ask people to name the world’s most innovative companies and chances are Google will
appear near or at the top of the list. And for good reason. Google has revolutionized the way
most of us gather information. The company’s servers handle billions of searches every day. Even
our language reflects the impact the company has had on our lives. We don’t search for informa-
tion anymore, we “Google” it.
Google was founded in 1998 when Stanford students Larry Page and Sergey Brin developed a
mathematical formula to simplify online searches based on ranking websites. Prior to Google,
searches were chaotic, with some companies unable to find themselves on the Web. Google’s
second important innovation, and the one that made the firm extremely profitable, was develop-
ing a way to make money off the service in 2001. (A number of dot.com firms went broke
because they didn’t generate a profit.) Advertisers, who bid on search terms, pay only for each
person who clicks on an ad.
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Given the firm’s history, it’s no wonder that innovation continues to be the “soul” of Google.33
Company leaders realize that Google could fall victim to the next big technological advance.
They hire talented, risk-taking engineers (many of them PhDs) who are more focused on problem
solving rather than on generating profits. Researchers work with projects all the way to fruition
instead of passing them off to other groups to perfect. According to the director of search quality,
“We don’t want to create different classes of engineers where the researchers get to do the really
fun stuff and someone else gets to do the grunt work.”34 And creative ideas can come from any-
where in the company. A staff medical doctor successfully argued that Google had an ethical
obligation to help those searching with the phrase “how to commit suicide.” The top of the
screen now shows the toll free number of the National Suicide Prevention Hotline. Call volume to
the hotline went up nine percent soon after.
Instead of waiting to see if all the “bugs” have been worked out before launching products,
engineers go “public,” releasing programs and then modifying them based on input from users.
They realize that not every idea will work and are on the lookout for “good failures.” Good failures
are those that (1) provide insights that can be applied to future projects and (2) fail rapidly, before
they become too costly. Ideas are embraced based on the philosophy that if users come, then the
company can figure out how to make money on the new services later. Engineers can spend 20%
of their time on their own projects. In the past they could pursue any idea they wanted but exec-
utives now limit projects to those that are directly related to company strategy.
Page and Brin encourage employees to have fun. The atmosphere at company headquarters
(the GooglePlex) is casual, featuring lava lamps, foosball, beanbag chairs, and massage chairs.
The company founders also want information to “cross-pollinate.” One way they encourage
cross-pollination is by providing free meals to employees so they interact over lunch. In addition,
the corporate culture is one that fosters public communication or “living out loud.” According to
a VP of engineering, “Everything that’s done privately is done publicly here. We make decisions in
public. We expect people to debate. You’re supposed to engage. You’re supposed to disagree.”35
Fostering innovation has resulted in a host of new products including Gmail, Google News,
Google Games, Google Scholar, Google Earth, Google+, Google Desktop, Google Spreadsheets,
Instant (which displays search results while the user is still typing), and self-driving cars. Some
services are more successful than others, of course. Google Video failed to unseat YouTube.
(Google later bought YouTube.) Google Answers no longer takes new questions because users
can go directly to websites that provide specific information. However, if the past is any indica-
tion, Google’s passion for innovation will enable it to continue to play an important role in the
lives of millions of users around the world.
Discussion Questions
1. Does a company need to have a history of innovation like Google in order to be highly cre-
ative? If not, how can an innovative climate be fostered?
2. What are the advantages and disadvantages of restricting what engineers can develop on
their own? Do the advantages outweigh the disadvantages? Should Google leaders go
back to the old system where engineers could pursue any idea they wanted?
3. Could Google’s practice of going public with new ideas and then modifying them based
on feedback be effective in other fields besides technology?
4. How would you define “good” failures?
5. Is there a danger in focusing first on attracting users to a new service without knowing
how to make money from it?
6. Could any of the methods for fostering creativity employed at Google be used in an orga-
nization with which you are familiar?
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foremost, a product of extraordinary communication. To communicate success-
fully, a transformational leader must be aware of the needs and motivations of his
or her followers. Only when a leader is involved with followers can he or she find
ways to do things better. “Managing by wandering around” (MBWA) is one way to
become involved with followers.36 MBWA involves walking the floor, interacting
with followers on a regular basis. The transformational leader engaging in MBWA
does not play the role of a cop on patrol but acts as a coach whose primary activi-
ties are listening, teaching, and helping followers with problems.
One organization that embodies the transformational philosophy is Johnson-
ville Foods of Sheboygan, Wisconsin. At Johnsonville, traditional organizational
structure was replaced in the early 1980s by self-directed work teams. Middle man-
agers adopted the leadership roles of coordinators and coaches rather than the tra-
ditional roles of supervisors and disciplinarians. Leaders were responsible for
teaching team members how to lead themselves more effectively. In short, the pri-
mary job responsibility of organizational leaders at Johnsonville Foods became one
of interacting with team members.
Thomas Neff and James Citrin, senior executives at Spencer Stuart, one of the
best regarded executive search firms in the world, surveyed more than 500 leaders in
business and education to identify the 50 best public and private sector business lead-
ers in the United States. One common trait among the 50 top-rated business leaders
was the ability to communicate effectively. As Neff and Citrin explain, “Nowhere is it
more critical to be a strong communicator than in leading people.”37 One of their most
powerful examples is Mike Armstrong, the former CEO of AT&T. Every Monday,
Armstrong brought together the company’s top executives—eight to ten people—who
met for the entire day to make sure the company was on track. Armstrong said the key
was to “communicate, communicate, communicate. You cannot be a remote image.
You’ve got to be touched, felt, heard, and believed.”38 This is particularly important in
times of change. In the days following the September 11, 2001, terrorist attacks, Con-
tinental Airlines CEO Gordon Bethune recorded a daily voice-mail message to keep
all of his employees fully informed about the rapidly changing situation in their indus-
try.39 (Turn to chapter 13 for a closer look at the communication lessons to be drawn
from the events of 9/11.) These examples illustrate the importance of communication
to successful leadership. Indeed, the more leadership responsibility an individual has,
the more likely that his or her job includes a significant communication component.
Political and social leaders, CEOs, and senior executives all devote a great deal of
energy to clearly communicating their message to followers.
By encouraging open communication, a leader allows followers to share their
ideas and insights. The experience of the US Forest Service provides a good example
of how simplifying the communication process can help foster employee participa-
tion. The Eastern Region of the Forest Service had a system for suggestions that
required employees to fill out a four-page form each time they had an idea. In a four-
year period the region’s 2,500 employees submitted 252 ideas for consideration, or
about one idea per person every forty years. To see if they could improve participa-
tion, Forest Service officials changed the process to make it easier for employees to
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communicate with their superiors. The new system allows anyone with an idea to sub-
mit a brief description by e-mail. Under the new system, employees sent in 6,000 new
ideas in the first year, an average of more than two ideas per employee each year!40
Openness to interaction and feedback extends beyond the leader/follower rela-
tionship. Transformational leaders also engage in frequent communication with
suppliers, customers, and even with industry competitors. In 2002, executives from
the aircraft manufacturer Boeing met with a group of global airline representatives.
Leaders at Boeing scheduled the meeting to determine customer needs in the face
of increasing competition from rival manufacturer Airbus. The feedback from the
airline industry was clear—Boeing’s customers were much more interested in fuel
efficiency than the speed of an aircraft or the number of passengers that could be
carried. Based on this information, Boeing scrapped its plans for a high-speed,
high-cost jetliner and began work on a new fuel-efficient airplane, the 787 Dream-
liner. Five years after that meeting, Boeing had orders for nearly 700 Dreamliners
totaling some $114 billion in sales.41 The manufacturing process for BMW auto-
mobiles built in Leipzig, Germany, has been streamlined by including suppliers on-
site. The French auto-parts company Faurecia assembles cockpits and seats for the
BMW in the plant, not at an off-site location as is the norm. As a result of the fre-
quent interaction among employees from the two companies (workers from both
companies even share the same cafeteria), custom vehicle orders can be filled in
just 20 minutes, a process improvement that is central to BMW’s goal of improving
efficiency by 5% each year. One of the strategies for cutting costs is to solicit cre-
ative ideas from suppliers, like Faurecia. Over a three-year period some 10,000 sug-
gestions have been offered—and about a third have been put into practice.42
Visionary
Communicating a vision to followers may well be the most important act of
the transformational leader. A vision is a concise statement or description of the
direction in which an individual, group, or organization is headed. Compelling
visions provide people with a sense of purpose and encourage commitment. Fol-
lowers achieve more and make more ethical decisions when they pursue a worthy
goal. To be compelling, a vision must be both desirable and attainable. Uninspiring
or unachievable visions are ineffective and may demoralize followers.
Warren Bennis and Burt Nanus found that transformational leaders spend a
good deal of time talking with employees, clients, other leaders, and consultants
before developing a vision for their organization.43 They study the history of their
organization to determine the reasons for past successes and failures; they study
the present to determine current strengths, weaknesses, and resources; and they
look to the future to identify possible long-term social, political, and environmental
changes. The leaders then interpret the information and construct a realistic vision
that fits the norms of the group and inspires followers to put forth more effort.
Burt Nanus lists four characteristics of effective visions.44
1. An effective vision attracts commitment and energizes people. People are
willing, even eager, to commit to worthwhile projects. An effective vision
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inspires people by transcending the bottom line. Whether it involves some-
thing that improves conditions for others (such as the development of new
medical technology) or something that allows for growth and development
on the part of the follower (such as increased autonomy), people are moti-
vated to meet challenges that make life better.
2. An effective vision creates meaning for followers. People find meaning in
their work lives. When groups and organizations share a vision, individuals
see themselves not just as salesclerks or assembly workers or whatever their
job description names, but as part of a team providing a valuable product
or service.
3. An effective vision establishes a standard of excellence. Most people want to
do a good job. A shared commitment to excellence provides a standard for
measuring performance. Establishing a standard of excellence helps follow-
ers identify expectations and provides a model for the distinctive compe-
tence of a group or organization.
4. An effective vision bridges the present and the future. A vision is a mental
model of a desirable and idealistic future. By bridging the present and the
future, an effective vision transcends the status quo by linking what is hap-
pening now with what should happen in the future.
Extraordinary leaders at every level communicate compelling visions. Whether
the vision is to have the best customer service in the industry or the fewest defects
on an assembly line, a sense of direction and purpose is essential to inspired leader-
ship. The behavior exhibited by a transformational leader provides the basis for
reinforcing a vision. When the plant manager jumps into a delivery truck to rush an
order to an important customer, people notice. This kind of dramatic behavior
reinforces priorities and values and sets a standard for follower behavior. As James
Collins and Jerry Porras explain in their book Built to Last, organizations with a
well-articulated vision that permeates the company are most likely to prosper and
have long-term success.45 Visionary companies such as Boeing, General Electric,
Nordstrom, Sony, and Walt Disney tend to be the premier market leaders in their
industries. Collins and Porras found that visionary companies were more likely to
prosper over long periods of time—even through multiple product cycles and
changes in corporate leadership.
According to John Kotter, an effective vision is specific enough to provide real
guidance to people, yet vague enough to encourage initiative and remain relevant
under a variety of conditions.46 If a vision is too specific, it may leave followers
floundering once the goals it articulates are achieved. An example of an overly nar-
row vision statement was President John F. Kennedy’s vision for NASA. In 1962,
Kennedy defined NASA’s vision as “landing a man on the moon and returning him
safely to earth before this decade is out.” When a vision this specific is achieved (as
it was in 1969), followers may feel a sense of confusion regarding what to do next
(as NASA did in the 1970s and 1980s).47
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�
If you do not know where you are going, every road will get you nowhere.
—Henry Kissinger
More effective vision statements offer general guiding philosophies without
detailing specific end results. The following vision statements are examples of well-
conceived organizational visions:
Amazon.com To be Earth’s most customer-centered company, where
customers can find and discover anything they might
want to buy online.
American Medical To promote the art and science of medicine and the
Association (AMA) betterment of public health.
Bristol-Myers Squibb To discover, develop and deliver innovative medicines
that help patients prevail over serious diseases.
Facebook To give people the power to share and make the world
more open and connected.
Ford Motor People working together as a lean, global enterprise for
automotive leadership.
Google To organize the world’s information and make it uni-
versally accessible and useful.
McDonald’s To be our customers’ favorite place and way to eat and
drink.
Nike To bring inspiration and innovation to every athlete in
the world.
REI At REI, we inspire, educate and outfit for a lifetime of
outdoor adventure and stewardship.
Wendy’s To be the quality leader in everything we do.48
These vision statements provide a general philosophy that guides the actions
of members of the organization while simultaneously reflecting key organizational
values. Well-conceived vision statements evolve directly from the core values
shared by members of a group or organization. (Try the self-assessment activity in
box 4.4 to see how the process of developing a personal vision statement works.)
Experts have traditionally distinguished between vision and mission, arguing
that the vision provides a sense of direction and an idea or image of a desirable
future, while the mission is a description of the organization and how it is aligned
to achieve its vision. Yet, in practice some vision statements describe the com-
pany’s purpose and some mission statements are inspirational. To further confuse
matters, the terms are often treated interchangeably. Whatever label is used, the
research is consistent with regard to the importance of having a unifying vision.
Well-articulated visions have the potential to inspire and guide organizational
behavior; they are associated with higher levels of performance.49
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Box 4.4 Self-Assessment Developing a Personal Vision Statement50
Values are at the core of individual, group, and organizational identity. Values are relatively
enduring conceptions or judgments about what we consider to be important. According to Mil-
ton Rokeach, there are two types of personal values.
1. Terminal values. Lifelong goals (e.g., freedom, inner harmony, salvation)
2. Instrumental values. Behaviors that help people achieve lifelong goals (e.g., indepen-
dence, ambition, obedience)
Values guide and direct behavior. There is substantial research suggesting that a number of
positive effects result from agreement between personal values and the values most prized in
the organization at which we work. Agreement between personal and organizational values
results in increased personal identification with the organization, higher levels of job satisfaction,
greater team effectiveness, and lower turnover rates. Values play a key role in the development of
vision. Try to identify your own personal vision by ranking the values on the lists below. These
two lists represent key terminal and instrumental values as identified by Rokeach. There are 18
values on each list. Rank order each from 1 (most important) to 18 (least important). Remember
to consider the values on each list separately. You are to create two rank-ordered lists. Many peo-
ple find this to be a very difficult process. Remember, you are ranking values from most impor-
tant to least important—not from important to unimportant. Because values are so central to our
personality, there are few unimportant values.
Terminal Values
___ Freedom (independence, free choice)
___ Self-respect (self-esteem)
___ Mature love (sexual and spiritual intimacy)
___ An exciting life (activity)
___ A comfortable life (prosperity)
___ Family security (taking care of loved ones)
___ True friendship (close companionship)
___ Social recognition (respect, admiration)
___ Wisdom (an understanding of life)
___ Happiness (contentedness)
___ A world at peace (free of war and conflict)
___ A world of beauty (beauty of nature and art)
___ Pleasure (an enjoyable, leisurely life)
___ Equality (brotherhood, equal opportunity
for all)
___ A sense of accomplishment (lasting
contribution)
___ Inner harmony (freedom from inner conflict)
___ National security (protection from attack)
___ Salvation (saved, eternal life)
Instrumental Values
___ Loving (affection, tenderness)
___ Independent (self-reliant, self-sufficient)
___ Capable (competent, effective)
___ Broad minded (open minded)
___ Intellectual (intelligent, reflective)
___ Honest (sincere, truthful)
___ Responsible (dependable, reliable)
___ Ambitious (hardworking, aspiring)
___ Imaginative (daring, creative)
___ Helpful (working for the welfare of others)
___ Forgiving (willing to pardon others)
___ Logical (consistent, rational)
___ Cheerful (lighthearted, joyful)
___ Self-controlled (restrained,
self-disciplined)
___ Courageous (standing up for your own
beliefs)
___ Polite (courteous, well-mannered)
___ Obedient (dutiful, respectful)
___ Clean (neat, tidy)
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When you complete your rankings, write down six of the top-rated values from each of your
lists in the space below.
Terminal Values Instrumental Values
1. 1.
2. 2.
3. 3.
4. 4.
5. 5.
6. 6.
Carefully examine the list of your top-rated terminal and instrumental values. Look for similar-
ities, patterns, and themes. Using this as a starting point, try to create your own personal vision
statement. Remember, this vision statement should emerge from the top-rated core values you
identified. Your vision statement should be concise (usually a single sentence). Look back at the
examples of well-conceived organizational vision statements on p. 119 if you need a reminder of
what a vision statement looks like.
My Personal Vision Statement:
Once you have developed your personal vision statement, try to shorten your statement into
a slogan. A slogan is a shorter version of the vision statement you previously created. Slogans are
most often associated with corporate advertising (e.g., Just Do it—Nike; One Team. One Plan.
One Goal—Ford; Whole Foods, Whole People, Whole Planet—Whole Foods Market; Because I’m
Worth It—L’Oreal). Write your slogan below and share it with others in your class.
My Personal Slogan:
Discussion Questions
1. How does your personal vision statement and slogan match that of your present or past
employer? How do think your personal vision statement might impact your job satisfaction?
2. Based on the slogans presented, what values do you perceive to be most prized in your class?
3. How can learning what is important to us (as well as to others) help organizations operate
more effectively?
4. What is the most significant thing you learned about yourself in this exercise?
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The growth and development of people
is the highest calling of leadership.
—Harvey S. Firestone
Empowering
Transformational leaders empower others. Even an extraordinary leader can-
not accomplish a great deal without capable followers. Transformational leaders
encourage participation and involvement. The exchange of ideas between leader
and follower does not pose a threat to the transformational leader. Extraordinary
leaders realize that individual achievement and success are the basis for team
achievement and success. Transformational leaders know how to give power away
and how to make others feel powerful. Transformational leaders give followers
access to the funds, materials, authority, and information needed to complete tasks
and to develop new ideas. (See chapter 5 for an in-depth discussion of empower-
ment.) These leaders allow others to make decisions rather than insisting on mak-
ing all the decisions themselves. Implicit in the concept of empowerment is the fact
that such autonomy encourages employees to take ownership of their work. The
Ritz-Carlton hotel chain exemplifies this type of ownership. The company wants
the first person receiving a guest’s complaint to handle the problem. It empowers
employees to own the problem by allowing them to spend up to $2,000 per guest to
solve any customer complaint. As one of the company’s corporate trainers put it, at
Ritz-Carlton no one says “That’s not my job.”51 Box 4.5 describes another company
that empowers employees to serve customers.
�
Many hands, and hearts, and minds
generally contribute to anyone’s notable achievements.
—Walt Disney
Passionate
Transformational leaders are passionately committed to their work. They love
their jobs and have a great deal of affection for the people with whom they work.
This passion and personal enthusiasm motivates others to perform at their highest
levels as well. Transformational leaders are able to encourage others because they,
first and foremost, encourage themselves.
One organization that has received cult-like recognition for the passion
exhibited by its employees is the Pike Place Fish Market in Seattle. Books and
training videos have documented the popularity of the seafood store as a tourist
attraction. Thousands flock each day to watch the employees perform their jobs.
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Box 4.5 Case Study Working by the Rule Book at Nordstrom
Nordstrom began as a small shoe store in Seattle in 1901 and has grown into a retail giant with
119 large department stores and 194 outlet clearance centers (Nordstrom Rack) in the United
States, online customer apparel companies (Nordstrom.com and nordstromrack.com), a private
sale website (HauteLook), and Trunk Club, a personalized clothing service. Together they gener-
ate over $14 billion per year in sales (up from $10 billion in 2010). Although other retailers may be
larger, few engender so much enthusiasm and loyalty from both customers and employees.
From the beginning, Nordstrom incorporated the idea that outstanding customer service
offers a competitive advantage. Stories abound concerning the almost mythic levels of assistance
offered by Nordstrom staff. This (well-deserved) reputation has turned the opening of new Nord-
strom stores into civic events. When the first Nordstrom was built in Denver in the 1990s, hundreds
of shoppers camped overnight in the parking lot in anticipation of the store’s grand opening.
The key to Nordstrom’s success is a leadership philosophy based on empowering employees
to do whatever it takes to satisfy customers. As in many companies, new hires at Nordstrom
attend a day-long employee orientation before they begin work on the sales floor. Unlike other
companies, however, the training focuses almost exclusively on customer service. They learn that
Nordstrom sales people never point but walk customers to where items are located, for example,
and walk around the counter to hand customers their bagged purchases. While the company
does outline standards for employees, the heart of the handbook is captured in the following
statement, which for many years was written on a card and given to new hires:
WELCOME TO NORDSTROM
We’re glad to have you with our company.
Our number one goal is to provide
outstanding customer service.
Set both your personal and professional goals high.
We have great confidence in your ability to achieve them.
We only have one rule:
Use your good judgment in all situations.
Please feel free to ask your department manager,
store manager, or Human Resources office
any questions at any time.52
This entrepreneurial spirit allows Nordstrom sales associates to perform at levels that often
exceed customers’ expectations. For example, a Nordstrom sales associate in suburban Washing-
ton DC received a letter from a Swedish business executive who had purchased $2,000 worth of
shirts and ties from Nordstrom while in the United States. After returning to Sweden, he washed
the shirts in hot water; they shrank. He wrote to Nordstrom to ask for advice on how he might
deal with his problem. The Nordstrom sales associate immediately put through a call to Sweden
and told the customer he would replace the shirts with new ones at no charge. He asked the cus-
tomer to mail the damaged shirts to the store—at Nordstrom’s expense—so he could send back
the appropriate replacements. Such a move would likely require several levels of approval—if it
would happen at all—at most stores, but as the Nordstrom sales associate explained, he “didn’t
have to ask for anyone’s permission. . . . Nordstrom would rather leave it up to me to decide
what’s best.”53 In another example, a woman lost the diamond from her wedding ring while
shopping at Nordstrom. She returned to the store and started crawling around the women’s
(continued)
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department looking for the diamond. The store’s loss prevention agent got down on his hands
and knees and began to help but without success. When the woman left, the loss prevention
agent recruited two building service employees to look. After further search they decided to tear
open the vacuum cleaner bags. There it was. The company then created a video clip on the inci-
dent to show other employees and encouraged them to develop their own version of the “dia-
mond story.”54
Nordstrom also has extremely liberal return and exchange policies. In one case it accepted a
set of tires (the company had recently acquired local stores that carried this item). In another case
a New York City shopper brought a pair of shoes purchased at Bloomingdale’s into a New York
area Nordstrom. The customer explained the shoes were too small. She had purchased them
because she liked the style, but Bloomingdale’s didn’t have her size. After being fitted with the
same shoe in the proper size (the average Nordstrom store carries over 150,000 pairs of shoes),
the customer started to pay for the shoes. The salesperson suggested the customer simply
exchange the too-small shoes and take the correctly fitting pair for free. When the customer
reminded the sales associate she had purchased the shoes at Bloomingdale’s, the Nordstrom
salesperson explained, “If I take these shoes for you, you won’t have any reason to return to
Bloomingdale’s.”55 These liberal return and exchange policies might invite abuse, but the com-
pany’s unconditional money-back guarantee is designed for the 98% of customers that Nord-
strom finds to be honestly seeking fair treatment.
Developing this level of customer service can be challenging. Nordstrom prefers to hire peo-
ple without previous sales experience. As Jim Nordstrom, the late co-chairman of the company
once explained, those with little sales experience “haven’t learned to say ‘no’ to customers,
because they haven’t worked for anybody else.”56 Nordstrom expects its sales staff to exhibit high
levels of professionalism and initiative and pays its sales associates the second-highest wages in
retail fashion (an average of $11.89 an hour). (Most exceed their base pay rate by earning a higher
commission-based pay of approximately 6.75% of their sales volume.) Some employees generate
over a $1 million in annual sales. Thus Nordstrom staff members have the opportunity to earn
exceptional salaries as their sales increase, benefiting both the employee and the bottom line at
Nordstrom. Salespeople also receive full benefits, including retirement, and medical and dental
insurance. They report that the company is a great place to work. As Nordstrom has learned, high
performance comes when employees are empowered to offer the highest imaginable levels of
customer service and attention.
Discussion Questions
1. What constitutes outstanding customer service? What are the best and worst customer
service experiences you have had?
2. What is the relationship between empowerment and customer service?
3. What do you think of the one rule? Would you like to work for a company like this? Why?
Why not?
4. Do you think the Nordstrom return and exchange policies might be abused by more than
the estimated 2% of its customers?
5. If a company expects people to take on more responsibility at work, what, if anything,
should an employer be expected to offer in return?
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The onlookers are treated to a spectacle that includes constant banter with cus-
tomers, fish flying through the air to the cashier, and countless other zany
antics.57Another example is the FedEx advertising campaign that highlighted the
passion of company employees around the globe. The focal point of the advertise-
ment was a website, fedexstories.com, that chronicled the exploits of workers who
went above and beyond for their customers. Examples included an Italian courier
who drove 300 miles in his own vehicle to deliver a late package, an Australian
FedEx Kinko’s manager who came to work at 3:00 AM to assist his employees with
a malfunctioning copier machine, and a delivery manager in Michigan who went
to extraordinary lengths to deliver a mobility scooter to a customer with a rup-
tured tendon. The scooter arrived too late for delivery at the customer’s home
address in Michigan. When the delivery manager found out the customer was
limping around on crutches in New York where he was visiting his children at
summer camp, the manager mobilized a team of FedEx employees who assembled
the vehicle, charged the battery, and shipped the fully constructed scooter at no
additional charge to New York for the man to use on his trip.
Organizational consultant Richard Chang suggests that passion is the single
most important competitive advantage an organization can have.58 For example,
when Gillette executives made the choice to build sophisticated and more expen-
sive shaving systems rather than expand in the low-margin disposable market, they
did so in large part because they had little enthusiasm for developing cheap dispos-
able razors. For executives at Gillette, the technical design of shaving systems
sparks the same type of excitement that might be expected from an aeronautical
engineer working on the latest advancements in aviation. People who aren’t pas-
sionate about Gillette are not welcome in the organization. One top business
school graduate wasn’t hired by the company because she simply didn’t show
enough passion for deodorant.
�
Nothing great in the world has ever been accomplished without passion.
—Georg Friedrich Wilhelm Hegel
By demonstrating the characteristics of transformational leaders, individuals
can begin to transform themselves and their organizations. By encouraging cre-
ativity, fostering open communication, demonstrating forward thinking, sharing
responsibility, and exhibiting commitment, leaders can help construct organiza-
tions that are prepared to meet the challenges of the future.
Perspectives on Charisma
Charismatic leaders are the “superstars” of leadership. We usually reserve the
label “charismatic” for well-known political, social, and business leaders who have
had significant impact on the lives of others. Notable historical figures such as Joan
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of Arc, Queen Elizabeth I, Henry Ford, John F. Kennedy, Martin Luther King, Jr.,
and Nelson Mandela likely come to mind when we think of charisma. More recent
conceptions of charisma, however, suggest that charismatic leadership can be
found at all levels—not just among those in senior positions. By discovering how
charismatics communicate, we can increase our effectiveness as leaders. In this
section of the chapter, we’ll look at some of the most significant approaches to the
study of charismatic leadership.
The Sociological Approach
German sociologist Max Weber, writing in the early twentieth century, was
one of the first scholars to use the term charisma to describe secular leaders. The
term, which Weber borrowed from theology, means “gift” in Greek. Early Chris-
tians believed that God gave special gifts or abilities to church leaders.59 Weber
expanded the definition of gifted leadership to include all leaders, both religious
and nonreligious, who attracted devoted followers through their extraordinary
powers. In summarizing the nature of the charismatic leader, Weber wrote:
[H]e [she] is set apart from ordinary men [women] and treated as endowed
with supernatural, superhuman, or at least specifically exceptional powers or
qualities. These [powers] are such as are not accessible to the ordinary person,
but are regarded as of divine origin or as exemplary and on the basis of them
the individual concerned is treated as a leader.60
According to Weber, a leader retains charismatic status as long as he or she is seen
as charismatic. A charismatic must periodically demonstrate his or her exceptional
personal gifts in order to maintain power over followers. Harrison Trice and Janice
Beyer found five key components in Weber’s foundational conception of charisma.61
1. A leader with extraordinary, almost magical, talents
2. An unstable or crisis situation
3. A radical vision for providing a solution to the crisis
4. A group of followers attracted to the extraordinary leader because they
believe they are linked through the leader to powers that exceed usual limits
5. A validation, through repeated success, of the extraordinary leader’s talents
and power
�
Great crises produce great deeds of courage.
—John F. Kennedy
A number of important details are missing from Weber’s pioneering theory of
charismatic leadership. Weber never describes the origin or exact nature of the
charismatic leader’s extraordinary powers, nor does he clarify how charismatic
authority rests both on the traits of the leader and on the perceptions of followers.
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Much debate is also generated by the claim that instability or crisis is a necessary
condition for charismatic leadership. Many scholars argue that charisma can be
demonstrated in the absence of crisis, noting that charismatic leaders with compel-
ling visions often appear in the business world in times of stability and calm.62
The Behavioral/Attribution Approach
Behavioral scientists argue that organizational leaders, like Thomas Watson of
IBM and George Johnson of Endicott-Johnson Shoes, can also be described as
charismatic. Behavioralists try to quantify the differences between charismatic and
noncharismatic leaders, hoping to clarify what charisma is and to predict the
effects of charismatic leadership.
�
Do what you can, with what you have, where you are.
—Theodore Roosevelt
Jay Conger and Rabindra Kanungo claim certain leader behaviors motivate fol-
lowers to regard individuals as charismatic. Five behaviors that encourage follow-
ers to attribute charismatic characteristics to leaders are:63
• Possess a vision that is unique, yet attainable. A charismatic leader’s vision dif-
fers markedly from the status quo. It is unique, innovative, and energizing. At
the same time, the charismatic leader’s vision is not too radical. A vision that
challenges conventional wisdom too greatly (for example, a CEO promising to
triple the size of the company in one year) will promote distrust. Followers
attribute powers of observation and insight to a leader who communicates a
singular, achievable vision.
• Act in an unconventional, counternormative manner. By engaging in behav-
iors that are outside traditional normative bounds, a charismatic demon-
strates he or she is different from other leaders. When such behaviors
produce successful outcomes, a leader appears to transcend the existing
societal, organizational, or group order. (Turn to box 4.6 to learn about one
such unconventional charismatic leader.)
• Demonstrate personal commitment and risk taking. Trust is an important
component of charisma, and followers have greater trust for a leader who is
personally committed to his or her own vision. Most impressive is a leader
who is willing to risk losing such things as power, status, or money.
• Demonstrate confidence and expertise. Leaders who appear confident and
knowledgeable are far more likely to be viewed as charismatic than those
who seem unsure and confused. A leader’s confidence can be infectious.
When a leader believes in his or her decision making, followers are likely to
be more confident in their judgments as well. This shared confidence
increases the likelihood of success for both leaders and followers and
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Box 4.6 Case Study Jack Ma: China’s Unlikely Billionaire64
Jack Ma is a most unusual billionaire. He is the head of one of the world’s largest technology
companies (the Alibaba group) but knows little about technology. Short (around 5 feet tall), thin,
with a prominent forehead and protruding ears, he doesn’t resemble the typical corporate execu-
tive. Some journalists call him “Crazy Jack” based on his animated speaking style as well as his
risky corporate strategies. He dresses in wild wigs and lipstick to serenade employees at annual
meetings, belting out renditions of Elton John’s “Can You Feel the Love Tonight” and other tunes.
Ma remains humble though he is the richest man in China and one of the richest men in the
world. He spends his free time practicing tai chi, and reading and writing Kung Fu novels.
The unusual billionaire followed an unlikely career path. His family faced the wrath of the Chi-
nese communists because his grandfather fought against Mao. Ma’s parents were performers
who practiced Pingtan, a traditional folk art form combining storytelling and music, which Mao
banned during the Cultural Revolution of the early 1970s, when Jack was a child. His family’s low
status, along with his physical appearance, meant that he was the target of bullying at school. But
Ma fought back, getting in trouble for his frequent fights with classmates. (He told biographers: “I
was never afraid of opponents who were bigger than I.”)65 Once he learned that tourists were
returning to visit his scenic hometown of Hangzhou following the Cultural Revolution, he got up
at 5 AM every morning to befriend visitors so he could learn English. Since they couldn’t pro-
nounce his Chinese name, the Western visitors nicknamed him “Jack.” Through this experience
Jack not only polished his English skills, he made friends he would visit later and learned that
much of what he was being taught in school was not true.
When it came time to enter university, Jack flunked the entrance exam twice due to poor
math skills. He was finally accepted into what he refers to as “the most terrible school” in town—
the Hangzhou Teacher’s Institute. After graduation he got turned down for jobs with the city
police, a hotel, and the local KFC. (Ma claims he was the only one of 24 applicants not hired by the
restaurant chain.) He then took a job teaching English for $20 a month. At the same time, he
started his own translation service. Jack’s introduction to the Internet came when he traveled to
the US to collect a bill for a client (an effort that failed when the American pulled a gun on him).
Staying with a friend in Seattle, he entered the words “China” and “beer” into a search engine and
could find no entries. He received 5 visits within 24 hours of setting up his own website and was
convinced that there was a future for e-commerce in China though, at the time, few Chinese
knew about the Internet.
Ma quit his job as a teacher and started an online directory, which was soon taken over by
China Telecom; he then worked briefly for the Chinese government. In 1999 Ma and 17 friends
used $60,000 to start Alibaba, which means “open sesame.” Alibaba puts foreign buyers in touch
with Chinese suppliers. In 2003 he started Taobao (“searching for treasure”), an online auction
site that put him in direct competition with eBay. eBay chair Meg Whitman mocked Ma’s decision
to offer his service for free, declaring, “Free is not a business model.” Ma’s gamble paid off—eBay
left the Chinese market and Taobao began making money by charging fees. Other branches of
Alibaba include Alipay, which, similar to PayPal, guarantees payment for online transactions; and
Tmall.com, which operates much like Amazon.com, serving buyers and retailers. In 2011 Alibaba
made the largest initial public offering (IPO) in the history of the New York Stock Exchange ($160
billion) and is the seventh largest company in the world, surpassing General Electric and Walmart.
Currently Alibaba handles more Internet traffic than eBay and Amazon combined and accounts
for 60–70% of all packages shipped in China. The conglomerate has recently diversified into
financial services, travel booking, a football team, the film industry, and other businesses.
Ma started his company just as China was moving to a socialized market economy and discov-
ering the Internet, which was key to his success. The arrogance and cultural insensitivity of for-
eign competitors also gave the company a chance to succeed. Executives at Yahoo!, eBay, and
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Google not only showed disdain for Ma and his company, they failed to adapt to the Chinese
market. Recognizing the importance of relationships in China, Alibaba officials held face-to-face
gatherings around the country to recruit businesses to the Internet. While eBay keeps buyers and
sellers from contacting the other party, Taobao provides chat software so they can talk directly
with one another. Click on Taobao in China and moving icons and animations come up, a feature
not found when visiting eBay or Amazon.com.
Despite Ma’s good timing, Alibaba wouldn’t have succeeded without Ma’s charismatic leader-
ship. As Porter Erisman, who served as an Alibaba VP explains, there were lots of other people
who were more qualified to start an e-commerce business in China but Jack was the only one
who seized the opportunity: “He was the right person in the right place at the right time.”66
Ma is a skilled communicator. Since stepping down as CEO he has maintained the role of chair-
man and spends much of his time representing the company. While Western executives are fond
of outlining leadership principles, Ma is fond of images and sayings. For example, when describ-
ing Alibaba’s relationship with the Chinese government, he notes, “While we are in love with
them we don’t have to be married to them.” He describes his early days at Alibaba and his lack of
technical skill as a “blind man riding on a blind tiger.” During the struggle with eBay he comforted
employees through this image: “eBay is a shark in the ocean; we are a crocodile in the Yangtze
River. If we fight in the ocean, we will lose, but if we fight in the river, we will win.” As a reminder to
entrepreneurs to stay focused on the central mission of their firms, he evokes another animal
image: “If you are a wolf chasing rabbits focus on one rabbit. Change yourself to catch the rabbit,
but don’t change rabbits.” He exhorts followers through such declarations as “Never give up.
Today is hard, tomorrow will be worse, but the day after tomorrow will be sunshine.”
Like his parents, Ma is a performer, which made him a popular teacher and helps him inspire the
loyalty of his current employees. Annual meetings resemble pep rallies. (He also presides over the
mass weddings of Alibaba employees.) The entrepreneur makes work enjoyable. When the com-
pany made its first profit, he handed out a can of Silly String to everyone to celebrate. Ma encour-
aged the team launching Taobao to do handstands during their breaks to keep their energy up.
Ma’s vision is clear. He is passionate about fostering the growth of small businesses by
enabling them to sell goods globally over the web. He is also clear about his priorities. “Putting
shareholders first is capitalism’s biggest mistake,” he claims. “Shareholders do not have a long-
term vision for the company.”67 Instead, Ma believes customers come first, employees (who serve
customers) come second, and investors come third. He summed up his philosophy in a letter sent
to Alibaba employees when the firm filed for its IPO:
We know well we haven’t survived because our strategies are farsighted and brilliant, or
because our execution is perfect, but because for 15 years we have persevered in our
mission of “making it easier to do business across the world,” because we have insisted
on a “customer first” value system, because we have persisted in believing in the future,
and because we have insisted that normal people can do extraordinary things.68
Discussion Questions
1. How did Ma’s childhood and early failures prepare him for later success?
2. What makes Ma such an effective communicator?
3. Can you think of other leaders who use images and sayings to motivate followers? What
images do they use?
4. What elements of charismatic leadership do you see in Jack Ma?
5. When entering overseas markets, how can leaders avoid the mistakes made by US technol-
ogy companies in China?
6. Would you like to work for Jack Ma?
7. What do you learn from Jack Ma that you can apply as a leader?
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enhances the status of a leader among his or her followers. At the same time,
when a leader demonstrates a high level of expertise, followers may believe
the leader has privileged knowledge. The leader’s successes will be attributed
to expert decision making as opposed to chance.
• Demonstrate personal power. Followers are more likely to attribute charisma
to leaders who use personal power to meet the objectives of their vision than
to those who use authoritarian or democratic approaches. Leaders who use
authoritarian means based on position power when implementing a vision
are not likely to be perceived as charismatic. Likewise, leaders who delegate
responsibility by asking followers to develop their own strategies for achiev-
ing a vision are unlikely to be seen as charismatic. Although these demo-
cratic leaders are generally well-liked, they usually are not considered
extraordinary by followers. Those leaders who demonstrate their personal
power through the use of compelling oratory or persuasive appeals, however,
are likely to be viewed by followers as possessing charismatic characteristics.
The Communication Approach
Neither of the perspectives on charisma that we have discussed so far view the
topic specifically from a communication vantage point. Nonetheless, sociologist
Weber emphasized that charisma is perceived by followers who look to the leader
to illustrate his or her charismatic standing through communication. Conger and
Kanungo emphasize the importance of articulating a compelling vision, appearing
confident, and demonstrating personal power through oratory.
Communication is more than an important element of charismatic leadership,
however. We believe that charisma is the product of communication. We agree
with Robert Richardson and Katherine Thayer who point out that “charisma isn’t
so much a gift as it is a specific form of communication.”69 Richardson and Thayer
argue that we can exert charismatic influence by working to improve our commu-
nication skills.
Charismatic leaders excel in four core functions of communication:
Charismatics as Relationship Builders
Charismatic leaders are skilled at linking with others. Their relationships with
followers are characterized by strong feelings. As we’ve seen, such terms as excite-
ment, adventure, loyalty, and devotion are frequently used to describe charismatic
leader/follower relations. In addition, charismatics convince followers that as lead-
ers they have a significant impact on the course of events—that they are “at the
center of things.”70
Charismatics as Impression Managers
Charismatics excel at creating the desired impressions through skillful use of
the following elements:71
Framing. Successful leaders help followers interpret the meaning of events. A
CEO, for example, might explain that layoffs are only a temporary measure that will
guarantee the long-term health of the company or that market trends point to a bright
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future for the firm’s products. Notable leaders also frame the organization’s purpose
in a way that inspires followers by tying into audience values and stressing the vision’s
importance and feasibility. (We’ll take a closer look at framing in chapter 8.)
Scripting. Scripts are directions or guidelines for behavior. While frames define
the situation, scripts outline the roles of players, what they are to say, and how they
are to act. Scripting begins with casting, the process of identifying and then defining
the roles of the main performers, supporting players, audiences, and enemies. Char-
ismatic and transformational leaders outline their role in the drama, convince follow-
ers that they have a significant part to play in achieving shared goals, and identify
outside groups that need to be approached for support. They then script the dialogue
or interaction with followers. Powerful dialogue techniques include storytelling,
which was discussed in chapter 1, as well as creating metaphors, drawing analogies,
and communicating overarching goals. Successful leaders provide direction to guide
performances, with specific attention to nonverbal behaviors and emotional displays.
When they want to be perceived as dynamic, for example, they exhibit more eye con-
tact, vocal variety, relaxed posture, and animated facial expressions. When they want
to be seen as considerate, they are less animated and expressive.
Staging. Charismatic leaders pay close attention to how performances are
staged, making sure that their personal appearance, the setting, and props support
the image they want to project. For instance, when addressing the nation in times
of crisis, presidents dress formally in dark colors and speak from the Oval Office
surrounded by such props as the American flag and the presidential seal.
Performing. Performing is carrying out the behaviors outlined in the script.
Outstanding leaders make effective use of four types of impression management.
The first type is exemplification, which refers to living out or role modeling desired
values and behaviors. For example: engaging in self-sacrificing or risky behavior
like working extra hours or investing in a new venture, helping others, or demon-
strating personal integrity. The second type is promotion—the communication of
favorable information. The leader can promote (1) him- or herself (skills and
accomplishments), (2) the vision (selling its merits and the leader’s ability to bring
it to pass), and (3) the organization (highlighting the success of the collective,
which reflects well on the leader). Charismatic leaders are careful not to overstate
their accomplishments, the vision, or the group’s success. Overpromoting the self
can backfire, generating skepticism and resentment; overpromoting the vision and
organization can be seen as overzealous and unrealistic.
The third type of impression management used by notable leaders consists of
facework, communication designed to protect or repair damage done to personal
or collective images. Charismatic leaders know how to account for their missteps
in ways that reduce their negative impact. They may deny responsibility for what
happened, excuse their behavior, or justify their actions based on the fact that they
were right to act as they did. Ronald Reagan successfully used accounting tactics to
protect his image during the Iran-Contra scandal, when his administration was
accused of trading weapons for hostages. He took “full responsibility” but yet
blamed others for acting without his knowledge.
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The fourth type of impression management is ingratiation. Effective leaders
make themselves appear more attractive and likeable to others through comple-
ments, praise, agreeing, and offering to do things for others. They create the
impression that they are warm and friendly. They take care to avoid intimidating
behaviors that make them appear dangerous and threatening.
Charismatics as Visionaries
Charismatic leaders can also be defined in terms of their ability to create sym-
bolic visions. Above all, charismatics emphasize the transcendent. According to
one scholar, “They provide in themselves and in their visions an opportunity for
the follower to imagine himself and his society transformed into something
entirely new.”72
Although the visions of charismatic leaders are new images of the group’s
future, they are built on the foundation of previous myths and values. The power of
the charismatic grows as larger and larger numbers of people accept his/her sym-
bolic focus. Stressful events like unemployment, war, fear for the future, and racial
strife discredit current definitions of reality. This creates a more receptive audience
for the charismatic leader’s new vision. For example, the civil rights movement of
the 1960s made many white Americans aware of the extent of racial injustice. Mar-
tin Luther King, Jr.’s nonviolent message gained wide acceptance because people of
all racial groups could accept King’s vision of a world united by love.73
Charismatics as Influence Agents
Charismatics are masters at influence and inspiration. In some instances, their
influence is so great that followers never question their decisions or directives.
Charismatic leaders project an image of confidence, competence, and trustworthi-
ness. They utilize the power of positive expectations to generate high productivity,
and they make effective use of language and persuasion to achieve their goals. Such
leaders rely heavily on referent power—their influence as role models—to encour-
age others to sacrifice on behalf of the group.
If the perception of charisma is the result of communication behaviors, then
we all have the potential to act as charismatic leaders. We can generate charismatic
effects as small group, organizational, and public leaders. Though we may never
influence millions as did Mahatma Gandhi, Martin Luther King, Jr., or Steve Jobs,
we can have a strong impact on the lives of others through shaping the symbolic
focus of the group, generating perceptions of confidence and competence, commu-
nicating high expectations, and inspiring others.
Transformational and Charismatic Leadership:
Interchangeable or Distinct?
Scholars disagree as to whether transformational and charismatic leadership
should be treated as interchangeable or considered separately.74 There is no doubt
that these two approaches share much in common. Both transforming and charis-
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matic leaders have a powerful effect on followers and organizations; both achieve
extraordinary results; both inspire; both are skilled communicators. Both approaches
even appear to share the same potential weaknesses. Critics complain that they are
“leader-centric” because they seem to focus almost exclusively on leaders while
ignoring followers.75 It is the leader who crafts the vision, inspires, fosters creativity,
motivates employees, empowers, and so on. Influence flows in one direction—top
down. In some cases, like Steve Jobs’s refusal to do market research, we admire lead-
ers who ignore the wishes of followers. Followers, who are just as important to the
success of the group, are overlooked. They are far too often treated as empty vessels
waiting to be filled or directed by their leaders.
Initially, both the transformational and charismatic approaches were criticized
for overlooking the bad or dark side of leadership. As we noted in chapter 1, leaders
are frequently destructive. Selfish, exploitive leaders can use transformational strat-
egies to achieve unworthy objectives; some of the most terrifying leaders in history
were considered to be charismatic. To their credit, transformational and charis-
matic scholars now acknowledge that both approaches can be used for good or ill.
In order to distinguish between authentic and self-interested transforming lead-
ers, Bernard Bass and others differentiate between transformational and pseudotrans-
formational individuals.76 (See box 4.7.) The behavior of authentic transformational
leaders is aligned with those actions in the first column while pseudotransformation-
als exhibit the unethical behaviors in the second column. (We’ll have more to say
about authenticity in the final section of this chapter.)
Box 4.7 Products of Transformational and
Pseudotransformational Leadership
Pseudotransformational Leaders
• Promote special interests at the expense of
the common good
• Encourage dependency of followers and
may privately despise them
• Foster competitiveness
• Pursue personal goals
• Foment greed, envy, hate, and deception
• Engage in conflict rather than cooperation
• Use inconsistent, irresponsible means
• Use persuasive appeals based on emotion
and false logic
• Keep their distance from followers and
expect blind obedience
• Seek to become idols for followers
• Manipulate followers
Transformational Leaders77
• Raise awareness of moral standards
• Highlight important priorities
• Increase followers’ need for achievement
• Foster higher moral maturity in followers
• Create an ethical climate (shared values,
high ethical standards)
• Encourage followers to look beyond self-
interests to the common good
• Promote cooperation and harmony
• Use authentic, consistent means
• Use persuasive appeals based on reason
• Provide individual coaching and mentoring
• Appeal to the ideals of followers
• Allow followers freedom of choice
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For their part, charismatic theorists distinguish between personalized (unethi-
cal) and socialized (ethical) charismatics based on their motivation.78 Personalized
charismatics use power to reach their goals. Their followers passively submit to
their authority. Socialized charismatics seek to exercise power on behalf of the
group instead, serving follower needs. Followers become more autonomous as a
result of their relationship with the leader. Personalized (unethical) charisma has a
detrimental effect on the organization by fostering dependency and instability.
Socialized (ethical) charisma brings about positive change and equips followers to
function more effectively.
While transformational and charismatic leadership share common ground,
there appear to be significant differences as well. To begin, charismatic leadership
is more person centered. The success of the charismatic leader rests on her or his
personal characteristics (or perceptions of those characteristics). He or she must
demonstrate high energy, self-confidence, risk taking, courage, and superior
impression-management skills. When the charismatic leader leaves, so does her or
his charismatic authority; it can’t be transferred to a successor. The transforma-
tional leader, on the other hand, is more group-centered, appealing to the values
and needs of followers. He or she wants to elevate the aspirations and morality of
followers and leaders alike. This dimension is missing in many discussions of char-
ismatic leadership.
There appears to be a stronger emotional connection to charismatics than to
transformational leaders. Crisis also seems to be a critical element for the emer-
gence of charismatic leadership (in most cases) but not for transformational lead-
ership. The behaviors of the two types of leaders differ as well. Empowerment is a
key characteristic of transformational leadership but charismatic leaders are often
more authoritative, giving direction instead of enlisting the help of subordinates.
Because of these differences, we believe that it is useful to view transformational
and charismatic leadership as overlapping yet distinct approaches. We think each
offers important insights into the success of highly effective leaders. However, we
leave it to you to determine if you think that transformational and charismatic
leadership are different names for the same approach (see Application Exercise 9
on p. 141).
Alternative Approaches to Outstanding Leadership
Together, transformational and charismatic leadership are the dominant theo-
ries in the field of leadership studies. However, alternative ways to explain out-
standing leadership are emerging. We’ll close out the chapter by looking at two of
these approaches—authentic leadership and the CIP model.
Authentic Leadership
In the previous section we saw that Bernard Bass and others differentiate
between authentic and pseudotransformational (inauthentic) leadership. While
they introduced the notion of authenticity, it was up to other scholars—starting
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with Fred Luthans, Bruce Avolio, and others associated with the Gallup Institute at
the University of Nebraska—to describe authentic leadership more fully and to
determine how this type of leadership impacts performance. Initial interest in
authentic leadership came at a time (right after the turn of the century) when the
nation was rocked by a series of corporate scandals at Waste Management, Enron,
WorldComm, Arthur Anderson, Tyco, and other firms. Researchers and practitio-
ners were looking for ways to promote ethical leadership. The positive scholarship
movement in the social sciences also influenced them. Positive psychologists and
organizational scholars argue there is more to gain by building on the strengths of
individuals and organizations than on addressing their weaknesses. (We’ll have
more to say about positive psychology in chapter 11.). However, modern theorists
aren’t the first scholars to be interested in authenticity. Both ancient Greek and
Roman philosophers put a high value on this quality. “Know thyself ” appears in the
writings of Cicero and Ovid and is inscribed on the frieze about the oracle of Del-
phi. Greek thinkers also urged listeners “to thine own self be true.”79
Authentic leadership theorists believe that authenticity is the root construct or
principle underlying positive leadership and leadership development. According to
proponents, practicing authentic leadership leads to sustainable (long-term) and
veritable (ethically sound) organizational performance. Authenticity has four com-
ponents, all of which are grounded in intrapersonal and interpersonal communica-
tion.80 Self-awareness means being aware of, and trusting in, personal motives,
desires, feelings and self-concept. Self-aware people know their strengths and
weaknesses, personal characteristics, and emotional responses and patterns. They
use this knowledge when interacting with others and their environments. Balanced
processing describes remaining objective when receiving information. Inauthentic
processing involves denying, distorting, or ignoring feedback. Leaders may have to
acknowledge the fact that they are reluctant to delegate or that they fall back on an
authoritarian style when they feel stressed. Internalized moral perspective is regu-
lating behavior according to internal standards and values, not according to out-
side pressures. Authentic leaders act in harmony with what they believe and don’t
change their behavior to please others or to earn rewards or avoid punishment.
Relational transparency is the presentation of the authentic self to others, openly
expressing honest thoughts and feelings appropriate to the situation. These four
elements are summarized in the following definition of authentic leadership:
A pattern of leader behavior that draws upon and promotes both positive psy-
chological capacities and a positive ethical climate, to foster greater self-aware-
ness, an internalized moral perspective, balanced processing of information,
and relational transparency on the part of leaders working with followers, fos-
tering positive self-development.81
Authentic leadership can have a profound effect on followers.82 Leader authen-
ticity fosters feelings of self-efficacy (competence), hope, optimism, and resilience
in subordinates. These factors, which together make up positive psychological cap-
ital, increase job performance. Followers who believe in their own abilities are
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more likely to take initiative and achieve more, even when faced with difficult cir-
cumstances. Feelings of hope and optimism foster will power. Resiliency enables
followers to more quickly recover from setbacks and failures.
Investigators report that followers of authentic leaders demonstrate higher
commitment, satisfaction, and effort. They also demonstrate higher moral perfor-
mance. Authentic followers are likely to emulate the example of authentic leaders
who set a high moral standard. They feel empowered to make ethical choices on
their own and are more likely to act courageously. (We’ll take a closer look at fol-
lower courage in chapter 11.) They align themselves with the values of the organi-
zation and set a moral example themselves. Authentic followers provide honest
feedback to their leader, which increases the leader’s self-knowledge. They also
give their leaders more freedom to make difficult, unpopular choices.
Authentic Leadership Theory (ALT) has moved into the next phase of devel-
opment. At first, articles and chapters on authentic leadership offered observations
and propositions that weren’t supported by empirical research. But an ALT scale
has now been developed which tests the four dimensions described above. Sample
scale items include: “Seeks feedback to improve interactions with others” (self-
awareness); “Says exactly what he or she means” (relational transparency); “Dem-
onstrates beliefs that are consistent with actions” (internalized moral perspective);
and “Solicits views that challenge his or her deeply held positions” (balanced pro-
cessing).83 In devising the scale, developers found that authentic leadership shares
some features with transformational and servant leadership but is a distinct con-
struct. Authentic leadership is now being examined in other cultural settings like
Brazil, India, Iran, Australia, and China. To date, the positive effects of authentic
leadership appear to generalize across a variety of cultures, reducing follower
stress and insecurity while increasing trust, job satisfaction, safety, performance,
and willingness to blow the whistle on organizational wrongdoing.
Authentic leadership theory is highly attractive. The theory has developed at a
time when many people are disillusioned with the poor ethical performance of busi-
ness, political, and nonprofit leaders. Then, too, there is a commonsense appeal to
the theory: “After all, who would advocate for inauthentic leaders?”84 Many of us
can point to authentic leaders (teachers, coaches, supervisors) in our own lives or
we can name prominent leaders who demonstrate authentic characteristics. Former
president Jimmy Carter, for example, continued his commitment to service after his
election defeat. He founded the humanitarian Carter Center, builds homes for Hab-
itat for Humanity, and teaches at his church despite a brain cancer diagnosis. For-
mer first lady Betty Ford encouraged others to seek help for addictions by openly
seeking treatment for alcoholism. In addition, she revealed her struggles with breast
cancer at a time when few women did so. ALT is also attractive because it highlights
the fact that outstanding leaders are moral leaders. A growing body of evidence
demonstrates that authentic leaders have a significant positive influence on follow-
ers and lay the foundation for long-term organizational success.
Despite its attraction, there are serious concerns with authentic leadership.
The theory’s underlying premise that authenticity is the source of all positive forms
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of leadership is controversial. There may be other sources as well. In addition,
authenticity may be overrated. Stanford business professor Jeffrey Pfeffer points
out that leaders frequently act in ways that contradict their feelings in order to
carry out their roles.85 They have to preside over annual meetings when they are ill,
overcome insecurity to express confidence to attract investors and customers, and
comfort others when they (the leaders) are still grieving.
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Authenticity is the alignment of head, mouth and feet—
thinking, saying, feeling and doing the same thing.
—Lance Secretan
The CIP (Charismatic/Ideological/Pragmatic) Leadership Model
Psychologist Michael Mumford points out that many noncharismatic leaders
have also had a profound effect on society. Take Benjamin Franklin, for instance.
Franklin doesn’t appear on lists of charismatic leaders, but the nation and world
would be much different without him. He helped draft the Declaration of Indepen-
dence and led efforts to establish the US postal system. In addition, he is credited
with inventing the lightning rod and bifocal lenses.
Mumford and his colleagues acknowledge the impact of charismatic leaders
but identify two additional tracks or pathways to outstanding leadership.86 Each
track—charismatic, ideological, pragmatic (CIP)—is based on the mental model or
schema leaders use to make sense of the world. Charismatic leaders believe that
people can act on the environment to achieve their goals. They look to the future
and present a vision that will lead to positive outcomes and address social needs.
Ideological leaders believe that situational forces are keeping followers from reach-
ing their goals and propose changes that will eliminate those blockages. They look
to the past, believing it is much better than the present. Highly committed to per-
sonal beliefs and values, they present visions that stress values and adhering to
standards. Pragmatic leaders focus on the causes—both people and situational
influences—that pose threats and opportunities in the current context. They look
to the present, using a variety of skills to deal with complex problems, rather than
offering inspirational visions or images of the idealized past.
Mumford and his associates initially relied heavily on the historiometric method
to test the CIP model. In the historiometric approach, investigators apply statistical
methods to analyze historical figures. CIP researchers identified notable leaders for
each category, selected speeches and other material from each individual, and then
asked judges to rate the leaders’ behaviors to determine how charismatic, ideologi-
cal, and pragmatic leaders differ. Some of the historical figures in their sample
included Jomo Kenyatta, Margaret Thatcher, Martin Luther King, Jr., and Eva Peron
(charismatic); Jane Addams, Susan B. Anthony, Dietrich Bonhoeffer, and Fidel Cas-
tro (ideological); and Katharine Graham, Booker T. Washington, Rupert Murdoch,
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Richard Nixon, and Martha Stewart (pragmatic). The theorists also used a similar
approach to analyze successful college and professional football coaches.
CIP investigators found significant differences among charismatic, ideological,
and pragmatic leaders in both the historical figure and football coach samples.
These differences include:
1. Problem solving: Charismatic leaders generate more ideas, ideologues focus
on evaluation, and pragmatics rely on detailed analysis and expertise.
2. Relationships with followers: Charismatic leaders give and receive support;
ideological leaders share power and direction with key followers who hold
the same values; pragmatic leaders are less likely to share direction.
3. Communication strategies: Charismatic leaders seek to motivate; ideologues
appeal to follower needs; pragmatics offer logical, problem-oriented appeals.
4. Political tactics: Charismatic and ideological leaders rely heavily on such tac-
tics as controlling decisions, coalition building, and intimidation. Pragmatic
leaders rely more on rational influence (expertise) and allocating resources.
5. Machiavellianism: Pragmatic leaders are most likely to manipulate subordi-
nates; followed by charismatic leaders. Ideological leaders are least likely to
engage in Machiavellian behavior.
6. Emotional displays: Charismatic leaders express more positive emotions as
they envision a desirable future; ideological leaders express more negative
emotions, particularly if events don’t align with their beliefs, and are also
more volatile; pragmatic leaders use both positive and negative displays
closely tied to the current situation.
The CIP model highlights the fact that outstanding leadership takes different
forms. Leaders who (1) look to the past and appeal to shared values, or (2) focus on
solving immediate problems can be as effective as their transformational/charis-
matic counterparts. The CIP approach also raises important questions about how
we measure the influence of a leader. Charismatic leaders might have the most
immediate impact but the influence of ideological and pragmatic leaders may be
greater over time. There are significant limitations in using historical figures to
support the model, however. Observers may disagree about how to classify leaders.
Moreover, evaluators have to rely on biographical accounts, which reflect the
biases of the historian. Coaching (where each game may pose a crisis and emotions
run high) might differ from leadership in other contexts.
CIP researchers have begun to address these concerns by developing ways to
identify the three styles in college students and then measuring their performance
on games and problem-solving tasks. To date, most US students surveyed have a
pragmatic orientation. The effectiveness of each style in simulations and in prob-
lem-solving exercises depends on such factors as the complexity and type of
dilemma being solved.87
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CHAPTER TAKEAWAYS
• Beginning in the late 1970s, the transformational approach emerged as a new
perspective for understanding and explaining leadership.
• The transformational approach contrasts traditional leadership, labeled as trans-
actional, with a more “complex” and “potent” type of leadership known as trans-
formational.
• The motivational appeals of the transactional leader are designed to satisfy basic
human needs; the appeals of the transformational leader go beyond those basic
needs to satisfy a follower’s higher-level needs.
• Transformational leaders are creative, interactive, visionary, empowering, and
passionate. Further, since transformational leadership can convert followers into
leaders in their own right, these five primary characteristics are often filtered
throughout transformed groups and organizations. You can act as transforma-
tional leader by demonstrating these behaviors.
• Transformational leaders are innovative and foresighted. They constantly challenge
the status quo by seeking out new ideas, products, and ways of performing tasks.
• Transformational leaders are masterful communicators able to articulate and
define ideas and concepts that escape others.
• Communicating a vision to followers may well be the most important act you
engage in as a transformational leader. A vision is a concise statement or descrip-
tion of the direction in which an individual, group, or organization is headed. Com-
pelling visions provide people with a sense of purpose and encourage commitment.
• Transformational leaders empower others. These leaders encourage participa-
tion and involvement. The exchange of ideas between leader and follower does
not pose a threat to the transformational leader. Extraordinary leaders realize
that individual achievement and success is the basis for team achievement and
success. Transformational leaders know how to give power away and how to
make others feel powerful.
• Transformational leaders are passionately committed to their work. They love
their jobs and have a great deal of affection for the people with whom they work.
This passion and personal enthusiasm motivates others to perform to their high-
est levels as well. Transformational leaders are able to encourage others because
they, first and foremost, encourage themselves.
• Charismatic leaders are the “superstars” of leadership. We usually reserve the
label “charismatic” for well-known political, social, and business leaders who
have had significant impact on the lives of others.
• Weber’s sociological approach to charisma included five key components: a
leader with extraordinary talents; an unstable or crisis situation; a radical vision
for providing a solution to the crisis; a group of followers who believe the
extraordinary leader links them to powers that exceed usual limits; and a valida-
tion of the extraordinary leader’s talents and power through repeated success.
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• By describing charisma as a set of behaviors, the behavioral approach attempts to
clarify what charisma is and to predict the effects of charismatic leadership. Fol-
lowers attribute charisma to leaders who: possess a vision that is unique, yet
attainable; act in an unconventional, counternormative manner; demonstrate
personal commitment and risk taking; demonstrate confidence and expertise;
demonstrate personal power.
• The communication approach suggests that charisma is a specific form of com-
munication. You can create perceptions of charisma by excelling in four core
functions of communication: relationship building, impression management,
visioning, and influencing.
• Transformational and charismatic leadership are overlapping yet distinct
approaches. Both achieve outstanding results. However, charismatic leadership
is more person centered and the charismatic leader is more likely to direct than
to empower followers.
• Authentic leadership theory (ALT) is based on the premise that authenticity is
the basis of positive leadership. Authentic leaders, in turn, often have profound
effects on followers, raising their organizational and moral performance.
Authentic leaders demonstrate self-awareness, balanced processing, an internal-
ized moral perspective, and relational transparency.
• According to the CIP model, there are three pathways to highly successful lead-
ership: charismatic, ideological, and pragmatic, each based on a different mental
model. The charismatic looks to the future, the ideologue looks to the past, and
the pragmatic leader looks to the present.
APPLICATION EXERCISES
1. Select a particular leader discussed in one of the many books focusing on
transformational leadership (Leaders, The Leadership Challenge, Built to Last,
Lessons From the Top, Leadership on the Edge, Developing Potential Across a
Full Range of Leadership, or Good to Great, for example). Analyze how effec-
tively the leader applies transformational techniques. Does he/she meet the
higher-level needs of followers? Is he/she an effective communicator? Does he/
she have a clearly stated vision?
2. Develop a case study based on an organization that embodies one or more of
the characteristics of transformational leadership.
3. Think of a time when you came up with a creative solution to a major problem.
Analyze your problem-solving effort based on the four stages of the creative
process identified by Wallas: preparation, incubation, illumination, and verifi-
cation. Did you experience each stage? Which was most difficult for you? How
can you overcome creative blocks and increase your flow of creative ideas in
the future? Report your findings.
4. In a group, generate ideas about how to improve your school or business by
asking “What if?” and then filling in the rest of the sentence. For example,
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“What if students could get their undergraduate degrees in three years instead
of four?” “What if the university required every student to spend at least one
term in another country?” “What if our company only sold its products
online?” Select the most promising ideas and present them to the rest of the
class or to colleagues at work.
5. Collect vision statements from several sources. Share your examples with oth-
ers in class. Identify the common characteristics of the vision statements you
think are most effective.
6. Make a list of your passions. How could these passions be used to guide your
career and future leadership experiences?
7. Form a small group and generate a composite list of 10 charismatic leaders. To
make the group’s list, all the members of the group must accept a leader as
charismatic. Keep a record of those individuals who fail to receive unanimous
support. Present your findings to the rest of the class. As part of your report,
describe the criteria that the group used to compile its list. In addition, name
those individuals who were rejected by the group. Explain why these leaders
failed to make the master list.
8. Conduct a debate on whether or not charismatic and transformational leader-
ship should be treated as different or interchangeable approaches. As an alter-
native, debate whether authenticity is the most important quality for leaders.
9. Determine if your supervisor at work is charismatic, ideological, or pragmatic.
Offer evidence to support your conclusion.
10. Do an in-depth study of a public charismatic or an authentic leader. Describe
how this person’s use of communication resulted in his/her emergence as a
charismatic or authentic figure. Write up your findings.
CULTURAL CONNECTIONS: IS TRANSFORMATIONAL/CHARISMATIC
LEADERSHIP A UNIVERSAL CONCEPT?88
As society becomes increasingly global in its focus, it is important to assess the
universality of leadership research and theory. Bernard Bass argued that the con-
cept of transformational leadership may be truly universal—transcending organi-
zational and national boundaries. Evidence supporting the viability of the
transformational approach has been gathered from all continents except Antarc-
tica. The results suggest leadership, in general, and transformational leadership, in
particular, are found in one form or another at all levels and in all cultures.
Bass and fellow researcher Bruce Avolio offered three assertions about trans-
formational leadership, which have subsequently been supported across a variety
of cultures.
1. Transformational leaders are more effective than leaders adopting a more
transactional approach. This has been verified in research conducted in the
United States, Canada, Austria, Belgium, Italy, Germany, Spain, India, Sin-
gapore, Japan, China, New Zealand, and several other countries. Based on
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the perceptions of followers and organizational outcomes, including perfor-
mance appraisals, career advancement, and performance of the work unit,
transformational leaders consistently exceeded the performance of transac-
tional leaders.
2. Transformational leadership adds value to transactional leadership, but the
inverse is not true. Results supporting this assertion or corollary have been
obtained in the United States, Canada, the Dominican Republic, India, Sin-
gapore, and other nations. While transformational leadership appears to
augment transactional leadership, transactional leadership does not
enhance transformational leadership.
3. Whatever the country, when people think of leadership, their prototypes and
ideals are transformational. Participants in research conducted in the
United States, Canada, South Africa, Spain, Austria, Sweden, Italy, Israel,
Japan, Taiwan, Sri Lanka, New Zealand, and elsewhere consistently
described the ideal leader as possessing the traits and characteristics of
transformational leaders.
Researchers affiliated with the Global Leadership and Organizational Behavior
Effectiveness (GLOBE) project surveyed more than 15,000 middle and senior man-
agers in 1900 corporations from 69 different cultures. Their research, like that con-
ducted by Bass and his colleagues, suggests that attributes of transformational
leadership (what they call charismatic/values-based leadership) are universally
endorsed and lead to higher employee and firm performance. These attributes
include: (1) performance orientation, (2) visionary, (3) integrity, and (4) inspira-
tional. According to the GLOBE researchers, “What this means is that leaders in all
GLOBE countries studied are expected to develop a vision, inspire others, and cre-
ate a successful performance-oriented team within their organizations while behav-
ing with honesty and integrity—easier said than done.”89 However, though these
behaviors appear to be universal, cultural influences still play a role. Societies have
different expectations for charismatic behavior. Effective CEOs exceed the expecta-
tions of their particular cultures; ineffective CEOs fell short of societal expectations.
Bass acknowledged that there may be cultures in which transformational lead-
ership is not found. In those cultures, trust between the leader and the led would be
unimportant, and followers would have to demonstrate no concern for self-esteem,
intrinsic motivation, consistency in the actions of leaders, or meaningfulness in
their work and lives. Such cultures would be the exception rather than the rule.
LEADERSHIP ON THE BIG SCREEN: THE MAN IN THE MACHINE
Starring: Steve Jobs, Regis McKenna, Joe Nocera, Chrisann Brennan, Sherry
Turkle, Bob Belleville
Rating: NR but probably PG for language
Synopsis: Documentary filmmaker Alex Gibney puzzled over the worldwide out-
pouring of grief at the death of Apple CEO Steve Jobs in 2011. After all, Jobs was
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not a civil rights leader or a great artist. Why, then, were so many people moved to
mark his passing by placing flowers in front of their local Apple store and by post-
ing condolences on social media? And what did this mean for our culture? To
answer these questions, Gibney provides an in-depth look at the life of Jobs
through archive footage and interviews. The portrait that emerges is of a troubled
entrepreneurial genius. Jobs successfully battled IBM and revolutionized personal-
ized technology through the Apple computer, iPad, iPhone, and other devices, for-
ever changing the way that people interact with machines and with one another.
Under his focused leadership, Apple became the most valuable as well as one of the
most popular corporations in the world. While Jobs could inspire his followers to
accomplish more than they ever dreamed possible, he could also treat them with
contempt. Near the end of his life, Jobs and Apple engaged in a number of unethi-
cal and illegal activities, including mistreating foreign workers, using overseas shell
companies to reduce corporate taxes, and back dating stock options for executives.
Gibney concludes that Jobs and Apple may not be worthy of all the admiration they
have received but acknowledges the impact of the man and the company on the
world in which we live.
Chapter Links: charismatic leadership, creativity, vision, passion, impression man-
agement
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�����
5
Leadership and Power
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Leadership begins and ends with the problem of power.
—Abraham Zaleznik
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OVERVIEW
Power: Mixed Emotions
Power and Leadership
Interdependent But Not Interchangeable
Sources of Power
Deciding Which Types of Power to Use
Engaging in Constructive Organizational Politics
Powerful and Powerless Talk
Empowerment
Components of the Empowerment Process
Empowerment Models
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Power: Mixed Emotions
Many of us have contradictory feelings about power. On the one hand, we are
fascinated by the power and wealth we see on television and in movies. We admire
those with clout, those who move quickly and decisively to get things done. We also
loathe the corruption and greed that often comes with power. We’re uneasy with
exercising power—just discussing the topic can make us uncomfortable. According
to power expert Julie Diamond, “Power, like sex and death, is a taboo topic.”1
As a society, we pay a high price for our ambivalence toward power. Avoiding
the subject makes us more vulnerable to the misuse of power by those in authority.
A chilling example is cult leader Jim Jones, who presided over the mass suicide of
800 followers in Guyana. This tragedy might have been prevented if cult members
and outsiders had recognized and challenged Jones’s unhealthy use of power.2 Con-
versely, our discomfort with the subject of power diminishes our capacity to be
successful. Leaders can only bring about change if they skillfully use power to enlist
the support of followers, overcome resistance, collect resources, create alliances,
and so on. If we ignore the reality of power, we won’t learn how to exercise power
effectively on behalf of worthy goals.
Power is a given. Refusing to talk about it won’t make it go away. Instead, we
need to acknowledge the importance of power and determine how to use it appro-
priately. In the words of John Gardner:
To say a leader is preoccupied with power is like saying that a tennis player is
preoccupied with making shots his [her] opponent cannot return. Of course
leaders are preoccupied with power! The significant questions are: What means
do they use to gain it? How do they exercise it? To what ends do they exercise it?3
Power and Leadership
Sorting out the relationship between power and leadership can be confusing.
Is using power the same as exerting leadership? Does having power automatically
make you a leader? Power and leadership are obviously interdependent; however,
they are not interchangeable. While power can exist without leadership, leadership
cannot exist without power.
Interdependent but Not Interchangeable
We define power as the ability to influence others. Leadership is impossible
without power since a leader must modify attitudes and behaviors. Yet influencing
others does not automatically qualify as leadership; power must be used in pursuit
of group goals to merit leadership classification.4 Imagine a robber armed with a
semiautomatic weapon bursting into a bank, ordering everyone to lie on the floor.
The group obeys. The bank robber certainly exerted power—a very negative mani-
festation of power. We would not label him a “leader,” however. His power was exer-
cised only on behalf of his own interests. In other instances, powerful individuals do
not use their power and thus fail to take a leadership role. The small-group member
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who knows the most about a topic would be a natural candidate for group leader-
ship. However, this person may refuse to participate in the group’s discussion.
Leadership experts Warren Bennis and Burt Nanus summarize the relation-
ship between power and leadership this way: “Power is . . . the capacity to translate
intention into reality and sustain it. Leadership is the wise use of this power. . . .
Vision is the commodity of leaders, and power is their currency.”5
�
Being powerful is like being a lady.
If you have to tell people you are, you aren’t.
—Margaret Thatcher
Sources of Power
If power is the “currency of leadership,” then understanding the sources and
uses of power is essential to effective leadership.6 The ability to influence others can
be based on a wide variety of factors. John French and Bertram Raven have isolated
five primary sources of power.7 Chances are you prefer to use one or two of these
power bases more than the others (see the self-assessment exercise in box 5.1).
Coercive power is based on the ability to administer punishment or to give
negative reinforcements. Examples of coercion range from reducing status, salary,
and benefits to requiring others to do something they don’t like. In the most
extreme form, coercive power translates into brute physical force. Whistle-blow-
ers—employees who have pointed out unethical practices like cost overruns and
safety hazards—often experience coercion. They may be fired, assigned to distaste-
ful jobs, or socially ostracized.
Coercion is most effective when those subject to this form of power are aware
of expectations and are warned in advance about the penalties for failure to comply.
Leaders using coercive power must consistently carry out threatened punishments.
A parent who punishes without first establishing expectations and the conse-
quences for failure will be less effective than a parent who clearly sets the ground
rules. The effective parent says: “I expect you home by 10:00. If you’re not home by
then, you will be grounded for the rest of the weekend.” The user of coercive power
must then follow through with the announced consequence. Threatening over and
over again to ground a teenager for being late without ever carrying out the punish-
ment significantly diminishes coercive power. The same is true in organizational
settings. A supervisor who threatens to take action against a subordinate must
carry out the threat if coercive power is to remain a viable source of power.
Failure to execute threats can produce a cycle of negative behavior. Warnings
to punish represent attention. Although humans certainly prefer positive rein-
forcement, they will select negative reinforcement over no reinforcement at all
(apathy). Humans would rather be punished than ignored. If a child is unable to
attract positive attention, he or she may begin to misbehave in an attempt to attract
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Box 5.1 Self-Assessment Personal Power Profile8
Directions: Below is a list of statements describing possible behaviors of leaders in work orga-
nizations. Carefully read each statement, thinking about how you prefer to influence others. Mark
the number that most closely represents how you feel.
Strongly Neither Agree Strongly
Disagree Disagree nor Disagree Agree Agree
I prefer to influence others by
1. increasing their pay level 1 2 3 4 5
2. making them feel valued 1 2 3 4 5
3. giving undesirable job
assignments 1 2 3 4 5
4. making them feel like I
approve of them 1 2 3 4 5
5. making them feel that they
have commitments to meet 1 2 3 4 5
6. making them feel personally
accepted 1 2 3 4 5
7. making them feel important 1 2 3 4 5
8. giving them good technical
suggestions 1 2 3 4 5
9. making the work difficult
for them 1 2 3 4 5
10. sharing my experience
and/or training 1 2 3 4 5
11. making things unpleasant
here 1 2 3 4 5
12. making work distasteful 1 2 3 4 5
13. helping them get a pay
increase 1 2 3 4 5
14. making them feel they should
satisfy job requirements 1 2 3 4 5
15. providing them with sound
job-related advice 1 2 3 4 5
16. providing them with special
benefits 1 2 3 4 5
17. helping them get a promotion 1 2 3 4 5
18. giving them the feeling that
they have responsibilities to
fulfill 1 2 3 4 5
19. providing them with needed
technical knowledge 1 2 3 4 5
20. making them recognize that
they have tasks to accomplish 1 2 3 4 5
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negative attention. Employees in organizations are no different. “Problem” employ-
ees who receive warning after warning may simply need attention. Following the
guidelines regarding the use of coercive power and offering positive reinforcement
minimizes the negative behavior.
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I praise loudly, I blame softly.
—Catherine the Great
Reward power rests on the ability to deliver something of value to others. The
reward can be tangible (money, health benefits, or grades, for example) or some-
thing intangible like warmth and supportiveness. Many organizations use both
tangible and intangible rewards to recognize superior performance. Pride, for
instance, is a particularly powerful intangible incentive. The Marines, Southwest
Airlines, Aetna Insurance, and other organizations foster institution-building pride
that comes from doing something well in service to the group’s mission. Members
focus on the organization’s performance—customer satisfaction, product quality,
respect of peers—rather than on themselves.9
Any reward must be desirable and attractive to serve as a sufficient motivator.
One student worked in a large organization that decided to change computing sys-
tems. The changeover took six months and required employees to work many
hours of overtime. When the new system was finally in place, the corporation
Scoring: Record your responses to the 20 questions in the corresponding numbered blanks
below. Total each column, then divide the result by 4 for each of the five types of influence.
Reward Coercive Legitimate Referent Expert
1 _____ 3 _____ 5 _____ 2 _____ 8 _____
13 _____ 9 _____ 14 _____ 4 _____ 10 _____
16 _____ 11 _____ 18 _____ 6 _____ 15 _____
17 _____ 12 _____ 20 _____ 7 _____ 19 _____
Total _____ _____ _____ _____ _____
Divide by 4 _____ _____ _____ _____ _____
Interpretation: A score of 4 or 5 on any of the five dimensions of power indicates that you
prefer to influence others by using that particular form of power. A score of 2 or less indicates that
you prefer not to employ this particular type of power to influence others. Your power profile is
not a simple addition of each of the five sources. Some combinations are more synergistic than
the simple sum of their parts. For example, referent power magnifies the impact of other power
sources because these other influence attempts come from a “respected” person. Reward power
often increases the impact of referent power because people generally tend to like those who
can give them things. Some power combinations tend to produce the opposite of synergistic
effects. Coercive power, for example, often negates the effects of other types of influence.
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hosted a Friday afternoon party and rewarded those who had worked such long
hours with T-shirts that said, “I Survived the Changeover.” The student and her
coworkers were insulted. More suitable rewards, like giving workers the day off
after so many weeks of overtime, might have been more appreciated and more
attractive to employees. This student’s unhappy experience with rewards is all too
common, prompting some experts to suggest that leaders should strictly limit their
use of tangible rewards as a motivational strategy.
Legitimate power resides in the position rather than in the person. Persons
with legitimate power have the right to prescribe our behavior within specified
parameters (for example, judges, police officers, teachers, and parents). Although
we may disagree with our supervisor at work, we go along with a decision because
that person is the boss. The amount of legitimate power someone has depends on
the importance of the position she or he occupies and the willingness to grant
authority to the person in that position. Individuals grant legitimate power based
on particular circumstances. An assistant will comply when the boss assigns a
word-processing project or requires the phone to be answered because those are
legitimate requests. The assistant may not be willing to assent to tasks that are not
related to work.
Expert power is based on the person, not the position, in contrast to legitimate
power. Experts are influential because they supply needed information and skills.
In our culture, it is particularly important to be perceived as an expert. Those with
credentials are more powerful than those without appropriate certification. When
visiting a new physician, do you immediately check his/her diploma? Our culture
mandates that certain credentials must be obtained before an individual can be
considered a professional. Demonstrating practical knowledge and skills can also
build expert power. For this reason, members of an organization often have little
legitimate power but a great deal of expert power. Receptionists can be extremely
influential because of what they learn through talking to employees, managers,
customers, and others. School janitors are often powerful because they know how
to fix bulletin boards, open locked doors, and so on.
Referent power is role model power. When people admire someone, they confer
on the admired person the ability to influence their behavior. Referent power
depends on feelings of affection, esteem, and respect for another individual. This loy-
alty generally develops over an extended period of time. Since referent power takes
so long to nurture, it should be used carefully. A supervisor who asks a subordinate
to work overtime as “a personal favor” will succeed if the employee likes and respects
the supervisor. Referent power will probably be effective the first weekend and possi-
bly the second, but after several weeks the employee will tire of doing “favors” for his/
her supervisor. Once depleted, referent power must be replenished by engaging in
behavior that will produce new feelings of affection, esteem, and support.
In recent years, scholars have identified two additional sources of power to
French and Raven’s original list.10 These are information power and ecological power.
Information power is based on access to, and distribution of, data. Those in
roles that span organizational boundaries—marketers, salespeople, public relations
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staff—have access to information about outside events. Managers have inside
knowledge about personnel moves, possible mergers and acquisitions, new prod-
ucts, and other information vital to organizational members. They also have control
of over how and when such data is released and to whom. Followers often have con-
trol over operating information that managers need to make effective decisions.
Ecological power arises out of control over the physical environment, technol-
ogy, and how work is organized. Examples of exerting ecological power include
designing the layout of a manufacturing assembly line, installing a new software
program, and changing the duties assigned to organizational departments.
�
The measure of a [hu]man is what he [she] does with power.
—Pittacus
Deciding Which Types of Power to Use
A useful way of determining the relative advantages and disadvantages of each
source of power is to view leadership as a reciprocal relationship. While leaders
exert more influence than other group members, leaders are also influenced by fol-
lowers. According to social exchange theory, leaders must maintain profitable rela-
tionships with followers.11 They do this by providing rewards like approval,
information, or salary in return for such commodities as labor, compliance, and
commitment. When the relationship becomes unprofitable to either party (the
costs outweigh the benefits), then the relationship is redefined or ended. There are
potential costs and benefits associated with using each power type. For example,
coercion can be used by followers as well as by leaders. Students may punish
instructors who rely heavily on threats and other coercive tactics by giving them
low course evaluations. Politicians who legislate unpopular tax measures are often
removed from office.
A list of the benefits and costs of each type of power is given in table 5.1. The
list—which incorporates the thoughts of the authors and a number of research-
ers—is not exhaustive.12 In fact, we hope that you will add your own costs, bene-
fits, and conclusions (see Application Exercise 2).
The cost/benefit ratios suggest that leaders should rely heavily on expert and
referent power. These forms of power have a positive effect on the performance
and satisfaction of those being influenced and are less costly to use. They are most
likely to maintain a profitable relationship between leader and follower. Yet, effec-
tive leaders need access to all types of power. Taking charge may require discipline
through coercion, the judicious use of rewards, and the power of position. In fact, a
leader’s impact is enhanced if, for example, she or he combines legitimate power
with expert and referent power. A highly respected group member who is
appointed the chair of a committee is in a very powerful position. Or, to put it
another way, leaders need both hard power and soft power. Hard power uses
152 Chapter Five
Table 5.1 Benefits and Costs of Power Types
BENEFITS
Coercive Power
Effective for gaining obedience
Appropriate for disciplinary actions
Achieves quick results
Reward Power
Culturally sanctioned
Focuses attention on group priorities
Effective for gaining obedience
Boosts short-term performance
Legitimate Power
Culturally sanctioned
Incorporates weight of the entire organization
Effective for gaining obedience
Helps large organizations function efficiently
Expert Power
High follower task satisfaction
High follower task performance
Drains little, if any, emotional energy from the user
Referent Power
High follower task satisfaction
High follower task performance
Information Power
Available to both leaders and followers
Information can be acquired through effort
Ecological Power
Can be used to empower followers
Can improve job satisfaction
Can increase efficiency and productivity
COSTS
Drains physical and emotional energy from user
Lowers task satisfaction of followers
Destroys trust and commitment
Becomes less effective over time
Followers may respond in kind
Most likely to be abused
Lower task satisfaction than with expert and refer-
ent power
Not consistently linked with high task performance
Escalating financial and material costs to provide
ever-greater tangible rewards
Some groups, like nonprofit agencies, have lim-
ited tangible rewards to give
Ineffective or destructive if rewards are not desir-
able or attractive, or if the wrong individuals are
rewarded
Lowers follower task performance
Lowers follower task satisfaction
May become less effective over time
Takes a long time to develop
Must possess the necessary knowledge and skills
Not as effective in gaining obedience as coercion,
reward, or legitimate power
May not be effective if followers do not share the
leader’s goals
Takes a long time to develop
Can diminish if overused
Must possess the necessary knowledge and inter-
personal skills
Not as effective for gaining obedience as coer-
cion, reward, or legitimate power
Distorting information
Hoarding information
Only available to those with legitimate power
Costly to implement
Possibility of costly errors
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inducements (bonuses, raises) and threats (firings, lawsuits) to get people to go
along. Soft power is based on attracting others rather than forcing them or induc-
ing them to comply. Leaders using soft power set a good example, outline a worthy
vision, and build good relationships with subordinates. Effective leaders combine
hard and soft power into smart power to achieve their goals. For example, a man-
ager may try to persuade an employee to follow a new work procedure while also
outlining the penalties the subordinate will face if she or he does not comply.13
To summarize, group members seem to prefer leaders who rely on power asso-
ciated with the unique characteristics of the person (expert and referent) rather
than leaders who rely on power related to their position (coercion, reward, legiti-
mate). Since effectiveness is more directly tied to personal performance than to
official position, we can manage our communication behaviors to increase our
power—which, in turn, can increase our ability to lead. Later we’ll take a closer look
at one cluster of communication behaviors—powerful forms of talk—that seem
particularly well-suited to building both expert and referent power. But first we’ll
examine how leaders can put their power to good use in the organizational context.
Engaging in Constructive Organizational Politics
In organizational politics, leaders accumulate and use informal power to
achieve their own objectives and/or the objectives of the organization.14 Political
behavior is not officially sanctioned by the organization and operates outside the
formal power structure. Examples of engaging in organizational politics include
lobbying for a promotion, forming a coalition with other leaders to bring a new
product to market, or loaning an employee to another department in hopes that
the other department will return the favor in the future.
“Playing politics” is generally associated with backstabbing, hidden agendas,
secret deals, selfishness, and deceit. Often those who are skilled at politics get what
they want (raises, promotions) at the expense of more deserving, nonpolitical indi-
viduals. Employees who believe that they work in highly political environments are
less satisfied with their jobs and less committed to their organizations. At the same
time, they report that they are more stressed and more likely to quit.15 (To deter-
mine your perceptions of the negative political climate in your organization, com-
plete the self-assessment in box 5.2.)
Leaders can’t afford to dismiss organizational politics due to its unsavory
image. To begin, politics is an inescapable part of organizational life. Organizations
are political institutions complete with competing interest groups, coalitions,
power brokers, and power struggles. Successful leaders know how to navigate this
political environment. They recognize that engaging in political activity is just as
important as carrying out traditional management functions like negotiating and
decision making.16 Also, informal power is generally used for constructive pur-
poses. Managers engage in positive politics on a daily basis to allocate people and
equipment, manage product development, coordinate workflow, and so on. Some-
times going outside formal power channels is the only way to achieve important
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organizational objectives like removing an incompetent executive or getting cor-
porate headquarters to deal with product quality issues.
Dwight Eisenhower is one example of a leader who used his political skill for
constructive purposes.17 From a young age, Eisenhower was good at settling dis-
putes and getting others to focus on a shared goal. He was a careful observer of
people and could sense what each individual needed. His strongest skill was his
ability to build networks. Early in his career, he developed a web of friendships
with George Marshall, Omar Bradley, and George Patton. Later these generals
played a critical role in the invasion of Europe during World War II. Eisenhower
used the relationships he developed during the war in his postwar career as com-
mander of NATO and President of the United States.
Engaging in constructive organizational politics requires a shift in mind-set.
Organizational behavior experts Ronnie Kurchner-Hawkins and Rina Miller argue
that leaders and followers need to set aside their negative image of organizational
Box 5.2 Self-Assessment Perceptions of
Organizational Politics Scale (POPS)18
Directions: Rate your workplace on each of the following items:
(5 = strongly agree, 1 = strongly disagree)
_____ 1. Favoritism rather than merit determines who gets ahead around here.
_____ 2. There is no place for yes-men and women around here; good ideas are desired even
when it means disagreeing with superiors.
_____ 3. Employees are encouraged to speak out frankly even when they are critical of well-
established ideas.
_____ 4. There has always been an influential group in this department (organization) that no
one ever crosses.
_____ 5. People here usually don’t speak up for fear of retaliation by others.
_____ 6. Rewards come only to those who work hard in this organization.
_____ 7. Promotions in this department (organization) generally go to top performers.
_____ 8. People in this organization attempt to build themselves up by tearing others down.
_____ 9. I have seen changes made in policies here that only serve the purposes of a few indi-
viduals, not the work unit or the organization.
_____10. There is a group of people in my department who always get things their way because
no one wants to challenge them.
_____11. I can’t remember when a person received a pay increase or a promotion that was
inconsistent with the published policies.
_____12. Since I have worked in this department, I have never seen the pay and promotion poli-
cies applied politically.
Scoring: Reverse your scores on items 2, 3, 6, 7, 11, and 12 and then add up the total score
from all twelve items. The higher the score, the greater your perception that negative politics
operates in your workplace. Range: 12–60.
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politics and recognize instead that informal power can foster collaboration and
help the organization achieve its objectives.19 To drive home this point, they con-
trast the traditional view of organizational politics as manipulative and exploitive
(the “dark” side of political behavior) with a more optimistic view (the “bright” side
of political activity). Negative politics is self-serving and uses power to intimidate
and control others. Destructive politicians are out to win at all costs without con-
sideration for ethical standards. In contrast, positive politics serves the vision of
the group and brings people together to achieve worthy goals. Constructive politi-
cians act as stewards, serving the future of the organization and society. They focus
on achieving goals through collaboration not competition, and carefully consider
the ethical implications of their actions.
Kurchner-Hawkins and Miller note that developing a strategy can help leaders
and others reach their goals through positive political means. A positive political
strategy, whether to introduce a new software system or enter a new market,
should keep the following elements in mind:
1. Identify the political behavior you want to engage in. (This makes it easier
to understand and manage it.)
2. Articulate your purpose and what you want to achieve; keep the focus on
the group’s vision.
3. Consider important elements of the context, including history, culture, past
interactions, ethics, and the motivations driving the behaviors of organiza-
tional members.
4. Name those involved who need to be influenced or who can exert influence.
5. Anticipate the possible reactions to your plan and political activities. Con-
sider what’s at stake.
6. Take responsibility for your role in the strategy. Determine how you are
contributing and how your behavior may impact others and the organiza-
tion as a whole both immediately and in the future.
7. Consider whether your actions will be consistent with your values and those
of the organization; take into account how they reflect your ethical values
and the needs of others.
8. Determine how to leverage change. Consider how you can employ your
power, communication/information, relationships/alliances, and networks.
Carrying out a constructive political strategy takes four sets of capabilities.20
First, politically skilled leaders demonstrate a conceptual understanding of the
nature of power and how it can be used to achieve worthy goals. They identify which
relationships are essential to getting things done and nurture those partnerships. In
addition they know how to gather support (lobby), how decision-making processes
work, how to operate quietly and effectively, how to build their credibility by meet-
ing the requirements of their jobs, and how to create pockets of change. Second,
constructive political leaders understand themselves. They set aside the desire for
job security and promotion in order to pursue a worthy cause. They simultaneously
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challenge current practice while retaining respect for the values of the group. Third,
effective politicians demonstrate a high level of awareness about their political situa-
tions, continually seeking out information about influential individuals, where and
how decisions are made, and the agendas of other leaders. Further, they are aware of
what is happening beyond the organization because they ask questions of insiders
and outsiders and systematically gather data through market research, reading, sem-
inars, forums, and other means. Fourth, skillful political leaders develop their inter-
personal skills. They persuasively present their ideas through supplying information,
acting collaboratively, maintaining flexibility, and demonstrating respect for the
other person. They avoid direct challenges to decision makers but use questions and
listening to get influential individuals to analyze their ideas and behavior. At the
same time, constructive politicians identify the motives of other parties by observ-
ing their behavior and by comparing their words to their actions.
�
It is impossible to avoid organizational politics—as a natural form
of human behavior it is a natural part of the institutional landscape.
—Gerald Egan
Powerful and Powerless Talk
Sociolinguists, anthropologists, communication specialists, and others have
long been fascinated with the two-way relationship between language and power.
Viewed from the perspective of society, language is a mirror reflecting power dif-
ferences. Every culture has a “standard language” that is spoken by the highest
socioeconomic group in that society. Nonstandard languages are dialects spoken
by less advantaged people.21 The use of language both reflects and creates power
differentials.22 Speakers are stereotyped as powerless or powerful based on their
word choices.
The fact that speakers are perceived as powerless or powerful based on the way
they talk means that language can be an important tool for building power bases.
Conversely, inappropriate language can reduce perceived power and leadership
potential. A number of language features have been identified as “powerful” or
“powerless” by researchers.23 Powerful talk makes speakers seem knowledgeable
and confident; powerless talk is tentative and submissive. Most researchers have
concentrated on identifying powerless speech forms, while powerful speech has
been treated as speech without powerless speech features. Here are some forms of
powerless talk.
• Hesitations (“uh,” “ah,” “well,” “um,” “you know”) appear to be the most fre-
quently used form of powerless talk and have been identified as the least pow-
erful speech feature in some studies. The characteristic that is most likely to
clutter our talk is apparently also the most likely to reduce our power.
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• Hedges (“kinda,” “I think,” “I guess”) may occasionally be appropriate (when
we truly are not sure of our facts, for example), but they greatly reduce the
impact of what we say. Compare “I think you should have that report in by
Friday” to “Have that report in by Friday.”
• Tag questions (“isn’t it?”; “wouldn’t it?”) on the end of a sentence indicate
uncertainty. These expressions make a declarative statement much less
forceful. For example, “That presentation was unorganized, wasn’t it?”
• Disclaimers (“Don’t get me wrong, but”; “I know this sounds crazy, but”) can be
a useful conversational tool. Speakers use disclaimers when they are not sure if
listeners will accept what they have to say. For instance: “I’m not trying to be
critical, but your speech was way too long.” They should be used with caution,
however, since they can signal that we lack confidence in our statements.
• Accounts (excuses or justifications) deny responsibility for what happened.
Speakers employ accounts after they say or do the wrong thing: “It was an
accident,” or “I wasn’t ready for the test because I stayed up all night helping
my roommate with a problem.” A speaker who frequently excuses or justifies
his/her behavior will be seen as inept or uncertain.
• Side particles (“like,” “simply,” “that is”) detract from a powerful image. They
can be irritating for listeners.
Researchers report that the use of powerless speech in experimental settings
significantly lowers source credibility (we’ll have more to say about believability—
what communication experts call credibility—in the next chapter.) Listeners con-
sistently rate the knowledge and ability (competence) of powerless speakers lower
than that of powerful speakers when both deliver the same message. In addition,
they find such sources less trustworthy, less dynamic, less attractive, and less sure
of themselves. Audiences don’t retain as much information from a speech or lec-
ture if the message is delivered in a tentative style.24 Powerless language also makes
speakers less persuasive, serving as a distraction and weakening their arguments.25
Language choices clearly have a strong influence on the two bases of power
most easily controlled by the communicator: expert and referent power. Powerless
speakers often appear to be uninformed and unskilled even if they do, in fact, pos-
sess the necessary knowledge and abilities. On the other hand, powerful speakers
are frequently seen as competent and attractive, and their messages have more per-
suasive and informational impact. Some evidence suggests that powerful talk can
help overcome the disadvantages that come from having low legitimate power.26 It
should be noted, however, that other variables may moderate or override the influ-
ence of powerless speech. For example, students are less distracted by an instruc-
tor’s use of powerless talk if they like that professor or if the information contained
in the lecture is important to them.27 Strong persuasive arguments are still more
effective than weak arguments no matter what style a speaker uses.28 Also, power-
ful speech is most effective when speakers are trying to be authoritative. There are
times when a powerless style may be more appropriate, such as in a conversation
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between friends or when a superior is trying to establish common ground with a
subordinate. The key is to adopt the appropriate style for the situation.
Fortunately, we can eliminate powerless language features if we choose to do
so. Lawyers report that they can teach clients to avoid powerless language. Public
speaking instructors help their students eliminate powerless talk by noting power-
less speech features on speech evaluation forms. To become a more powerful
speaker, start by monitoring your powerless speech habits. Record a conversation
and count the number of powerless speech features you used, or ask a friend to
give you feedback about your powerless speech patterns. Make a conscious effort
to eliminate powerless language. Keep track of your progress using the recording
and feedback methods described above. Another way to become a more powerful
speaker is by monitoring public speakers (including instructors). Evaluating what
others do can help to improve your own performance.29
Empowerment
Up to this point, we have emphasized how power is the essential currency of
leadership. There is no leadership without power, and some forms of power are
more effective for leaders than others. Further, leaders need to systematically use
their power for constructive purposes. However, a leader will frequently want to dis-
tribute rather than to maintain power. Reducing power differentials often enhances
group performance and may be the key to organizational survival. (Take a look at
the case study in box 5.3 to see how empowerment can increase productivity.)
Paradoxically, leaders gain more power by empowering others. There are five
major reasons why leaders choose to share power. In an organizational setting, dis-
tributing power increases the job satisfaction and performance of employees.
People like their jobs more, generally experience less stress, and work harder when
they feel that they have a significant voice in shaping decisions.30 Withholding
power has the opposite result. Those who feel powerless often respond by becom-
ing cautious, defensive, and critical.31 In extreme cases, they lash out at coworkers
and damage the organization through such tactics as work slowdowns and equip-
ment sabotage.
Box 5.3 Case Study Empowerment on the Load Line
at Techstar Industries
Techstar Industries is one of several companies responsible for assembling the circuit boards
used in personal computers and tablet devices. Companies like Techstar compete with many
other organizations doing the same type of work. The assembling of circuit boards is tedious and
demanding; the work is often repetitive and dull. At the same time, there is tremendous pressure
to assemble large numbers of boards with very few rejects. The only competitive advantage a
company like Techstar can hope for is to produce a higher quality product at a lower price than
its competitors.
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Boards at Techstar are assembled on the load line. Parts are loaded by hand onto the board as
it travels along a conveyer belt. The most recent Techstar board, the MT2000, has 27 parts that are
loaded at six different stations by a team of operators. To be profitable, Techstar must manufac-
ture 600 usable boards with fewer than 10 rejects during each eight-hour shift.
The load line team has averaged fewer than 500 usable boards with as many as 30 defective
boards produced on each shift. The supervisor, Tom Friedman, decided that the only way to
improve the situation was to turn the problem over to the operators. Tom called a meeting to
announce his intentions. Despite his team’s apprehension, he told the operators he wanted them
to generate ideas for improving their productivity. To get the team started, Tom chaired the first
few meetings. He told the team he would provide all the necessary support required to improve
the situation. Further, Tom made it clear that he was willing to turn over control of the load line to
the operators if they could meet the production goal for profitability and keep him apprised of
their progress.
Over the next two months, the load line team met on a regular basis. They identified 20 ways
to improve the process. Among the most important suggestions were: cross-train operators,
develop a system for keeping the line stocked with parts, and reengineer the line to optimize effi-
ciency. The team based these suggestions on several problems that they identified during their
meetings. First, each operator was trained to work at only one of six stations. When an operator
needed to leave the line for any reason, the entire assembly process came to a halt. Second, when
an operator on the line ran out of parts, the line had to be stopped until the parts were replen-
ished. Finally, with six stations operating at once, all members of the load line team were tied to
the line. This became even more problematic when the team realized that the demands of each
station were very different. Because workloads were unevenly distributed, some operators were
rushing to get their parts loaded while those at other stations worked at a much slower pace.
The team presented its plan to Tom. They requested downtime to train each member of the
team to work at each station. The team felt the process could be improved if there were only five
stations rather than six. This would enable the team to balance the workload so that the
demands of each station would be roughly equal. In addition, five workstations would allow one
team member to circulate between stations. This team member would be responsible for filling
in for other team members when they left the line, for stocking parts, and for troubleshooting
before defective boards were produced.
Tom liked the team’s ideas and, as he promised, offered his support. Within a few days the line
was reconfigured and the load line team began assembling MT2000 boards on their new five-sta-
tion line. With team members working together and rotating positions on the load line through-
out their shift, the number of MT2000 boards produced began to climb. Within three months, the
team not only met Tom’s production goal, they exceeded it—producing more than 700 usable
boards with an average of only three defective boards per eight-hour shift.
Discussion Questions
1. How do you think the assembly process would have been affected if Tom had decided to
reconfigure the load line without consulting the team?
2. What are the major advantages/disadvantages of the type of empowerment strategy
Tom used?
3. What advice would you offer Tom for dealing with the load line team members if their sug-
gestions for improvement had not resulted in increased productivity?
4. Discuss a time when you have been empowered to make a decision. What were the results?
5. What kinds of tasks do you think should be among the first delegated to followers as part
of a leader’s empowerment effort? Why?
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Sharing power fosters greater cooperation among group members. Coopera-
tion, in turn, increases group accomplishment. The effectiveness of any group
depends in large part on the cooperation of group members. For instance, a small
group cannot get an “A” on a class project if members withhold information from
each other or if a number of members refuse to participate at all. The same is true
for a sales team or computer project group. The genius of organizing lies in com-
bining individual efforts in order to achieve goals that would be beyond the capa-
bility of any one person. The group advantage is lost or diluted when participation
is only halfhearted. James Kouzes and Barry Posner report that enabling others is a
key to leadership; accomplishment results from the efforts of many people, not just
the leader. According to Kouzes and Posner: “We developed a simple test to detect
whether someone is on the road to becoming a leader. That test is the frequency of
the word we.”32
�
There is no limit to what you can do if you don’t care who gets the credit.
—John Wooden
Distributing power means collective survival; the group endures rather than
fails. One of the best ways to stay competitive in a fast-paced, global environment
is to develop a “flat” organizational structure. Flat structures are decentralized and
grant a great deal of decision-making authority to lower-level leaders. For instance,
branch managers in flat corporations control decisions affecting their operations.
They do not have to check with headquarters constantly. In these companies, proj-
ect groups blur traditional lines of authority in order to develop new ideas. Flat
organizations offer two advantages: (1) they can move quickly to meet changing
market conditions, and (2) they foster innovation—the development of new prod-
ucts and processes on which a business ultimately depends.
Effective leadership facilitates personal growth and learning. Group members
become more mature and productive than they were before. Empowerment is one
way to stimulate growth. Sharing power with followers can help them tackle new
challenges, learn new skills, and find greater fulfillment.33 In the end, both the
group member and the group are transformed when power is shared. Not only does
the individual grow, but the collective gains a more committed and skilled member.
Sharing power prevents power abuses. Concentrating power in the hands of a
few individuals is dangerous. As Britain’s Lord Acton observed, “Power corrupts,
and absolute power corrupts absolutely.” Individuals who do not share power are
free to project their insecurities, fears, and hostility on others and to further their
own interests at the expense of followers. Tyrannical bosses, for example, seek to
maintain their positions by (1) tracking every move of employees, (2) sending con-
flicting messages about what they want, (3) engaging in angry outbursts, (4)
demanding absolute obedience, (5) putting followers down in public, (6) acting
arbitrarily, and (7) coercing subordinates into unethical behavior.34 (Turn to Lead-
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ership on the Big Screen at the end of the chapter for a film that highlights the dark
side of power.)
Powerful individuals often ignore the needs of others. Compared to the power-
less, they typically devote less attention to finding out how other people think and
feel. As a consequence, they are more likely to hold and to act on harmful stereo-
types, particularly of minority group members. They are overconfident and take
foolish risks. Leaders who distribute power, on the other hand, are less likely to
abuse their positions, to take advantage of followers, to ignore the needs of others,
to stereotype or to take unnecessary chances.35
�
Oh, it is excellent to have a giant’s strength,
but it is tyrannous to use it like a giant.
—William Shakespeare
Making a case for empowering followers is easier than making empowerment
happen. Many organizations continue to operate under the traditional, hierarchical
model where top executives often get treated like royalty, and middle- and lower-
level managers are rewarded for keeping, not sharing, their authority. Giving
power away is difficult in these hostile environments. (Turn to the research high-
light in box 5.4 for some humorous examples of how organizations create feelings
of powerlessness.) Other organizations fail to reward followers who take on added
Box 5.4 Research Highlight Stories of the Dumbemployed36
Writers Phil Edwards and Matt Kraft operate the website dumbemployed.com. On their site
they invite visitors to share their stories of the dumb, funny, and demeaning things that happen
to them at work, what the webmasters/researchers call being “dumbemployed.” They have col-
lected 800 of these stories (all 300 characters or less) in a book of the same name.
Edwards and Kraft divide their book into the five factors that “make your job infuriatingly
dumb.” Each of these factors shares a common theme—the powerlessness employees frequently
experience at work. Here is a sampling of the stories appearing under each of the five elements of
dumbemployment.
Factor 1: Bosses
• A supervisor assigns a worker to clean out his pickup truck. Unfortunately, the boss is a
hunter and the employee ends up smelling like a dead deer.
• When recommending a subordinate for a promotion, the boss says she “didn’t believe any
of the bad things people were saying” about the employee.
Factor 2: Customers
• On a trip to the zoo, a father gets angry with the tour guide for not letting his son touch a lion.
• A student believes his professor can help him with his knee pain because he is a doctor. The
professor’s doctorate is in Renaissance literature.
(continued)
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responsibilities. Then, too, some employees resist empowerment, wanting only to
follow orders.37 Yet, empowerment efforts can and do succeed. Leaders have relin-
quished much of their legitimate, reward, expert, and coercive power bases at com-
panies like Gore and Associates (makers of Gore-Tex fabric), Johnsonville Foods,
Harley-Davidson, Morning Star (the world’s largest tomato processor), McCor-
mick Spice Company, and many other successful organizations. Self-directed work
teams (SDWTs) have taken over many of the functions traditionally reserved for
lower- and middle-level managers and are being rewarded for doing so.
Power sharing is most likely to occur when leaders understand the compo-
nents of the empowerment process and are equipped with implementation strate-
gies. With that in mind, we’ll take the remainder of the chapter to outline the
important elements of empowerment and to describe two models that take a sys-
tematic approach to giving power away.
Components of the Empowerment Process
Component 1: Modifying the Environment
Environment refers to the setting where work occurs. Important elements of
the environment include reward systems, job tasks, organizational structure and
workflow, rules, charts, and physical layout. The first step in the empowerment
process is often the elimination of situational factors that create feelings of power-
lessness, like inappropriate rewards, authoritarian supervision, and petty regula-
tions (see box 5.5). Next, the environment is redesigned to shift decision-making
authority to followers. Those assigned to do the work get a great deal of say in how
the job gets done.
Factor 3: Just Dumb
• A front desk clerk is asked to hold a package for a tenant. It turns out that the woman wants
the clerk to hold her infant while she goes jogging.
• An enterprising worker steals business cards from another worker just in case he runs out of
his own cards.
Factor 4: Overtime
• At one elementary school, the principal makes his commute easier by parking his car where
the school buses drop off students.
• One employee asks for time off to attend her sister’s wedding. She is told to ask if the sister
“could have it on another day instead.”
Factor 5: Weird Shift
• One employee receives a 20% off coupon from Office Depot given by management as a
“reward for friendliness.”
• A worker comes back to his desk to find a post-it note on his computer screen asking him to
turn his radio down. After being angry about the note for five minutes, the employee real-
izes he doesn’t have a radio.
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Component 2: Building Intrinsic Motivation
Empowered followers are energized to carry out tasks associated with their
work roles. They take an active, not passive, approach toward their job responsibil-
ities. Such intrinsic motivation is the product of the following four factors.39
Meaning. Meaning is the value placed on a task, goal, or purpose based on per-
sonal ideals or standards. Low levels of meaning produce apathy and detachment;
higher levels focus energy and produce commitment and involvement. You can
foster a sense of meaning by (1) hiring those who share the group’s values, (2) pro-
moting the organization’s purpose and vision, (3) clarifying work roles, (4) match-
Box 5.5 Research Highlight Situational Factors Leading to a
Potential State of Powerlessness38
Organizational Factors
Significant organizational changes/transitions
Start-up ventures
Excessive, competitive pressures
Impersonal, bureaucratic climate
Poor communications and limited network-forming systems
Highly centralized organizational resources
Supervisory Style
Authoritarian (high control)
Negativism (emphasis on failures)
Lack of reasons for actions/consequences
Reward Systems
Noncontingency (arbitrary) reward allocations
Low incentive value of rewards
Lack of competence-based rewards
Lack of innovation-based rewards
Job Design
Lack of role clarity
Lack of training and technical support
Unrealistic goals
Lack of appropriate authority/discretion
Low task variety
Limited participation in programs, meetings, and decisions that have a direct impact on job
performance
Lack of appropriate/necessary resources
Lack of opportunities to form networks
Highly established work routines
Too many rules and guidelines
Low advancement opportunities
Lack of meaningful goals/tasks
Limited contact with senior management
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ing individuals with jobs they find meaningful, and (5) explaining how individual
tasks support the group’s mission and goals.
Choice (self-determination). Choice reflects a sense of self-direction or control.
Those who have choice about how to carry out their jobs (when to start, how fast
to work, how to prioritize tasks) feel a greater sense of responsibility and are more
flexible, creative, and resilient. Shifting decision-making authority to followers is
one way to encourage a sense of self-determination. In addition, create a participa-
tive climate that values employees and takes their ideas seriously. Emphasize the
importance of taking individual initiative and making a personal contribution.
Make followers accountable for their choices and set boundaries on what they can
and cannot do. Finally, support those who take risks. Years ago, a UPS employee
ordered an extra plane to make sure that packages left behind during the Christmas
rush were delivered on time. Rather than punish this individual for going above the
budget, company leaders praised him. His story—still told at the company—sends
the message that UPS leaders will stand behind those who take initiative.
Competence. Competence is based on the individual’s assessment that he or
she can do the job required. It is a subset of what psychologist Albert Bandura
refers to as self-efficacy or personal power. Self-efficacy is the sense that we can
deal with events, situations, and people at work and in other environments as well.
Followers who have a sense of self-efficacy or personal power are more likely to
take initiative, to set and achieve higher goals, and to persist in the face of difficult
circumstances. Constituents who believe that they have limited self-efficacy and
feel powerless dwell on their failures. They are less inclined to offer new ideas, to
set and meet challenging standards, or to continue when they encounter obsta-
cles.40 Leaders can build followers’ perceptions of their personal power by:41
• providing positive emotional support, particularly during times of stress and
anxiety. Stress, fear, depression, and other negative factors reduce feelings of
personal efficacy. The impact of these factors can be diminished if a leader
clearly defines the task, offers assistance, engages in play to create a positive
emotional climate, and uses films, speakers, seminars, and other devices to
build excitement and confidence.
• expressing confidence. The most effective leaders spend time every day
encouraging others and expressing confidence in their abilities at meetings,
during speeches, in the lunchroom, in hallways, and in offices.
• modeling successful performance themselves or providing opportunities to
observe others who are successful. Knowing that someone else can handle a
task makes it easier for a worker to continue to learn the same task even after
repeated failures.
• structuring tasks so that followers experience initial success. Initial victories
build expectations for future triumphs. Effective leaders structure tasks so
that they become increasingly complex. Completing one part of the job is
followed by training and then greater responsibilities. The same strategy can
be used to introduce large-scale change. A new marketing strategy or billing
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system can be started in one plant or region and then adopted by the organi-
zation as a whole. (See chapter 8 for additional information on demonstra-
tion projects.)
Impact. Impact describes the individual’s belief that he or she can influence the
environment of the organization. Followers with a high sense of impact are con-
vinced that they can make a difference in the work group’s plans, goals, and proce-
dures. You can foster this perception by including workers in strategic planning
and by involving them in setting collective rules and standards. Encourage their
efforts to introduce innovations.
Component 3: Supplying Resources
Empowerment increases the demand for resources. No follower, no matter
how motivated, can complete a task if she/he doesn’t have adequate funds and sup-
plies, enough time to devote to the job, and a place to work. Political support—the
approval of important individuals—is essential for the completion of major proj-
ects. Leaders supply this resource when they publicly endorse the work of stake-
holders and encourage other leaders to “buy in” to initiatives.42
Information is a particularly important resource for newly empowered follow-
ers. Consider the machine operator who has just joined a self-directed work team,
for example. Under the old system, she had to know how to run a single piece of
equipment. Now she’s part of a group that makes decisions for an entire depart-
ment: planning, scheduling, hiring, and quality control. In addition to operating
her machine, she must learn how to work in a team, set objectives, measure results,
read a profit-and-loss statement, conduct a hiring interview, and so forth. She can
only succeed if she receives adequate training and if company management sup-
plies the team with financial and performance data for planning and measurement.
Empowerment Models
Two widely used models—Superleadership/Self-Leadership and Leading the
Journey—provide road maps for implementing the components of empowerment
described above.
Superleadership/Self-Leadership
Management professors Henry Sims and Charles Manz argue that the ultimate
goal of leadership is empowering followers to take charge of their thoughts and
behaviors. Sims and Manz use the term “superleaders” to describe those who help
followers learn to lead themselves. They use the label “self-leaders” to refer to fol-
lowers who act on their own.43
Guiding followers from dependence to independence (see box 5.6) is a process
that begins with the leader modeling the desired behaviors. Followers then work
under the guidance of the leader who encourages and rewards initiative and pro-
vides the necessary resources and training. In the final stage, followers act on their
own with minimal direction from the leader.
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Superleaders use three strategies to create a climate that promotes indepen-
dent thought and action.
1. Changing organizational structures. They reconfigure roles, functions,
and responsibilities to reduce hierarchy and specialization; create self-man-
aging teams; remove layers of organizational structure; and reduce job and
pay classifications. (Box 5.7 describes a company that is reorganizing to pro-
mote self-leadership.)
2. Changing organizational processes. Superleaders redesign the way that
communication and materials flow in the organization. They push decisions
down to the lowest possible level, encourage teams to solve their own prob-
lems, and reengineer jobs so that followers have the responsibility for the
whole project, not just part of it.
3. Changing interpersonal communication patterns. Effective leaders use
verbal and nonverbal behaviors to build follower confidence. They listen
more and command less, ask followers to solve their own problems, express
confidence in employees, and compliment initiative.
According to researchers, self-leadership can pay significant dividends for follow-
ers and their organizations. Self-led employees are more self-confident, satisfied with
their jobs, productive, and successful.45 Followers can learn to lead themselves with-
out the guidance of those in authority if they become self-disciplined, find rewards in
the task, and adopt positive thought patterns. We will illustrate these self-leadership
tactics by applying them to a common classroom assignment: the term paper.
The first set of self-leadership strategies involves self-behavior modification.
Most of us complete jobs we enjoy, but we often miss deadlines when tackling diffi-
Box 5.6 Shifting Followers to Self-Leadership44
FROM (DEPENDENT)
External observation
Assigned goals
External reinforcement for task performance
Motivation mainly based on external compen-
sation
External criticism
External problem solving
External planning
External task design
Obstacle thinking
Compliance with the organization’s vision
TO (INDEPENDENT)
Self-observation
Self-set goals
Internal reinforcement plus external reinforce-
ment for self-leadership behavior
Motivation also based on the “natural” rewards
of the work
Self-criticism
Self-problem solving
Self-planning
Self-design of tasks
Opportunity thinking
Commitment to a vision that the follower
helped to create
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Box 5.7 Case Study Self-Leadership at Zappos46
Online shoe retailer Zappos has always prided itself on being playful and unconventional. In
fact, one of the firm’s core values is “Create Fun and a Little Weirdness.” For example, the firm
sponsors “Bald and Blue” events where employees get their heads, legs, and eyebrows shorn for
charity by a group of their colleagues known as the “Blue Man Group.” Company meetings can
include comedians, live music, circus performances, costumes, and appearances by CEO Tony
Hsieh’s favorite animal—a llama. The firm’s mission is to “deliver happiness.” To fulfill that mission
it pays for shipping both ways (many customers order several different pairs of shoes, try them
out and return the ones that they don’t like or don’t fit), provides free overnight shipping to loyal
customers, and staffs 24-hour call centers. Customer service representatives are evaluated on
how well they meet the needs of callers, not on how quickly they end the calls. They might pro-
vide free fashion advice, for instance, or talk with someone who is lonely. If Zappos is out of a spe-
cific style and size, the customer service representative will visit at least three other websites and
then direct the customer to competitors. Hsieh credits the firm’s success to its unique culture.
Zappos reached $1 billion in sales in its first ten years and was purchased by Amazon.com for
$1.2 billion in 2009. As part of the sales agreement, Amazon CEO Jeff Bezos agreed to let Zappos
operate independently as long as it met its financial targets.
In 2013 Hsieh took a step that made Zappos even more unconventional. Worried that the firm
was turning into a traditional bureaucracy, he introduced a new operational structure called hol-
acracy designed to foster creativity and risk taking. (Holacracy describes a collection of holons,
which are parts that function simultaneously as parts and wholes, much like the organs in the
human body.) Instead of being organized around hierarchy and job titles, employees take on a
variety of roles to get work done, roles that are constantly changing. A worker without a market-
ing background might take on a marketing role along with several other roles, for instance. When
conflicts arise, employees air their issues at governance meetings that focus on accomplishing
goals. Tactical meetings are held to coordinate team members to complete specific tasks. Each cir-
cle or team of employees must coordinate its work with other circles. Individuals called “lead links”
assign roles to individuals in their circle and represent their circle as a whole. However, lead links
have no control over individuals. Instead, power to hire and fire and approve expenditures is made
by a committee. Employees must record their activities on the company’s software program.
According to those spearheading the transition, self-leadership is at the heart of the new model.
One of the core principles is people taking personal accountability for their work. It’s not
leaderless. There are certainly people who hold a bigger scope of purpose for the organi-
zation than others. What it does do is distribute leadership into each role. Everybody is
expected to lead and be an entrepreneur in their own roles, and holacracy empowers
them to do so.47
Hsieh first rolled out holacracy in the human resources department and by 2015 85% of
employees had started the new process. Frustrated at what he viewed as a slow rate of adoption,
Hsieh wrote the entire workforce that “having one foot in one world while having the other foot
in the other world has slowed down our transformation towards self-management and self-orga-
nization.” He then made an ultimatum: Get with the program or take a three-month severance
package and leave. Fourteen percent of the staff took him up on the offer, helping send the com-
pany’s one-year turnover rate to 30%, well over its average.
Both those who left and those who stayed report a number of problems with holacracy. To
begin, there is widespread confusion about who does what. Employees complain that they
spend endless time in meetings. They don’t have bosses to turn to for advice and there is no lon-
ger any opportunity to move up in the company. Managers must give up their power, and skilled
(continued)
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cult or unpleasant tasks like research papers. To succeed we need self-discipline,
which we can foster by altering our immediate physical environments. Use remind-
ers and attention-focusing devices like computer calendar notifications and sticky
notes as prompts to keep you focused on the term paper. Eliminate those cues that
undermine performance. Remove the cell phone that would distract you from your
project, for instance. Instead, determine those conditions that encourage peak per-
formance and build those elements into the work setting. If you write best in a
quiet location, take your laptop computer or tablet to the library or work when
employees may no longer be able to use the expertise they spent years developing. Then, too,
the lack of job titles has made it hard to set compensation levels. Employees don’t know how to
represent themselves outside the firm and those who leave don’t know what to put on their
resumes. The company dropped off the Best Places to Work list after holacracy was rolled out.
(Employees gave management especially low scores on the question of whether leaders have a
“clear view of where the organization is going and how to get there.”)
Some workers have responded well to the new model. Said one employee who took on new
job duties: “My worst day at Zappos is still better than my best day anywhere else. I can’t imagine
going back to traditional hierarchy anymore.” More junior and nontraditional employees have
been able to exert more influence. One introvert noted: “The structure of meetings forces each
person to . . . say what they want. Before I might’ve thought something and wouldn’t have
jumped in.” 48
Outside observers are skeptical that Hsieh’s self-leadership experiment will succeed. They
note that while other companies have tested the model, they are much smaller than Zappos.
Some of these businesses, like the content site Medium, have discontinued the experiment. (Esti-
mates are that less than 1% of all companies in the world operate without traditional hierarchy.)
Journalists point to the recent exodus of Zappos employees as a sign that the company has
veered off course. Then, too, critics have taken issue with the way the program was imple-
mented—from the top down. Stanford business professor Jeffrey Pfeffer points out, “It’s deli-
ciously ironic that self-management is being decreed from above.”49
Hsieh appears more committed than ever to self-leadership. He is not concerned about those
who have left the firm, believing they weren’t a good fit for the company. While admitting that he
was surprised by the level of resistance, “at how hard it is to let go of the psychological baggage,”
he wishes he had implemented the change faster. “In retrospect, I would have probably ripped
off the Band-Aid sooner.” 50 Hsieh expects the new system to make the company more successful:
“I’m personally excited about the potential creativity and energy of our employees that are just
waiting for the right environment and structure to be unlocked and unleashed.”
Discussion Questions
1. Are some organizations too large to function without traditional hierarchies?
2. Are some types of employees a better fit for the holacracy model? What characteristics do
they need to succeed in this system?
3. Did Hsieh move too fast or too slow in implementing the new system? What mistakes, if
any, did he make?
4. Would you like to work at Zappos? Why or why not?
5. Does a change to self-leadership have to be imposed from the top?
6. Do you think that Zappos’ transition from hierarchy to holacracy will succeed or fail?
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your roommates or family members are gone. Hang around those who model good
study habits. Self-discipline can also be strengthened by deliberately taking actions
that enhance our performance on challenging assignments. Goal setting is one
such self-behavior modification strategy. Chances are you already engage in goal
setting by keeping a to-do list on your phone or keeping a record of upcoming
assignments for class. Effective goals, whether as simple as a daily list or as compli-
cated as a five-year plan, put specific completion dates and benchmarks in writing.
Goal setting for a term paper project would mean breaking the assignment into a
series of smaller sections or tasks and making up a schedule of completion dates.
�
Mastering others is strength, mastering yourself is true power.
—Lao Tzu
Seeking out opportunities to observe and evaluate your actions is the best way
to determine if you’re reaching your goals. Don’t wait for feedback from others;
instead, watch your own behavior to determine what factors raise or lower your
performance. Track how frequently you carry out a desired behavior, such as
searching databases or completing sections of your paper. When self-observation
indicates you’re achieving your objectives, reward yourself (take a break, play a
video game, fix your favorite meal). Avoid self-punishment because it focuses on
past failures rather than on improvement. Use rehearsal strategies to prepare for
particularly important communication performances like speeches, interviews,
sales calls, or presenting your research paper to the rest of the class. Identify the
key elements of the situation and rehearse by visualizing the setting and a success-
ful performance. Practice out loud whenever possible.
The second set of self-leadership strategies focuses on the task itself. We
achieve more when we are attracted to a project. The key is finding enjoyment or
pleasure in the job itself. Naturally rewarding activities make us feel competent and
in control and contribute to our sense of purpose. When it comes to term papers,
you may enjoy mastering a difficult subject, setting your own work pace for a proj-
ect, or learning material that will further your career and benefit others. Focus on
the rewards, not the unpleasant aspects of the task—the investment of time and
energy, the difficulty of writing. The setting also plays an important role in how we
feel about a task. Whenever possible, pleasurable features should be built into the
work environment. Put on your favorite music when writing, for instance, or settle
in to read with your favorite drink or snack.
The final set of self-leadership strategies fosters self-confidence through posi-
tive thinking. Eliminate critical and destructive self-talk, and challenge unrealistic
beliefs and assumptions. In the case of a term paper, damaging self-statements like
“I can’t complete this project” can be changed to “There’s no reason I can’t finish if
I set my goals and follow my timeline.” Irrational beliefs like “I must get an A on
this paper or I’m a failure” can be reframed as “I’m going to give this paper my best
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effort, but I can’t expect to excel in every situation.” Use mental rehearsal as a prep-
aration tool. Recognize that failure is often the precursor to success. Finally, think
in terms of opportunities rather than limitations or obstacles.
Former president Ronald Reagan provided one of the best examples of opportu-
nity thinking when he was wounded in an assassination attempt. He tried to relieve
the tension of the nation rather than focusing on his own condition. Reagan told his
wife: “Honey, I forgot to duck.” He pleaded with his doctors: “Please say you’re Repub-
licans.” To the medical staff, he quipped: “Send me to L.A. where I can see the air I’m
breathing.” (Another example of an opportunity thinker can be found in box 5.8.)
�
Our life is what our thoughts make it.
—Marcus Aurelius
Box 5.8 Opportunity Thinking in Action The One-Armed Explorer51
In the years immediately following the Civil War, much of the American Southwest surround-
ing the Colorado River was marked “unexplored” on maps. There were rumors that the region
contained towering waterfalls and that the Colorado River disappeared underground.
In 1869 amateur geologist and map maker Major John Wesley Powell set out with a team of
nine other men to travel the Green and Colorado Rivers, to explore the “Great Unknown.” He
hoped to map the area and to observe its geologic features. Powell had taken previous surveying
trips to the West but this was his first river journey. The Major was an unlikely leader. He was small
even for his time—5 feet 6½ inches and 120 pounds. He lost most of his right arm in the Battle of
Shiloh and suffered chronic pain. His father advised him to avoid exploration after the war. “Wes,”
he said, “you are a maimed man. Settle down at teaching. It is a noble profession. Get this non-
sense of science and adventure out of your mind.” Powell did take up teaching, but used his aca-
demic positions to launch scientific expeditions to the West with student recruits.
No one in Powell’s river expedition had any experience navigating rapids so they had to learn
how to run white water on the fly. They loaded themselves and their supplies into three heavy
boats that were hard to maneuver in fast water. Powell had the only life jacket. ( The rest of the
group believed that wearing life jackets was not manly.) Science writer Edward Dolnick describes
the dangers facing the group this way:
Between their starting point and safety, though they could not have known it, stretched
a thousand miles of river and nearly five hundred rapids. At spots beyond counting, a
moment’s inattention or the briefest of mistakes could prove fatal. Drowning was only
the most obvious hazard. A capsizing that left the food stores soaked or sunk would
mean death just as surely, though more slowly. A boat damaged beyond repair could be
a calamity. A broken leg could be a death sentence. . . . The river could grab a boat and
trap it in a “hole,” a kind of whirlpool turned on its side . . .
Powell traveled in the first boat and scouted the river ahead. He would signal if the group
would run the rapids or “line the boats,” a back-breaking process of towing them along the edge
of the rapids to calmer water. Disaster soon struck when one of the boats sank, destroying much
of their food. Later they barely escaped from a burning campsite, and water spoiled most of their
remaining supplies. If the desert heat wasn’t burning them, downpours were drenching them.
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Leading the Journey
Leaders who empower followers take on different tasks than they do under the
traditional, hierarchical model. According to James Belasco and Ralph Stayer, an
empowering leader acts more like a lead goose than a head buffalo.52 As head buf-
falo, a leader takes charge while loyal followers look on, waiting for direction. In
contrast, geese flying in a V formation on their annual migrations frequently shift
leaders and roles in response to travel conditions.
Belasco and Stayer call their model for a systematic approach to empowerment
“Leading the Journey.” In this model, leaders (acting as lead geese) are responsible
for determining vision and direction, removing obstacles, developing ownership,
and stimulating self-directed action.
• Determining focus and direction. Leaders at all levels of an organization are
responsible for setting vision and direction. Staying in touch with customers
(those who use an organization’s products and services) is the key to deter-
mining direction. The goal is to put on an outstanding performance for the
end user, not just an adequate one.
Throughout the trip Powell remained optimistic despite the danger and discomfort. He mar-
veled at the geology revealed by the canyons and realized that they were created by erosion over
thousands and millions of years. At nearly every stop, as his men rested or repaired the boats, he
would scale the canyon walls (a thousand feet or more), hoping to see the surrounding country
while identifying the river’s course. On one occasion he was “rim rocked,” meaning he couldn’t go
up or down the cliff. His climbing companion took off his long underwear, lowered the garment
down to Powell and then hauled him up to safety.
Ragged and starving, Powell and five of his men came out of the Great Unknown three
months after they started. (One member of the expedition abandoned the journey early on,
while three others hiked out near the conclusion of the trip—never to be seen again.) At the end
of the journey even Powell was focused more on survival than science, as most of his instruments
and notes were lost. The Major and his crew have been hailed as some of the greatest explorers in
US history. Their feat is even more impressive given that other adventurers of their time who also
tried to travel down the river either gave up or died in the attempt. By World War II (70 years
later), only 250 people had successfully traveled the Colorado River through the Grand Canyon.
Major Powell’s refusal to be limited by his disability continued the rest of his life. (Surgeries to
end the pain in his arm were not successful.) He led other survey trips to the West as well as
another trip down part of the Grand Canyon. He became an expert on Indian life and, as an
employee of the federal government, he founded and directed the US Geological Society and the
Bureau of Ethnology, which studied Native American culture. Despite never finishing college,
Powell led a variety of scientific clubs and organizations, including the Anthropological Society,
the National Academy of Sciences, and the Association for the Advancement of Science. He told
politicians that the West was arid and could not sustain a large population. (His warning was
ignored.) Powell was even able to make light of his physical limitation. He became friends with
Mississippi Congressman C. E. Hooker, who lost his left arm fighting for the South. The two
agreed that when they bought a new pair of gloves, they would send the other the glove they
didn’t need. The two friends shipped useless gloves to one another for 30 years.
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• Removing obstacles. Eliminate obstacles that keep followers from providing out-
standing performances. Help ensure that all systems (compensation, informa-
tion, procedures) support this one objective. At Johnsonville Foods, product
quality improved when customer complaint letters, which used to go to the
marketing department, went directly to line workers instead. The people on the
line responded to the complaints and then took responsibility for measuring
product quality. Soon these measurements led to improvements in production
processes. (Quality also improved when workers began sampling the sausages.)
• Developing ownership. Refuse to accept responsibility for problems that can
be solved by followers. Use questions to coach followers instead of providing
answers. Coaching questions include:
— “In the best of all worlds, what is great performance for your customers?”
— “What do you want to achieve in the next two or three years?”
— “How will you measure your performance?”
— “What things do you need to learn in order to reach your goals?”
— “What work experience do you need to help you learn what is needed to
achieve your goals?”
• Stimulating self-directed actions. Decide what you do best and give your other
responsibilities away. Change systems and structures so that followers are
rewarded for solving their own problems and not for bringing their problems to
you. Hire the best performers and fire or transfer those who aren’t contributing.
Belasco and Stayer argue that the only way to master the leadership tasks
described above is to learn by doing. Test these behaviors and learn from your fail-
ures. Use mistakes, fear of failure, anger, terminations, and other obstacles and set-
backs as teachers. In sum: “Leading requires learning. Learning requires doing. So
get on with the doing. Then study how you did it.”53
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Buffalo are loyal to one leader; they stand around and wait for the leader
to show them what to do. When the leader isn’t around, they wait for him
to show up. That’s why the early settlers could decimate the buffalo herds
so easily by killing the lead buffalo. The rest of the herd stood around,
waiting for their leader to lead them, and were slaughtered.
—James Belasco & Ralph Stayer
CHAPTER TAKEAWAYS
• Power is defined as the ability to influence others. Leadership is impossible with-
out power since a leader must modify attitudes and behaviors. Yet influencing
others does not automatically qualify as leadership; power must be used in pur-
suit of group goals to merit leadership classification.
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• Coercive power is based on the ability to administer punishment or to give nega-
tive reinforcements.
• Reward power rests on the ability to deliver something of value to others.
• Legitimate power resides in the position rather than in the person. People with legit-
imate power have the right to prescribe our behavior within specified parameters.
• Expert power is based on the person, not the position. Experts are influential
because they supply needed information and skills.
• Referent power is role model power.
• Information power is based on access to, and distribution of, data.
• Ecological power arises out of control over the physical environment, technology,
and how work is organized.
• Group members prefer leaders who rely on power associated with the unique
characteristics of the person (expert and referent) rather than leaders who rely
on power related to their position (coercion, reward, legitimate).
• To engage in constructive organizational politics, use your informal power to
foster collaboration and to help the organization reach its objectives. Politically
skilled leaders understand power and themselves, demonstrate awareness of the
political environment, and develop their interpersonal skills to influence others.
• A number of language features have been identified as “powerful” or “powerless”
by researchers. Powerful talk makes you seem knowledgeable and confident;
powerless talk is tentative and submissive.
• You can gain more power by empowering others. There are five major reasons
why leaders choose to share power: (1) distributing power increases the job satis-
faction and performance of employees; (2) sharing power fosters greater cooper-
ation among group members; (3) distributing power means collective survival—
the group endures rather than fails; (4) effective leadership helps personal
growth and learning; and (5) sharing power prevents power abuses.
• Components of the empowerment process include modifying the environment
to eliminate situational factors that create feelings of powerlessness; building
intrinsic motivation though meaning, choice, competence, and impact; and sup-
plying information and other resources.
• “Superleaders” help followers learn to lead themselves, guiding them from
dependence to independence. Become a “self-leader” by acting on your own
through self-behavior modification, finding enjoyment in the task, and building
self-confidence through positive thinking.
• In the “Leading the Journey” empowerment model, leaders determine vision and
direction, remove obstacles, develop ownership, and stimulate self-directed action.
APPLICATION EXERCISES
1. Is power a taboo subject? Discuss your answer to this statement in class or in a
reflection paper.
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2. Create your own cost/benefit ratios for each type of power. Do you agree that
leaders should strive for expert and referent power?
3. Identify the sources of power you respond to most/least favorably. Analyze
the differences.
4. Create a case study based on how a leader engaged in constructive organiza-
tional politics.
5. Develop a strategy for overcoming your powerless talk using the techniques dis-
cussed in the chapter. Report on your progress to another person in the class.
6. Brainstorm a list of strategies for eliminating environmental factors that cause
powerlessness.
7. Evaluate your intrinsic task motivation as a student using the four factors
described in the chapter. Share your analysis with others in the class.
8. Interview employees (leaders and followers) in an organization to determine
how empowerment is/is not used effectively. Share your results with others.
9. Write a paper describing why an empowerment effort succeeded or failed based
on the components and models of empowerment presented in the chapter.
10. Identify the job/situation/or context in which you have felt most/least empow-
ered as a follower. Compare your effectiveness in these two situations.
11. Select a major task or project facing you this term (a major speech, a professional
exam, getting in shape, training for a long race) and apply the self-leadership strat-
egies described in this chapter to completing this task. Develop specific goals and
determine how you will observe and evaluate your behavior, reward yourself,
modify the physical environment, and rehearse. Consider the elements of the proj-
ect that might be naturally rewarding and how you can think in terms of opportu-
nities instead of limitations. Turn in your preliminary plan. At the end of the
quarter or semester, after the project has been completed, reflect on your perfor-
mance. Did using these tactics produce better results? How would you rate your-
self as a self-leader? Record your conclusions and submit them to your instructor.
CULTURAL CONNECTIONS: A DIFFERENT VIEW ON POWER—
THE SOUTH AFRICAN CONCEPT OF UBUNTU54
As we have discussed in this chapter, using power effectively is critical to the suc-
cess of leadership. Whether power is centralized or distributed, its use or misuse has
much to do with overall leadership outcomes. This becomes more complex, however,
when crossing cultural boundaries. Inhabitants of different countries have sometimes
radically dissimilar viewpoints on power. In some countries, such as Israel, Denmark,
and New Zealand, workers often expect that power will be shared. In countries like
Malaysia, India, and the Philippines, followers are generally much more willing to be
directed. One country with a very unique view on power is South Africa.
Since the collapse of the oppressive apartheid system, black empowerment has
been a priority. Over three-fourths of the population in South Africa is black; yet
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many of these indigenous people live in poverty in rural settlements outside major
cities. The South African government has been working to integrate traditional
black African cultural values into mainstream society. One option for development
that has gained popularity embraces the traditional African concept of ubuntu. In
Zulu, ubuntu roughly translates as: “a person is a person through other persons.”
As such, ubuntu is based on caring for the well-being of others through a spirit of
mutual support and the promotion of individual and societal well-being. Ubuntu
basically views an enterprise as a community of relationships that reflect group sol-
idarity. The ubuntu philosophy of democracy is not based simply on majority rule;
rather it focuses on building consensus through shared power. The ubuntu philos-
ophy helps to create a community built on interdependent and equal participation.
This can be seen in the nearly one million South African collectives known as
stokvels. These joint undertakings—savings clubs, burial societies, and other coop-
eratives—offer community-based services to members and are led through a pro-
cess of shared decision making based on the ubuntu philosophy. Power is
distributed within South African society in ways that place the good of the collec-
tive above the needs of the individual. For the stokvels, making a profit is impor-
tant, but never if it involves the exploitation of others. Although similar practices
are found in many other cultures, this approach would seem quite different than
the view of power held by many in Western industrialized society, which often
focuses on maximizing profits whatever the costs.
LEADERSHIP ON THE BIG SCREEN:
STAR WARS EPISODE VII—THE FORCE AWAKENS
Starring: Daisy Ridley, John Boyega, Harrison Ford, Carrie Fisher, Oscar Isaac,
Adam Driver, Mark Hamill
Rating: PG-13 for violence and intense action scenes
Synopsis: Thirty years after the triumph of good in the earlier Star Wars film
Return of the Jedi, the dark side of the powerful Force is active again. Only the last
remaining Jedi knight, Luke Skywalker (Hamill), can restore order—and the search
is on to find him. Both the Resistance and the evil First Order want the map that
pinpoints Skywalker’s location. The Resistance secures the map but must destroy
the First Order’s super weapon and vanquish its second in command, Ren (Driver),
the son of Resistance leaders Han Solo (Ford) and Princess/General Leia (Fisher).
This sequel introduces new characters to the Star Wars franchise, including young
scavenger Rey (Ridley) who demonstrates Jedi powers, former First Order storm
trooper Finn (Boyega) who supplies valuable intelligence about the enemy, and
Resistance pilot Poe Dameron (Isaac). Han Solo makes his final appearance, dying
at the hands of his son.
Chapter Links: use and abuse of power; coercive, legitimate, reward, expert, and
referent power; powerlessness; self-leadership
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6
Leadership and Influence
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Leadership is serious meddling in other people’s lives.
—Max DePree
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OVERVIEW
Credibility: The Key to Successful Influence
Dimensions and Challenges of Credibility
Building Your Credibility
Compliance-Gaining Strategies
Managerial Influence Tactics
Upward Dissent
Developing Argumentative Competence
The Leader as Negotiator
Creating a Cooperative Climate
Perspective-Taking Skills
Negotiation as Joint Problem Solving
Resisting Influence: Defending against the Power of Mental Shortcuts
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Exercising influence is the essence of leadership. Leading means influencing
since leaders must shape the attitudes and behavior of others to help groups reach
their goals. In the last chapter, we examined the sources and uses of power. In this
chapter, we continue our discussion of influence by taking a closer look at how
leaders modify the behavior of others through symbolic communication. We will
focus on four sets of influence tools particularly significant to leaders: (1) credibil-
ity-building behaviors, (2) compliance-gaining strategies, (3) argumentation com-
petencies, and (4) negotiation tactics. We’ll conclude by examining ways to resist
unethical influence attempts.
Credibility: The Key to Successful Influence
Credibility is the foundation for successful influence because the success or
failure of a particular influence strategy ultimately depends on the credibility of the
influencer. The results of surveys of 100,000 global managers over a period of 30
years demonstrate how important credibility is to leaders. When the managers
were asked what characteristics they admired most in their leaders, the answers
were forward looking, honest, inspirational, and competent. Taken together, these
elements comprise what researchers label as believability or credibility.
People everywhere want to believe in their leaders. They want to have faith and
confidence in them as people. People want to believe that their leaders’ words
can be trusted, that they have the knowledge and skill necessary to lead, and
that they are personally excited and enthusiastic about the direction in which
they are headed. Credibility is the foundation of leadership.1
Credibility has always been central to the study of communication and leader-
ship. The ancient Greeks studied the public speaking techniques of leaders and used
the term “ethos” for what we now call credibility. For Plato, Aristotle, and others,
ethos consisted of high moral standards, intelligence, and other speaker character
traits.2 An orator swayed an audience through logic (logos), emotion (pathos), and,
most importantly, personal characteristics (ethos). Interest in credibility among
communication scholars remains high in the modern era.3
The strong tie between credibility and influence is the reason scholars have
been interested in ethos through the ages. No matter what the setting, credible
sources are more effective. Consider the following:
• Highly credible public speakers are more likely to convince audiences to
accept their arguments. By citing credible sources, speakers build their own
credibility and generate greater attitude change.4
• Successful counselors first earn the trust of their clients.5
• Salespeople are more productive if they sell themselves (build their credibil-
ity) before they sell their products.
• Editorials are more persuasive if they come from highly credible newspapers
like The New York Times or the Chicago Tribune.6
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• Trust in leadership significantly affects basketball team performance.7
• Juries are more swayed by credible witnesses.
• The higher the credibility of instructors, the more students learn.8
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Leader credibility is the cornerstone of
corporate performance and global competitiveness.
—Tom Peters
Dimensions and Challenges of Credibility
Modern investigators no longer treat credibility as a set of speaker traits.
Instead, they isolate factors that audiences use to evaluate the believability of
speakers. The most significant elements or dimensions of credibility are compe-
tence, trustworthiness, and dynamism.9
Competence can be defined as knowledge of the topic at hand, intelligence,
expertise, skill, or good judgment. The term “value-added” best describes the kind
of competence that leaders need to demonstrate.10 A leader must provide the skills
that the group needs at a particular time. For example, boards of directors often
look for top executives who can take their organizations in new directions. In one
case, they may be looking for someone with a strong marketing or fund-raising
background to increase sales or donations. In another, they may want a chief exec-
utive who knows how to cut costs or streamline operations.
Trustworthiness (character) is another name for honesty and consistency.11
This dimension of credibility is critical to effective leadership since the leader-fol-
lower relationship is built on trust. Managers rate honesty as the most important
leader quality; the most influential public opinion leaders are also the most trust-
worthy. Unfortunately, trust is lost when CEOs get huge contracts when ordinary
workers are suffering. In 2011, for example, as the nation was coming out of one of
the biggest economic downturns in history, CEOs at Qualcomm, JC Penney, Tyco,
and several other firms earned over $50 million even as many of their fellow citi-
zens struggled to find work and stay in their homes.12
Dynamism refers to perceptions of a source’s confidence, activity, and asser-
tiveness. Dynamic leaders communicate confidence in their visions for the future.
They inspire others to work harder and to make greater sacrifices. Dynamism
appears to be an integral part of what many people call charismatic leadership, a
topic we discussed in detail in chapter 4.
Leaders face some special challenges when it comes to establishing and main-
taining their credibility.13 First, followers pay more attention to leaders than lead-
ers do to followers. As a result, they are quick to note when leaders fall short. Any
failure (a supervisor violating a promise, for example) is seen as evidence of the
leader’s poor character rather than as the product of situational factors (the super-
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visor may have been forced to break the commitment by top management). One
negative incident can undo the goodwill built with followers over a long period of
time and makes receivers more sensitive to possible future violations. Heightened
scrutiny also leads to charges of inconsistency when leaders present themselves in
different ways to different audiences (stockholders, customers, employees).
Second, leaders must respond to the conflicting demands of multiple constitu-
encies. Fulfilling the expectations of one group may mean violating the expecta-
tions of another. For instance, a pledge to increase the budget of the marketing
department may mean a reduction in the amount previously committed to
research and development. Third, leaders often feel the pressure to treat organiza-
tional “stars” better than their peers, creating perceptions of injustice. Fourth, lead-
ers may seek to improve performance by communicating high expectations that
turn out later to be unrealistic. Fifth, following the latest management fads can lead
to a gap between words and deeds because leaders start using new terminology
(“employee engagement,” “total quality”) that doesn’t match reality. Finally, leaders
hired solely for their technical competencies may overlook the importance of inter-
personal skills like acting consistently, treating others justly, and following through
on promises.
While the challenges of building leadership credibility are great, so are the
rewards for doing so. Followers who believe that their leaders are trustworthy, for
instance, are more satisfied with their jobs as well as more committed to their orga-
nizations. These followers are more willing to help out coworkers and to treat oth-
ers with respect. They are also more supportive of organizational decisions and
receive higher performance evaluations.14 (We’ll take a closer look at the impor-
tance of building a trusting organizational culture in chapter 8.)
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A single lie destroys a whole reputation for integrity.
—Baltasar Gracian
Building Your Credibility
Discovering how others assess your competence, trustworthiness, and dyna-
mism is an excellent way to start building your credibility as a leader. Rate yourself
on the credibility scales found in Application Exercise 1 at the end of this chapter.
Then ask someone else to rate you and compare the responses. You will probably
rank higher on one dimension of credibility than on others. In addition, your self-
ratings might be either above or below the ratings you receive from your partner.
Once you’ve targeted the dimension(s) of credibility most in need of improve-
ment, you can start to change your behaviors in order to generate more favorable
impressions. In chapter 1, we called this process impression management. The fol-
lowing sets of behaviors are particularly effective in managing perceptions of cred-
ibility. These tactics boost your credibility by increasing your perceived similarity
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with observers and linking you to groups that have reputations for competence
and integrity.15
Self-presentation behaviors. Use statements that reveal that you are “human”
with similar emotions, limitations, and experiences as your audience. Distance
yourself from untrustworthy groups by pointing out how dissimilar you are to
them. For example: you are not a manager who follows the latest management fads
or you are not like other salespeople who will lie to sell their products. Introduce
your qualifications—job title, experience, research—to address the issue at hand.
Identify your credentials at or near the beginning of messages to have the greatest
impact.16 However, your message can change attitudes and behavior even if you
don’t have impressive qualifications. According to the “sleeper effect,” the source is
forgotten as time passes, but the message is remembered and judged on its own
merits. If the ideas you introduce are well-crafted and supported (see the discus-
sion of argumentation to follow), they may be adopted later.17
Language. Avoid technical, jargon-laced language that will distance you from
your audience and may give the impression that you are hiding behind the termi-
nology because you don’t really understand the topic. Use common, clear, and
understandable terms.
Physical appearance and other nonverbal behaviors. Dress appropriately
for your profession; choose a style similar to that of your audience; reject clothing
or accessories that might match negative stereotypes. For instance, avoid darkly
tinted glasses or sunglasses. The stereotype holds that untrustworthy people wear
dark eyeglasses. In addition:18
• Make sustained eye contact when communicating with others. Avoid shifting
your eyes, looking away, keeping your eyes downcast, or excessive blinking.
• Use gestures to add emphasis to the points that you make. Try to appear
spontaneous and unrehearsed; let your gestures convey the depth or inten-
sity of your emotions. Hand wringing, finger tapping, tugging at clothing,
and tentative movements undermine credibility.
• Maintain a relaxed, open posture when talking with others. Lean forward
and smile when answering a question in order to establish rapport. Change
your posture frequently and forcefully to communicate responsiveness. Try
to avoid those behaviors that make you look timid or nonassertive—holding
your body rigid, keeping arms and hands crossed and close to the body, and
so on.
• Pay attention to your voice. Strive to sound confident by using a conversa-
tional speaking style and vary your rate, pitch, and volume. Sounding nasal,
tense, or flat can make you appear significantly less credible. In addition, fre-
quent pauses, speaking too rapidly, repeating words, and stuttering have a
negative impact on credibility.
Modifying behaviors to make the desired impression on others is the first step
to building your credibility. However, our credibility as leaders also depends on the
quality of the relationships we maintain with followers. Ellen Whitener and her
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colleagues identify five sets of behaviors that foster perceptions of trustworthiness
in manager-employee relationships.19 These include: (1) Behavioral consistency;
acting consistently over time and in a variety of situations makes it easier for fol-
lowers to predict your behavior and to take risks. (2) Behavioral integrity; match
what you say and do, particularly by telling the truth and keeping promises. (3)
Sharing and delegation of control; inviting participation in decision making enables
employees to protect their interests, reduces the likelihood that you will take
advantage of the situation, and signals trust and respect for their worth and stand-
ing in the organization. (4) Communication; provide accurate information, supply
explanations for decisions, and reveal your openness through sharing your
thoughts and feelings. (5) Demonstration of concern; reflect your concern for fol-
lowers by focusing on their needs and interests, protecting their rights, and refus-
ing to take advantage of them (i.e., keep confidences, give credit to others).
James Kouzes and Barry Posner emphasize that perceptions of all three dimen-
sions of credibility build over time. They outline the following credibility-building
practices that are effective in the long term.20
Discover yourself. Know yourself in order to lay the foundation for consistent
behavior. Start by identifying your credo, which is the set of values and beliefs you
consider to be important. Values serve as principles or standards by which we eval-
uate our actions and the actions of others. To clarify what you believe, imagine that
you’ll be going on a six-month sabbatical to a location where you cannot be
reached by phone, letter, fax, or e-mail. Write a short memo before you go in which
you identify the values and beliefs you think should guide the decision making and
actions of colleagues when you’re gone. (Turn to Application Exercise 2 for a com-
plete description of this project.) Next, develop the necessary skills or competen-
cies to put your beliefs into action along with the confidence to do so. Skill and
confidence levels can be built through mastering current tasks, following effective
role models, seeking support from others, and recognizing that experiencing stress
does not signal lack of ability.
Appreciate constituents. Credible leaders have a deep understanding of the
values, needs, and desires of constituents. In particular, they appreciate the per-
spectives of an increasingly diverse workplace (see chapter 10 for a discussion of
leading diversity). To cultivate an in-depth understanding of followers, listen (visit
the sales force, hold feedback sessions, monitor social media, call customers), be
willing to learn from others, solicit feedback from superiors and subordinates,
encourage dissent or controversy about ideas, and put your trust in others at the
same time you live up to the trust they put in you.
Affirm shared values. Kouzes and Posner refer to shared values as the “inter-
nal compasses that enable people to act independently and interdependently.”
Shared values provide a reference point for decisions and actions, creating a com-
mon language for collaboration that boosts productivity. We’ve already seen how
important it is for a leader to have a clear set of personal values. However, you must
not unilaterally impose your values on others. Instead, work together with followers
through discussion groups and other forums to develop shared values statements.
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Additional ways to encourage shared beliefs and actions include advocating cooper-
ation and resource sharing, as well as developing recruiting and hiring procedures,
orientation programs, training and development efforts, recognition and promo-
tion, and other organizational structures that highlight organizational values. You
may also have to help groups with competing values discuss their differences and
come to agreement.
Develop capacity. Like leaders, followers need to develop skills and self-confi-
dence to put their beliefs into action. You can help constituents increase their
capacity by (1) providing educational opportunities, (2) giving followers the lati-
tude and authority to make significant decisions, (3) helping followers believe in
their own abilities (for a discussion of empowerment strategies, turn to chapter 5),
(4) giving followers the opportunity to make mistakes (fostering confidence), (5)
sharing information and feedback, and (6) ensuring that everyone accepts respon-
sibility for her or his own actions.
Serve a purpose. Serving a purpose refers to creating a sense of direction for
the group. Leaders can communicate direction by:
• going first. Demonstrate commitment by taking the initial step, like being the
first to volunteer to work overtime to get a product out on schedule, and by
how you spend your time and respond to challenges.
• staying in touch. Maintain regular contact with constituents; listen and be
approachable.
• making meaning on a daily basis. Send consistent messages about attitudes,
values and commitments through how you respond to routine events like
interruptions, stress, meetings, and complaints; set a consistent example.
• storytelling. Teach others through narratives that involve your own experi-
ence and that of your audience.
• regaining lost credibility. Every leader, no matter how conscientious or suc-
cessful, will fail on occasion. The effects of such failures do not have to be
permanent, however. Restoring your credibility involves the six “As” of lead-
ership accountability: accept responsibility, admit mistakes, apologize, take
immediate remedial action, make amends or reparation (you should share in
any penalty for the mistake), and pay close attention to the reactions of fol-
lowers. (More information on repairing trust can be found in chapter 8.)
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Example is not the main thing in influencing others. It is the only thing.
—Albert Schweitzer
Sustain hope. Leaders play a critical role in boosting the spirits of followers in a
world marked by stress and failure. Hopeful followers, in turn, achieve high levels of
performance. If you want to keep hope alive, you must first believe that you can take
charge of your life and persist in the face of obstacles. You and your constituents
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need to combine hope with work, recognizing reality but acting to change things for
the better. Create positive images of the future that, in turn, generate positive
thoughts and images in the minds of followers. Be passionate about your organiza-
tion or cause; suffer together with constituents. (Freeze your salary and benefits
along with those of your employees, for example.) As a supportive leader, show genu-
ine concern for others by listening to their problems, offering words of encourage-
ment, fostering friendships between coworkers, and nurturing a sense of community.
Compliance-Gaining Strategies
Compliance-gaining strategies are the verbal tactics that leaders and others use
to get their way in face-to-face encounters. These strategies are based on the types
of power we described in chapter 5. Attempts to get others to do what we want are
a frequent occurrence in everyday life. Requesting notes from a classmate, con-
vincing a friend to take Uber or Lyft rather than driving home drunk from a party,
enlisting volunteers for a fund drive, and persuading a neighbor to keep her dog
chained up are all examples of interpersonal compliance-gaining situations.
Managerial Influence Tactics
Organizational compliance seekers face a number of constraints not present
in the interpersonal context. First, they have less freedom to decide whether or not
to engage in persuasion. Middle managers and supervisors must influence others
if they are to perform their roles. Second, the statuses of both the compliance
seeker and the target of the request in an organization are clearly defined. Third,
organizational influence agents aren’t free to pursue their personal goals only; they
must direct most of their efforts at achieving organizational objectives like
increasing productivity, reducing tardiness, and improving service. Fourth, the
rules and culture of the organization may favor some influence methods while dis-
couraging others.
Gary Yukl of the State University of New York at Albany and his associates
identify the following common managerial influence tactics.21
• Rational persuasion. Use of logical arguments and factual evidence to dem-
onstrate that a request or proposal will attain organizational objectives.
Examples: “Getting the additional funds will help our department reach its
goals.”
“Research shows there is a market for a new online MBA program.”
• Apprising. Explaining how compliance will benefit the target and his or her
career.
Examples: “Learning the new accounting software will make you a more
valuable employee.”
“Taking this overseas assignment will help you qualify for a divi-
sion manager position.”
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• Inspirational appeals. Generating enthusiasm by appealing to values and
ideals; arousing emotions.
Examples: “Hiring more service representatives will help us provide world-
class customer care.”
“Joining our project team will put you on the cutting edge of
emerging technology.”
• Consultation. Seeking suggestions for improvement; asking for input for
planning an activity, strategy, or change.
Examples: “How do you think we can reduce the time it takes to bring a new
product to market?”
“Take a look at this proposal and let me know what you think
before we implement it.”
• Collaboration. Providing resources and assistance if the target complies with
the request.
Examples: “We could both come in on Saturday morning to make sure the
product gets shipped.”
“If you can help, I’ll provide you with the equipment and person-
nel you need.”
• Ingratiation. Use of flattery and praise before or during a request; expressing
confidence in the target’s ability to fulfill a difficult request.
Examples: “Since your handwriting is better than mine, you should record
the group’s findings on the board.”
“You’re the only person in the department who can make this sale.”
• Personal appeals. Appealing to feelings of loyalty and friendship when ask-
ing for something.
Examples: “As a friend, do me a favor, and cover my shift.”
“We’ve been colleagues for a long time, so please back me up
when I approach the boss.”
• Exchange. Trading favors; promising to reciprocate later or to share the ben-
efits when the task is completed.
Examples: “If you support my legislation, I’ll support yours.”
“If you put in additional hours now, you can have additional time
off when the project is done.”
• Coalition tactics. Soliciting the aid of others or using the support of cowork-
ers to convince the target to go along with the request.
Examples: “The CEO really likes this proposal.”
“Your friend Jim is behind this idea.”
• Legitimating tactics. Claiming the right or authority to make a request; align-
ing the request with organizational policies, rules, traditions, and so forth.
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Examples: “The policy manual states that I am entitled to two weeks of
vacation.”
“Your firm signed an agreement to buy a shipment of our product.”
• Pressure. Demanding, threatening, checking up; persistent reminders.
Examples: “If you don’t honor the contract, we will take you to court.”
“You had better finish creating that contract by Friday afternoon.”
In evaluating the effectiveness of individual managerial influence tactics, Yukl
concludes that any given strategy is more likely to be successful if:
1. the target perceives the influence attempt as socially acceptable;
2. the influencer has the position and personal power to use the tactic;
3. the strategy makes the request seem more desirable to the target;
4. the tactic is used skillfully; and
5. the request is legitimate and doesn’t violate the needs and values of the
recipient.22
Rational persuasion, consultation, collaboration, and inspirational appeals are
most likely to generate commitment to the task, whether the target is a superior,
peer, or subordinate. Ingratiation, exchange, and apprising are moderately effective
with subordinates and peers but not with superiors. Personal appeals secure com-
pliance in friendly relationships. A coalition can encourage support for a major
organizational change but may be seen as ganging up on a target when used to con-
vince someone to carry out an assignment or to improve her or his performance.
Pressure and legitimating tactics gain compliance at the expense of long-term
commitment. You can practice these strategies by applying them to your organiza-
tion in Application Exercise 4.
Combinations of tactics also vary in effectiveness. Tactics based on the soft
power described in chapter 5—rational persuasion, apprising, consultation, ingra-
tiation, inspirational appeals—work better when combined than when used alone.
Combining a soft tactic with supporting evidence generally increases the chances
of success. However, some tactics are incompatible. Mixing hard and soft power
strategies (i.e., pressuring someone while asking him or her to do a favor based on
loyalty or friendship) can derail a request.
Yukl reminds us that we can’t take effective influence for granted. Subjects in
his studies report many examples of when they originated or received “inept influ-
ence attempts.”23 Managers may combine incompatible tactics, make clumsy
attempts at being helpful or friendly, fail to recruit allies, try to gain compliance for
an improper or unethical request, and so forth. One common mistake is using hard
tactics when softer ones would have been more successful.
In chapter 5 we developed a cost/benefit ratio for each of the types of power. The
same approach can be used to determine the best compliance-gaining strategy. John
Hunter and Franklin Boster suggest that persuaders should balance the cost of using a
tactic against the objective they seek by considering the emotional threshold.24 Com-
pliance-gaining attempts produce emotional responses in targets. Pro-social tactics,
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such as rational persuasion, inspirational appeals, collaboration and consultation, are
widely accepted and are more likely to produce positive feelings in recipients. Antiso-
cial strategies like pressure and legitimation raise threat levels and thus are more likely
to generate negative emotions. Hunter and Boster believe that leaders must decide
just how much negative emotion they are willing to generate to get their way. In some
situations, the emotional threshold is high; for example, when asking a colleague to do
a personal favor like covering a shift at work. In other cases, the threshold is low; for
example, when safety is threatened or when addressing destructive behaviors like
stealing and sexual harassment. In these cases of dangerous, unethical activities, anti-
social tactics are in order, even if they provoke anger and resentment in targets.
Upward Dissent
Expressing disagreement or dissent upward to management and supervisors is
a particularly challenging form of compliance gaining. Followers who take issue
with decisions, policies, and procedures lack the power to make the changes them-
selves so they have to express their opposition to those who can take action.
Upward dissent is risky because there is always the threat of retaliation. However,
those who express their frustrations to management do their organizations a valu-
able service because dissent can alert the group to problems and help it operate
more efficiently and ethically.
According to University of Arizona West communication professor Jeffrey
Kassing, satisfied workers who identify with their organizations are more likely to
express upward dissent. Followers are also more likely to speak up if they (1) have
higher status, (2) believe that they can exert significant influence, and (3) have high-
quality relationships with their supervisors. Kassing offers the following typology of
upward dissent strategies.25 Complete the self-assessment in box 6.1 to determine
the tactics you are most likely to use when expressing disagreement to your leaders.
• Direct-factual appeal: supporting the complaint with facts drawn from
physical evidence, knowledge of the organization, and personal work experi-
ence. For example: producing examples of shoddy work, telling stories of
unhappy customers.
• Repetition: repeatedly drawing attention to a topic over a period of time. For
example: reminding the boss several times about unsafe working conditions
during the course of several weeks.
• Solution presentation: offering a solution along with drawing attention to the
problem. For example: writing an e-mail that includes new procedures;
meeting with the supervisor to outline a different manufacturing process.
• Circumvention: dissenting to someone above the immediate supervisor. For
example: talking to the boss’s boss when the immediate supervisor is not
receptive to dissent or when the dissent issue involves the direct supervisor.
• Threatening resignation: threatening to resign in order to get the supervisor
and management to act. For example: promising to quit unless managers end
illegal accounting practices.
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Employees clearly identify some upward dissent strategies as more effective
than others. Strategies that threaten the “face” or image of the receiver are rated
least competent; strategies that protect the face of the supervisor are judged most
effective. Threat of resignation is the least competent tactic because it promotes
the face of the subordinate at the expense of the supervisor, doing the most rela-
tional damage. Circumvention and repetition are more effective than vowing to
resign but are still considered less competent because they continue to pose a
threat to the supervisor’s image. Direct-factual appeal and solution presentation
(prosocial strategies) are the most successful because they reduce threat through
clear and direct communication. These two influence tactics are also the ones
most frequently used by workers.
Box 6.1 Self-Assessment The Upward Dissent Scale26
Instructions: On a scale of 1 to 5, indicate how likely you are to use each of the following behav-
iors when expressing disagreement to supervisors and higher level managers. 1 = strongly dis-
agree, 5 = strongly agree.
_____ 1. I talk to someone higher up in the organization than my direct supervisor.
_____ 2. I gather evidence to support my concern.
_____ 3. I bring up my concern numerous times.
_____ 4. I say I’ll quit if the organization doesn’t do something about the problem.
_____ 5. I focus on the facts surrounding the issue.
_____ 6. I raise the issue repeatedly.
_____ 7. I suggest that I’m considering quitting if the organization doesn’t do something.
_____ 8. I talk to an organizational officer higher in the chain of command.
_____ 9. I threaten to resign if my concerns aren’t addressed.
_____ 10. I present solutions not just problems.
_____ 11. I talk to my boss’s boss.
_____ 12. I make several attempts to draw attention to the concern.
_____ 13. I use facts to support my claim.
_____ 14. I claim that the problem is serious enough to make me quit.
_____ 15. I go above my direct supervisor’s head to voice my concern.
_____ 16. I continue to mention my concern until it gets addressed.
_____ 17. I go over my boss’s head.
_____ 18. I repeat my concern as often as possible.
_____ 19. I threaten to quit.
_____ 20. I present a well-thought-out solution to the problem.
Scoring: Scores for each tactic range from 5 to 25. The higher the score, the more likely you are to
use that strategy. Items 2, 5, 10, 13, and 20 = Prosocial; items 4, 7, 9, 14, and 19 = Threatening Res-
ignation; items 1, 8, 11, 15, and 17 = Circumvention; and items 3, 6, 12, 16, and 18 = Repetition.
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Because upward dissent is so beneficial to organizational health and increases
employee satisfaction, Kassing suggests that leaders take steps to encourage this
type of communication. They should develop high-quality partnerships with fol-
lowers, be trained to be receptive to disagreement and criticism (and resist the
temptation to retaliate), and develop systems—hotlines, ethics offices—to encour-
age employees to raise concerns about safety and ethical issues. Finally, leaders
need to learn how to effectively express dissent to their managers. Doing so not
only alerts the organization to issues but also encourages followers to express their
concerns as well.
�
The humblest individual exerts some influence,
either for good or evil, upon others.
—Henry Ward Beecher
Developing Argumentative Competence
When two or more people take different sides on a controversial issue like
immigration policy or how to fund local schools, they generally try to establish the
superiority of their positions through argument. To be successful, arguers must
build a strong case for their positions while simultaneously refuting the arguments
of those who take other positions. The introduction of controversy and dialogue sets
argumentation apart from compliance-gaining strategies that also rely on reason and
evidence. Compliance gainers may provide evidence even when there is no signifi-
cant disagreement, and compliance-gaining messages often take only a few seconds
to deliver. Argumentation always involves controversy and extended discussion.
Argumentation is important to leaders at every level. In small groups, argu-
mentative individuals are more likely to emerge as leaders, and groups that argue
about ideas generate higher quality solutions.27 In organizations, supervisors must
defend their own ideas and argue on behalf of subordinates.28 In the public arena,
political leaders, public relations specialists, and social activists engage in argu-
ment to support new government regulations, promote industry interests, or
defend the rights of disadvantaged groups. (Complete the argumentativeness scale
in box 6.2 to determine how likely you are to engage in arguments.)
While argumentation is an essential leadership activity, many of us view argu-
ments with suspicion. Although you have probably had enjoyable arguments that
stimulated your thinking, chances are you’ve also been in unpleasant arguments
that resulted in hurt feelings and broken relationships. The key to understanding
the mix of good and bad experiences we’ve had while arguing lies in distinguishing
between argumentativeness and verbal aggression.29 Argumentativeness involves
presenting and defending positions on issues. Verbal aggressiveness is hostile com-
munication aimed at attacking the self-concepts of others instead of (or in addition
to) their positions on the issues.
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Box 6.2 Self-Assessment Argumentativeness Scale30
Directions: This questionnaire contains statements about arguing controversial issues. Indi-
cate how often each statement is true for you personally by placing the appropriate number in
the blank to the left of the statement. If the statement is almost never true for you, place a “1” in
the blank. If the statement is rarely true for you, place a “2” in the blank. If the statement is occa-
sionally true for you, place a “3” in the blank. If the statement is often true for you, place a “4” in
the blank. If the statement is almost always true for you, place a “5” in the blank.
_____ 1. While in an argument, I worry that the person with whom I am arguing will form a neg-
ative impression of me.
_____ 2. Arguing over controversial issues improves my intelligence.
_____ 3. I enjoy avoiding arguments.
_____ 4. I am energetic and enthusiastic when I argue.
_____ 5. Once I finish an argument I promise myself that I will not get into another.
_____ 6. Arguing with a person creates more problems for me than it solves.
_____ 7. I have a pleasant, good feeling when I win a point in an argument.
_____ 8. When I finish arguing with someone I feel nervous and upset.
_____ 9. I enjoy a good argument over a controversial issue.
_____ 10. I get an unpleasant feeling when I realize I am about to get into an argument.
_____ 11. I enjoy defending my point of view on an issue.
_____ 12. I am happy when I keep an argument from happening.
_____ 13. I do not like to miss the opportunity to argue a controversial issue.
_____ 14. I prefer being with people who rarely disagree with me.
_____ 15. I consider an argument an exciting intellectual challenge.
_____ 16. I find myself unable to think of effective points during an argument.
_____ 17. I feel refreshed and satisfied after an argument on a controversial issue.
_____ 18. I have the ability to do well in an argument.
_____ 19. I try to avoid getting into arguments.
_____ 20. I feel excitement when I expect that a conversation I am in is leading to an argument.
Argumentativeness Scoring
1. Add your scores on items: 2, 4, 7, 9, 11, 13, 15, 17, 18, 20.
2. Add 60 to the sum obtained in step 1.
3. Add your scores on items: 1, 3, 5, 6, 8, 10, 12, 14, 16, 19.
4. To compute your argumentativeness score, subtract the total obtained in step 3 from the
total obtained in step 2.
Interpretation
73–100 = High in Argumentativeness
56–72 = Moderate in Argumentativeness
20–55 = Low in Argumentativeness
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Aggressive tactics include:
If our arguments have been unpleasant, it is probably because one or both par-
ties engaged in verbal aggression. Verbally aggressive communication is destruc-
tive. Such behavior has been linked to spousal abuse and family violence, for
example, and reduces student learning and instructor credibility. In contrast, argu-
mentativeness produces a variety of positive outcomes. Organizational followers
prefer to work for supervisors who are argumentative but not aggressive, and such
leaders have higher salaries and career satisfaction. Organizational leaders favor
followers who have similar traits, giving argumentative (but not aggressive) subor-
dinates higher performance reviews.31
Recognizing the difference between argument and aggression is the first step
to building our argumentative competence.32 We may need to jettison our negative
images of the term argument and recognize its positive features. We must avoid
the aggressive behaviors listed earlier and sharpen our argumentation skills
instead. Dominic Infante outlines five skills that, collectively, constitute argumen-
tative competence: stating the controversy in propositional form; inventing argu-
ments; presenting and defending your position; attacking other positions; and
managing interpersonal relations.33
Stating the controversy in propositional form. Productive arguments begin
with a clear understanding of the argumentative situation. Stating the problem in
the form of a proposition or proposal is the best way to clarify what the conflict is
about. Propositions of fact deal with what happened in the past (“the college grew
after 2010 largely due to its president’s leadership”), the present (“enrollment is
down due to higher tuition”), or future (“unless the college cuts its rate of tuition
increase, it will be in financial trouble within five years”). Propositions of value deal
with issues of right or wrong (“it’s unethical to lay off employees when profits are
rising” or “everyone ought to do their part on the group project”). Propositions of
policy are concerned with what course of action should be taken, such as how to
reduce the number of homeless people in a city or how to market a new financial
service. By framing an argument in the form of a proposal, we identify the sides
that people are likely to take on the issue, clarify where we stand, and determine
who has the burden of proof. Those who favor a proposition must demonstrate
that the status quo ought to be changed.
Inventing arguments. Careful examination of the proposition is the key to
developing a case either for or against the proposal. The set of questions in box 6.3
can help us analyze controversies systematically. To illustrate how this system
• Character attacks
• Background attacks
• Insults
• Teasing
• Ridicule
• Profanity
• Threats
• Competence attacks
• Physical appearance attacks
• Nonverbal indicators that express hostility
(looks of disgust, clenched fists, rolling eyes,
demeaning tone of voice)
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works, we’ll use the example of a student government faced with the following
proposition: “Student activity fees should be increased to help pay for a new fitness
center on campus.” Proponents of this idea might argue that long waiting lists for
racquetball courts, weight rooms, gyms, and physical education classes are signs
that current facilities are too small. Overcrowding means that students can’t exer-
cise when they want and can’t get the classes they need for graduation (specific
harm). The problem appears widespread because of the large number of students
who express frustration with the current situation.
In answering questions related to blame and possible solutions, proponents
might conclude that the problem of overcrowding stems from the fact that student
enrollment has outgrown current facilities. A change is in order because current
facilities are inadequate (sub-issues b and c). More efficient scheduling and sharing
community facilities might help relieve some of the pressure, but the best solution
appears to be to build a new, larger building on campus. Since the college does not
currently have enough money to build the center, student activity fees must be
raised to pay for the project.
Possible positive outcomes or consequences of using fees for the building
include more health and human performance classes, an expanded intramural pro-
gram, additional recreational opportunities, and a higher level of fitness on cam-
pus. These positive benefits, advocates might suggest, should outweigh the
negative consequence—having to pay higher fees.
Those who oppose the idea of using student fees to pay for a new fitness center
could use the same set of questions to generate arguments for opposing the proj-
ect—the problem does not affect that many students, other solutions can be found,
the hardship caused by the additional fees would outweigh any benefits, and so on.
Presenting and defending your position. Most arguments involve four
parts—claim, evidence, reasons, and summary. Begin by stating what you want
others to accept—the conclusion or claim of your argument. Provide evidence in
the form of statistics, examples, or testimonials from others and supply reasons or
logic for taking your position. Common patterns of logic include:
Box 6.3 Inventional System34
Major Issues and Sub-Issues
3. Solution
a. What are the possible solutions?
b. Which solution best solves the problem?
4. Consequences
a. What good outcomes will result from
the solution?
b. What bad outcomes will result from the
solution?
1. Problem
a. What are the signs of a problem?
b. What is the specific harm?
c. How widespread is the harm?
2. Blame
a. What causes the problem?
b. Is the present system at fault?
c. Should the present system be changed?
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1. inductive (generalizing from one or a few cases to many),
2. deductive (moving from a larger category to a smaller one),
3. causal (one event causes another), and
4. analogical (argument based on similarities).
All four types of reasoning could be used in the fitness center argument. If you
supported this idea, you could argue that the frustration experienced by some stu-
dents is typical of the student body at large (inductive), that most colleges have
developed new fitness facilities in the past 10 years (deductive), that building a new
fitness center will improve student retention (causal), or that billing students for a
new fitness center worked well for a similar college in the next town (analogical).
End your presentation with a summary that shows what you’ve established. Be pre-
pared to supplement your position with further evidence and reason once it comes
under attack.
Attacking other positions. This argumentative skill is based on identifying
weaknesses in the evidence and reasoning of the other party. Questions to ask when
attacking evidence include: Is the evidence recent enough? Was enough evidence
presented, and was it from reliable sources? Is the evidence consistent with known
facts? Can it be interpreted in other ways, and is it relevant to the claim of the argu-
ment? Look for these common fallacies or errors when evaluating reasoning.35
• False analogy. The differences in the two items being compared outweigh
their similarities.
• Hasty generalization. Drawing conclusions based on a sample that is (a) too
small or (b) isn’t typical of the group as a whole.
• False cause. Assuming that one event caused another just because it hap-
pened first, or using only one cause to explain a complex problem like illegal
immigration or international terrorism.
• Slippery slope. Assuming that an event (outlawing the use of torture on sus-
pected terrorists) is the first in a series of steps that will inevitably lead to a
bad outcome (more terrorist attacks). No proof is offered for the claim that
the subsequent events will actually take place.
• Begging the question (circular reasoning). Using the premise of the argument
to support the claim instead of bringing in outside evidence. (For example:
“Jennifer Lawrence is popular because she is a movie star.”)
• Non-sequitur (“it does not follow”). The evidence doesn’t support the arguer’s
claim.
• Misdirection. Diverting attention from the central argument to an irrelevant
argument. This includes attacking the opponent instead of his/her position,
appealing to popular opinion or tradition, and destroying a weak or false ver-
sion of an opponent’s case (a “straw” or “strawperson” argument).
• Equivocation. Exploiting the fact that a word has more than one meaning to
generate a false conclusion. Television ads for indoor air filters, steak knives,
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and juicers often promise to include an extra “free” item if we call now.
“Free” for the consumer means without cost. However, in this case, the cost
of the additional item is already built into the original price and the buyer
ends up paying for both products.
• Amphiboly. Using grammatical structure to mislead or confuse. For example:
“Our product is new and improved.” There is no basis of comparison offered
in this claim. Is the current product better than previous versions or better
than other brands?
• Emotive language. Selecting words that generate positive (“innovative,” “capti-
vating,” “luxurious”) or negative (“outdated,” “dull,” “cheap”) emotional images
and associations that undermine the ability to judge proof and reasoning.
Managing interpersonal relations. There are a number of tactics that can be
used to keep an argument from deteriorating into verbal aggression. Reaffirm the
sense of competence of other participants through appropriate complements
(“Though I don’t agree, I can see that you’ve studied this issue thoroughly”).
Emphasize what you have in common and show that you’re interested in their
views. Let your opponents finish what they’re saying instead of interrupting, and
deliver your messages in a calm voice at a deliberate pace. If opponents become
verbally aggressive, you can point out the differences between argument and verbal
aggression, ask them to focus on the point of controversy, or appeal to them to act
in a rational manner. You may need to leave if these tactics fail. As a general rule of
thumb, never respond to verbal aggression with aggressive tactics of your own.
The Leader as Negotiator
Like argumentation, negotiation comes into play when leaders must influence
those who actively disagree with them. However, while the goal of argumentation is
to establish the relative superiority of one position over another, the goal of negoti-
ation is to reach a conclusion that is satisfying to both sides. Negotiation consists of
back-and-forth communication aimed at reaching a joint decision when people are
in disagreement. A mix of compatible and incompatible interests marks all negoti-
ation situations. Negotiators must have some common goal or they wouldn’t nego-
tiate. On the other hand, at least one issue must divide them or they wouldn’t need
to negotiate to reach an agreement. Consider the relationship between members of
the production and marketing departments. Although both share a common inter-
est in seeing company sales increase, marketing wants fast product turnaround to
capture a new market; production wants to minimize costs while maintaining qual-
ity. These departments must resolve their differences through negotiation in order
to be successful. Similar disagreements can be found in small groups. Everyone
working in your class project group probably wants a high grade. However, some
group members may prefer to spend their time relaxing or studying for other
classes instead of meeting with the group or gathering research. The amount of
work each member does for the group then becomes a matter for negotiation.
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�
The very essence of all power to influence
lies in getting the other person to participate.
—Harry A. Overstreet
All types of leaders engage in negotiation. Union and company representatives
come to agreements on salary and benefits packages. The United States House and
Senate must settle differences in the bills passed by each body. Realtors try to strike
the best deals for homebuyers and sellers while sports agents try to do the same for
their clients. Lawyers negotiate the terms of plea deals and financial settlements.
Small business owners bargain with commercial property companies over lease
agreements. CEOs and their boards negotiate the price they will pay when acquir-
ing other companies.
Creating a Cooperative Climate
Our discussion of compliance gaining and argumentation emphasized the
activities of the persuader. The outcome of the negotiation process depends on the
joint efforts of the parties involved. As we indicated earlier, negotiators have com-
patible and incompatible goals. Since they have both similar and different interests,
the two parties simultaneously possess the incentive to cooperate and to compete.
Participants must foster cooperation and reduce competition if they are to reach a
mutually satisfying solution. According to conflict expert Morton Deutsch, there
are sharp differences between cooperative and competitive negotiation climates, as
noted in table 6.1.36
Those who want others to cooperate act in a cooperative manner. Conversely,
those who compete meet resistance. Both cooperation and competition get
“locked in” to a negotiation relationship at an early stage and persist throughout
the negotiation process.38 One way to foster cooperation is by using the Tit for Tat
strategy. The three rules of Tit for Tat are (1) be nice, (2) respond to provocation,
and (3) be forgiving. Begin the negotiation by offering to cooperate. If the other
Table 6.1 Differences in Negotiation Climates37
Cooperation
Open and honest communication
An emphasis on similarities
Trusting, friendly attitudes
Mutual problem solving
Reduction of conflicting interests
Competition
Very little communication; messages often nega-
tive and misleading
An emphasis on differences
Suspicion, hostility
One party wins over the other
Escalation of conflict and negative emotions
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negotiator tries to take advantage of you, respond in kind. When he or she switches
to a cooperative approach, begin to cooperate again.39 Promises and concessions
are two ways to signal that you are willing to cooperate. Offer to share important
information, for example, or back away from one of your initial demands. If the
other party responds in kind, make further concessions. However, if the other
party does not match your concession, he or she may be looking to compete rather
than to cooperate. In this case, follow the rules of the Tit for Tat strategy and make
no further concessions until the other negotiator becomes more conciliatory.
To prevent being taken advantage of, it helps to know some of the common
destructive tactics used by competitive negotiators. Some common deceptive tac-
tics that promote competition rather than collaboration include:40
• Good cop/bad cop. This is a variation of interrogation techniques portrayed
on Blue Bloods, Law & Order Special Victims Unit, and other police shows.
The good cop is friendly and cooperative, while the other is tough and
demanding. The temptation is to offer more information and concessions
than you should to the “good” negotiator. A variation of this approach is the
good cop asking for concessions that he or she can offer to his or her unrea-
sonable partner.
• Bad-faith negotiation. The other party states that he or she is willing to col-
laborate but is really just stalling for time or looking for more information to
use against you later. The negotiator may also try to reopen discussion on
earlier points of agreement in hopes of getting greater concessions. You may
yield based on the belief that you have come too far to back out now.
• Lack of authority. Your counterpart claims that a third party who doesn’t
participate in the discussion must approve agreements. This technique is
common at auto dealerships where salespeople turn to the sales manager for
approval. The third party often overrules or changes the agreement, bringing
pressure to bear to complete the negotiation.
• Inaccurate data. Information supplied by the other negotiator may be inac-
curate, deceptive, or incomplete, putting you at a serious disadvantage.
• Many for one. This tactic rests on the norm of reciprocity (to be discussed in
more detail later in the chapter). The other party makes small concessions
early in the negotiations only to ask for large, important concessions from
you near the end of the talks.
• Information overload. The other negotiator tries to overload you by provid-
ing a flood of data. This mass of information may be intimidating (there is
too much to read and understand); can be used to stall talks or manipulate
them; and may hide errors and distortions.
To cope with these strategies, be firm but reasonable. Identify the tactic being
used and warn the other party that such deceptive strategies may undermine any
hope of reaching an agreement. State that you’ll keep talking as long as he or she
appears to be genuinely interested in reaching a mutually satisfying solution.
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Perspective-Taking Skills
Understanding the other negotiator’s perspective is a valuable leadership skill.
A negotiator with high perspective-taking ability anticipates the goals and expecta-
tions of the other party. He or she can encourage concessions that lead to agree-
ment. Perspective taking reduces the defensiveness of the other negotiator and
makes him/her more conciliatory. The result is faster, more effective negotia-
tions.41 However, trying to see the other person’s point of view in a negotiation is
difficult for these reasons:
• strong emotions, such as anger, may be aroused;
• both parties may be highly committed to their positions;
• negotiators may have significantly different values, beliefs, and experiences; and
• interactants may be unequal in power, which increases uncertainty about
how the other person will respond.
Perspective taking begins before any actual negotiation. Start by gathering
information about the issues and individuals involved in the future negotiation. For
example, if you want to negotiate for more funding for your organization from the
student government, find out the amount of money available, past grants to your
group and other campus organizations, the interests of those serving on the fund-
ing committee, and other relevant facts.
Once you’ve gathered as much information as you can, role play the negotiation
by taking the part of the other negotiator. This should give you a greater under-
standing of that person’s vantage point. For instance, if you are a manager preparing
for labor negotiations, act out the role of the union negotiator. Do symbolic role
playing if you can’t physically role play. Imagine how the other party thinks and
feels in the situation. As a manager in contract negotiations, consider the relation-
ship between the union negotiator and the union membership. This person may
have to make unreasonable demands at first in order to satisfy union members.
Active listening skills are critical once the negotiation begins. Ask for clarifica-
tion when needed and paraphrase the speaker’s comments. By making an effort to
listen actively to the other negotiator, you demonstrate that you want to understand
his or her point of view. This makes conciliation more likely. (A comprehensive list
of productive negotiation behaviors is found in the research highlight in box 6.4.)
Box 6.4 Research Highlight Effective Negotiation Skills42
Researchers in a variety of fields, including communication, management, economics, law,
psychology, sociology, political science, and psychology, study negotiation. Those who want to
become better negotiators must draw on insights from many different disciplines. Michael Roloff,
Linda Putnam, and Lefki Anastasiou analyzed the results of studies from across academic fields to
develop a comprehensive list of negotiation skills. They examined projects that focused on (a)
professional negotiators or (b) successful negotiation outcomes.
(continued)
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Planning emerged as a critical negotiation skill based on Roloff, Putnam, and Anastasiou’s
analysis of the behavior of experts. Professionals who negotiate as part of their jobs are well
informed on the issues and are therefore better able to question the position of the other party
and to stay away from personal attacks. They are more flexible because they have considered a
larger range of options. Once discussions begin, professionals exercise self-control, actively seek
additional information, and keep the process from being competitive.
The researchers found that, when it comes to generating successful outcomes, the most effec-
tive negotiation behaviors vary depending on whether parties take a win-lose (distributive) or
problem-solving (integrative) orientation toward negotiation. Successful distributive negotiators
who seek to maximize their personal outcomes are tough bargainers who may mislead their
opponents. However, the distributive approach has many limitations, including unethical behav-
ior, increased resistance, and potential deadlock. Those who want to avoid the pitfalls of hard
bargaining should engage in the following behaviors instead. Roloff, Putnam, and Anastasiou
report that these skills consistently produce high-quality solutions that benefit both parties:
1. Set specific and reasonably high goals. Failure to specify objectives encourages partici-
pants to take shortcuts (split the difference) instead of working toward a creative solution.
Negotiators who set challenging goals are motivated to analyze the situation in more
detail and to come up with a win-win outcome. However, setting unrealistically high goals
makes it harder to reach integrative solutions. Discouraged participants may give up.
2. Lower goals reluctantly. Successful negotiators resist the temptation to back off their
objectives once talks begin. They recognize that giving in leads to a compromise instead of
a mutually beneficial outcome. They practice flexible rigidity, holding on to their goals but
identifying many ways these objectives can be reached.
3. Share information about priorities and make trade-offs among issues of differing
importance. Effective negotiators build momentum by logrolling. In this technique (visualize
a log rolling down a hill, gathering speed as it travels), participants build momentum by trad-
ing concessions on low priority items to get agreement on more significant issues. Successful
logrolling depends on acquiring accurate information about the priorities of the other party.
4. Be aware of and control cognitive biases. Thinking errors can undermine negotiation. The
first important bias is the mistaken assumption that the priorities of negotiators are identi-
cal. This false assumption prevents logrolling. The second error is the faulty belief that all of
the positions and priorities of the negotiators are incompatible when they are not. This fal-
lacy encourages the parties to compromise instead of reaching integrative agreements.
5. Be selectively contentious. Integrative negotiators function as problem solvers, analyzing
the issues and engaging in cooperative behaviors. However, being contentious signals that
negotiators are committed to their goals and may lead to a better understanding of the
positions of the other parties. The best negotiators take care to reduce the potential damage
that can come from contention. They are specific about their concerns and use threats spar-
ingly—to keep the negotiations moving and to avoid repeating issues. Their challenges are
focused on solutions, not on the personality of the other party or on that individual’s inter-
ests and goals. They also try not to take unsupportive comments from others personally, rec-
ognizing that these remarks may be mistakes or may be the product of poor preparation.
6. Signal concern about the opponent’s needs and interests. Effective negotiators signal
flexibility by communicating concern about the other party. They express commitment to
generating joint benefits, use “we” instead of “I” language, and create rapport through
accommodating nonverbal communication (mirroring the other person’s posture, match-
ing gestures, using appropriate facial expressions).
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Negotiation as Joint Problem Solving
As we’ve seen, effective negotiators create a cooperative atmosphere and take
the perspective of others. The most productive approaches to negotiation incorpo-
rate these two elements by viewing negotiation as a problem-solving process rather
than as a competitive tug of war. In contrast to the win-lose approach, problem-
solving negotiation fosters cooperation and focuses on generating solutions that
will meet the interests of both sides. Perhaps the best-known example of the prob-
lem-solving style of negotiation is the principled negotiation model developed by
Roger Fisher, William Ury, and associates of the Harvard Negotiation Project.43
Following the four steps of principled negotiation will help you reach a solution
that is satisfactory to both you and the other party. After you’ve read the descrip-
tion of the four steps, apply them to the case study in box 6.5.
1: Separate the People from the Problem
Avoid defining the situation as a test of wills. Focus instead on working side by
side on a common goal—resolving the issues at hand. Build trust to defuse strong
emotions and to keep conflict from escalating. Colonial activist John Woolman is
an excellent example of a negotiator who was able to tackle tough issues without
attacking the people with whom he disagreed.44 Woolman, a prominent Quaker
cloth merchant in Philadelphia, spent 30 years negotiating the end of slavery in
Pennsylvania. Woolman assumed that there was good in everyone, including slave
owners. He believed that slaveholders, rather than being evil, were “entangled” in a
corrupt system. They had been socialized to believe that blacks were lazy and
didn’t want to oppose the practice of slavery for fear of alienating their parents and
the rest of the community. Woolman was friendly and cheerful when he con-
fronted slave owners and encouraged consensus building and experimental learn-
ing. As a group, Woolman and local farmers designed an experiment that freed a
few slaves to sharecrop. The productivity of the sharecroppers was higher than that
of the slaves, proving that blacks could be just as industrious as whites. Woolman’s
“friendly disentangling” strategy paid off. By 1770 Quakers were forbidden to own
slaves, and by 1800 Pennsylvania became the only state south of New England to
make slavery illegal.
2: Focus on Interests, not Positions
A negotiating position is the negotiator’s public stance (i.e., “I want $70,000 a
year in salary from the company.”). An interest, on the other hand, is the reason
why the negotiator takes that position (“I need to earn $70,000 so that I can save
for a down payment on a house.”). Focusing on positions can blind you and the
other negotiator to the fact that there may be more than one way to meet the
underlying need or interest. The company in the example above might pay less in
salary and yet meet the employee’s need for housing by offering a low-cost home
loan. The Camp David peace treaty between Egypt and Israel demonstrates how
making a distinction between interests and positions can generate productive set-
tlements. When the two nations first sat down to negotiate with the help of Presi-
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dent Jimmy Carter in 1978, they argued over the return of the Sinai Peninsula,
which had been seized by Israel from Egypt during the Six-Day War in 1967. Egypt
took the position that all occupied lands should be returned, while Israel took the
position that only some of the Sinai should be returned to Egyptian control. As a
result, the talks stalled. However, once the negotiators realized that Israel’s real
interest was national security and Egypt’s interest lay in regaining sovereignty over
her land, an agreement was reached. Israel gave back the occupied territory in
return for pledges that Egypt would not use the Sinai for military purposes.45
Despite recent unrest in the region, the two nations remain at peace.
3: Invent Options for Mutual Gain
Spend time brainstorming solutions that can meet the needs of both negotia-
tors. Obviously, this is impossible unless you first separate the people from the
problem and focus on interests rather than on negotiating positions. Fisher and
Ury offer the following example of a creative solution, which met the interests of
both parties.
Consider the story of two men quarreling in a library. One wants the window
open and the other wants it closed. They bicker back and forth about how
much to leave it open: a crack, halfway, three quarters of the way. No solution
satisfies them both. Enter the librarian. She asks one why he wants the window
open: “To get some fresh air.” She asks the other why he wants it closed: “To
avoid the draft.” After thinking a minute, she opens wide a window in the next
room, bringing in fresh air without a draft.46
4. Insist on Objective Criteria
Find a set of criteria on which you both can agree when determining the terms
of the settlement. This reduces the possibility that one party will force the other
into accepting an unsatisfactory solution. In most cases, negotiators will be com-
fortable with an agreement that corresponds to widely accepted norms. Such stan-
dards can range from used car price books to legal precedents for insurance
settlements to industry standards for wages. Use fair procedures (taking turns,
turning to outside experts) as well. Your parents may have used one such fair pro-
cedure—the forced choice technique—to divide up cakes and pies between you
and your siblings. In this strategy one child cuts the pie and the other gets first
choice of what slice to take. This approach was used to divide deep-seabed mining
sites in the Law of the Sea negotiations. Half of the sites were to be mined by pri-
vate companies from wealthier nations and the other half by the United Nations on
behalf of poorer countries. The poorer nations worried that the more knowledge-
able private mining companies would keep the best sites to themselves. To break
the stalemate, the negotiators determined that the private firm would present the
UN group with two sites and the UN would select one. The private company then
had an incentive to present two promising locations since it didn’t know which site
it would get.
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Resisting Influence: Defending against the Power of
Mental Shortcuts
Up to this point in the chapter we’ve focused on how leaders exercise influence to
carry out their roles. Yet, leaders must resist influence as well as exert it. Succumbing
to dishonest or poorly reasoned persuasive appeals can be costly to leaders and to their
groups and organizations. Among the possible negative consequences are supporting
bad proposals, hiring the wrong employees, paying too much for goods and services,
giving to unworthy causes, and engaging in illegal (and even deadly) activities.
Arizona State University social psychologist Robert Cialdini believes that men-
tal shortcuts leave leaders and others vulnerable to unethical influence.47 In the
Box 6.5 Case Study Negotiating Homes for Students
Higgins College is a private, residential four-year liberal arts school located in a small rural
community in the Northeast. Over the past three years it has experienced a surge in enrollment,
growing from 1,400 to 1,900 students. Unable to build student housing fast enough to meet
demand, the college has purchased houses in the adjoining neighborhood as a temporary solu-
tion to its housing crisis. Unfortunately, resentment toward the college grows with each addi-
tional house it buys. Neighbors complain that student tenants are noisy and that the college lets
the condition of its properties deteriorate. Some individuals who sold their homes to the school
believe that they were paid less than full market value.
Imagine that you are the special assistant to the president at Higgins, newly hired with special
responsibility for property acquisition. You must negotiate the purchase of two additional homes
to help house this fall’s incoming freshman class, the largest in the college’s history. Higgins’ pres-
ident, a forceful personality largely credited with the college’s rapid growth, has made it clear
that this is to be your top priority. You’ve also received several e-mail messages from the student
housing director, who says she needs to know if you can complete the deal in three weeks so she
can finish housing assignments. The two most desirable properties are located next to each other
right across the street from the college’s science building. Other options are located much farther
away from campus in a more expensive area. Fearful of being “ripped off,” the owners of the
homes near the science building have hired a real estate agent to represent them in this transac-
tion. When you call the realtor to set up a meeting, you learn that members of the neighborhood
association have urged the homeowners to sell to private individuals, not to the college. You
have three days to get ready for the first negotiation session.
Discussion Questions
1. What steps will you take to build a cooperative climate?
2. Describe the perspectives of all the parties, including yourself.
3. What are the interests of both sides and how can they be met?
4. What solutions could meet the needs of both parties?
5. What objective criteria could be used to determine the terms of the settlement?
6. What alternatives does each side have to reaching a settlement? How will this influence
the likely outcome of the negotiation?
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modern age it is impossible to carefully evaluate every piece of information that
comes our way through cable and streaming television, cell phones, websites,
social media, and other channels. Faced with a flood of data, we often make deci-
sions based on a single piece of information that we believe accurately represents
the total situation—we use shortcuts to save time.48 Automatic responses produce
poor choices if advertisers and others manipulate information to their advantage.
Cialdini believes in the adage “forewarned is forearmed.” If you are aware of the fol-
lowing tactics, you are more likely to analyze persuasive attempts critically, bolster
your existing position, and develop counterarguments, all of which will help you
avoid the negative consequences that come from falling victim to manipulative
influence attempts.49 However, keep in mind that, when it comes to persuasion,
most of us have “illusions of invulnerability.”50 We believe that advertising has an
impact on others but not on us, for example. If we are to successfully resist, we
need to first acknowledge that we can fall victim to the tactics described below.
Reciprocation (Give and Take)
The rule of reciprocity (that people are obligated to return favors) appears to be a
universal guideline, which encourages individuals of every culture to cooperate with
one another. People can offer assistance to others with the confidence that they will
be repaid in the future, thus creating mutually advantageous relationships where
none existed before. Solicitors and advertisers take advantage of this basic standard of
human behavior. The March of Dimes, the Audubon Society, and other charities send
out free address labels and calendars in hopes that recipients will return the favor by
making donations. Other examples of this strategy (known as “foot-in-the-door”) are
the product representatives who line supermarket aisles on weekends handing out
samples of cheese, sausage, pizza, and other foods. Shoppers often respond by buying
the items, partly out of a sense of obligation. The reciprocal concessions strategy
(referred to as the “door-in-the-face” or “rejection and retreat” technique) is an inter-
esting variation on the theme of give and take. In this strategy, persuaders make an
extreme request and then back off, asking for less. Making a smaller request is viewed
as a concession and, as a result, targets are more likely to comply with the second
attempt. Also, the follow-up request appears more reasonable in contrast to the orig-
inal one. Cialdini and his colleagues first tested this procedure by asking strangers to
make a two-year commitment as youth volunteers. The researchers then followed up
their initial request by asking these same individuals to take children to the zoo for
two hours. To create a comparison group, they approached a separate group of
strangers with only the second request. Those who had first been asked to make the
long-term commitment were more likely to agree to go to the zoo.51
The reciprocity rule can result in unwanted debts and trigger unequal exchanges.
Concerns about the dangers of reciprocity are behind attempts to restrict gifts from
lobbyists. Accepting meals, golf outings, and overseas junkets can put legislators in
debt to special interest groups.
Cialdini outlines three strategies for resisting the power of reciprocity. One,
turn down initial favors. Some political candidates refuse large contributions, for
instance, and universities return gifts from controversial donors. Two, do not feel
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obligated to return favors that are tricks, not genuine favors. Three, turn the tables
on unethical influencers by exploiting the exploiters. Take the free gift—a cracker,
a free weekend visit at a time-share resort, a road atlas—and walk away without
giving anything in return.
�
Nothing is more costly than something given free of charge.
—Japanese saying
Commitment and Consistency
This shortcut is based on the desire to appear consistent with previous choices
and actions. Consistency prevents feelings of dissonance while reducing the need
to think carefully about an issue after making a choice. Commitment goes hand in
hand with the drive for consistency. Once we’ve made a commitment, no matter
how small, we want to remain consistent with that decision or action. Using small
commitments to leverage bigger ones is called the “foot-in-the door” strategy.
One sobering example of the effectiveness of the foot-in-the-door technique
came during the Korean War. People were shocked by the fact that many captured
U.S. soldiers readily informed on one another and offered other help to the enemy.
This collaboration was not forced through torture or harsh treatment; it was the
product of a series of small commitments. First, the captors convinced their pris-
oners to agree to such statements as “the United States is not perfect.” Interroga-
tors then asked these same men to make a list of problems in the United States and
to sign their names. These lists were shown to other prisoners, and the prisoners
wrote essays expanding on the nation’s weaknesses. Later the names and essays
were broadcast to other POW camps and U.S. soldiers still fighting in South Korea.
Now the prisoners were publicly identified as collaborators. Knowing that they had
written their statements without strong coercion, the captives began to live up to
the “collaborator” label, giving further aid to their jailers. Their small commitments
had led to significant changes in their self-images.
Voluntary, public decisions increase the commitment of people who made the
choice. They can’t attribute their behavior to outside pressures. Consider the popu-
larity of college hazing rituals, for example. Sorority and fraternity pledges (of their
own free will) publicly commit themselves to a particular Greek affiliation. When
they are subsequently subjected to strenuous—and perhaps dangerous—initiation
ceremonies, they become even more committed. Despite the efforts of many col-
lege administrators, the new inductees continue the tradition and insist that future
pledges go through similar initiation rites. Voicing concern about the initiation
hazing could be interpreted as inconsistent with the previous commitment to the
sorority or fraternity. Having endured an unpleasant experience, there is a desire to
embrace the commitment even more strongly. Hazing isn’t limited to Greek societ-
ies, however. A Florida A&M marching band drum major died of injuries suffered
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during a hazing ritual that took place despite previous hazing injuries and lawsuits
as well as continual warnings from the university that hazing was illegal.52
Your best defense against the pull of commitment and consistency is listening
to internal signals. Being trapped into complying with an undesirable request pro-
duces a tight, queasy stomach. Respond to these feelings by drawing the attention
of the persuader to the tactic being used and to the faulty logic of being consistent
for consistency’s sake. Your heart can also signal when you are in danger of being
taken advantage of. Ask yourself: “If I could go back in time, would I make the
same choice again?” If you wouldn’t make the same decision twice, then don’t make
it in the first place.
�
Moderation in temper is always a virtue,
but moderation in principle is always a vice.
—Thomas Paine
Social Proof (Validation)
Social proof refers to deciding how to act based on what others are doing. Tele-
vision producers use laugh tracks, for example, to convince viewers that situation
comedies are funny. Campaign managers hope to pick up additional support by
trumpeting the fact that their candidates are leading in the polls. Publishers tout
their books as best-sellers. Readers of Yelp online reviews consider the number of
“friends” a reviewer has on the site when judging the credibility of the posting.53
Social proof exerts the most influence when we observe others who are similar to
us (the same age or social class, for example) and in ambiguous situations when
observers don’t know how to interpret information. Take the case of someone lying
on a busy city sidewalk. This individual could be drunk, asleep, or sick. A drunk or
sleepy person can be ignored; an individual with a medical emergency needs help.
To determine how to respond, pedestrians look around and see how others react. If
other passers-by stop to help, they are more likely to offer assistance as well. The
influence exerted by social proof can be deadly. Members of Heaven’s Gate (the
Hale-Bopp cult) committed mass suicide in response to social pressure from other
members of their group. Stories of homicides can stimulate copycat murders.
Social proof has less impact when you recognize that influencers are making
false claims and/or creating false impressions. For instance, producers of infomer-
cials pay actors to participate in “spontaneous” demonstrations designed to con-
vince us that cosmetics and other products are effective and easy to use. Supporters
of the president pack the gallery during the State of the Union address and applaud
at every opportunity, hoping to make the chief executive look more popular. In addi-
tion to being on the lookout for misleading influence attempts, you can also increase
your resistance to this shortcut by periodically testing the crowd’s reactions against
established facts as well as against your past experiences and personal judgments.
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Liking
As targets of influence, we are more swayed by people we like. Celebrities take
advantage of this fact by marketing to their Instagram followers. The Tupperware
Corporation has representatives sell to friends and neighbors. The company has
largely moved from the U.S. market to cultures in Latin America, Asia, and Europe
where friends and family exert a stronger influence over behavior. Liking is based
on a variety of factors, including: (1) physical attractiveness (attractive people are
more likely to get elected, hired, and paid more money); (2) similarity (in appear-
ance, attitude, nonverbal behavior, ethnic background); (3) compliments (flattery,
praise); (4) familiarity and frequent cooperative contact; and (5) association with
positive events and people (winning sports teams, celebrities).
Preventing liking is almost impossible. The key, according to Cialdini, is to
determine if you like someone too much given the circumstances and to separate
the merits of the proposal from the person. Ask yourself, for example: “Am I ignor-
ing a lower bid just because I like another contractor better?” “Do I support an appli-
cant for a job opening only because he or she shares the same ethnic background as
me?” “Do I find it hard to say ‘no’ to a request when I’ve received compliments first?”
If you say “yes” to any of these questions, you need to reconsider your choices.
Authority
Receivers frequently overlook the content of the message and respond instead
based on status cues like titles, clothes, nice jewelry, and fine automobiles. The
higher the perceived status of the persuader, the more likely it is that targets will
comply. In one investigation, for example, hospital nurses were telephoned by a
“doctor” (really an experimenter) they had never met who told them to administer
a large amount of an unauthorized drug to a patient. Despite the fact that prescrib-
ing medications over the phone was expressly forbidden by hospital policy and the
drug was not cleared for use, 95% of the nurses went straight to the patient’s room
to administer the dosage, only to be stopped by the researchers.54
The best way to undermine the influence of authority is to engage in critical
thinking. Consider whether the person is truly an expert on the topic at hand. Con-
sider too whether this person will likely be truthful in this situation (see our earlier
discussion of trustworthiness). Be on guard against those who will benefit person-
ally if you go along with their recommendations and be wary of those who appear
to argue against their interests in order to secure your compliance.
Scarcity
Scarcity appeals are a staple of advertising. Television offers are good only if
viewers call now, supermarket ads run for one week only, the most popular holiday
toys always seem to be in short supply, and some furniture outlets always seem to
be going out of business. Online travel sites also capitalize on the power of scarcity,
noting that there are only a few airline seats or hotel rooms still available at a bar-
gain price. Retailers recognize that items appear more valuable when they appear
to be less available. Two principles underlie this mental shortcut. The first is the
belief (often supported by experience) that opportunities in short supply are better
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than common ones. The second is that people react against any attempt to limit
their freedoms, particularly when something is newly scarce or when competition
develops. Notice how fast lines form at service stations at the first hint that sup-
plies of gas will be running low before a major storm, for example, and how shop-
pers fight over limited supplies of the “hot” Christmas gift. Attempts to restrict
information can have a similar effect. Censoring information makes it more desir-
able and believable. Further, influence targets are more persuaded by the thought
of losing something than by the thought of gaining an advantage. For example,
business managers making decisions are more concerned about what they might
lose than what they might gain from their choices.
Scarcity generates physical arousal (i.e., increased blood pressure and adrena-
line), making a rational response difficult. The best way to defend against physio-
logical arousal is to calm the nervous system. Take a break in the negotiations or
refuse to commit to a major decision until thinking about it overnight. Realize, too,
that limited availability doesn’t make an object any better. If you want the car, prop-
erty, or service for its function to you or your organization, its ultimate usefulness
should determine how much you pay for it, not its scarcity. Forgetting this princi-
ple has been costly to the owners of sports teams. Bidding against other owners for
players encourages these leaders to pay too much for free agents. Often they lose
sight of the fact that, despite the scarcity of good talent, no player is worth the cost
if his or her signing means the franchise will lose money.
Unity
Considering someone to be part of our group makes us much more open to
their influence.55 These group relationships can be built on kinship or on physical
proximity—place, home, or region. Consider, for example, how millions of viewers
“cheer for the flag” at the Olympics. They root for the athletes representing their
countries even though they know little about these individuals or the sports they are
competing in. Acting together through song, chants, marches, prayers, and dances
also creates a feeling of unity, fostering liking and the desire to support others. Creat-
ing with others (through group projects, for instance) increases collaboration and
willingness to share credit. Giving advice links individuals to a brand or organization.
Life would be much poorer without kinship and geographical bonds. Acting in
harmony with others by dancing at a concert, cheering at a sporting event, or
kneeling for prayers at a religious service is an important element of the human
experience. However, be alert to unscrupulous influencers who take advantage of
the unity shortcut. Beware of businesses and nonprofits that use terms like “fam-
ily,” “brothers,” “sisters,” and “heritage” to create relationships with you where none
exist. And relationships are no protection against deception. Affinity fraudsters
take advantage of their group membership to sell useless investments to their
friends, neighbors, professional colleagues, and fellow veterans. Guard against
being swept up in illegal or unethical activities when acting in a group. Make sure
an organization’s request for advice is honest attempt to gather information and
not a ploy to get you to buy a product or service.
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CHAPTER TAKEAWAYS
• Credibility, which is built on perceptions of our competence, trustworthiness,
and dynamism, is the key to any successful influence attempt.
• Enhance your credibility through self-presentation behaviors that establish com-
monalities with your audience and distance yourself from untrustworthy groups.
Avoid jargon and modify your nonverbal behaviors (appearance, voice, posture,
eye contact). Build quality relationships with followers through discovering
yourself, increasing your skills and confidence, appreciating constituents, affirm-
ing shared values, developing capacity, serving a purpose, and sustaining hope.
• Compliance-gaining strategies are the verbal tactics used to influence others in
face-to-face encounters. In the interpersonal context, use “friendly persuasion”—
positive strategies that put you and the other party in a positive frame of mind.
As a leader in the organizational context, take a rational yet flexible approach.
Offer reasons for compliance but switch tactics when appropriate.
• Avoid hard tactics like applying pressure or appealing to authority, whenever
possible. These strategies may gain compliance but often at the expense of long-
term commitment. Instead, use a combination of soft tactics (consulting with
others, pointing out benefits, putting the other person in a good mood, arousing
enthusiasm), which often work better together than alone. However, be careful
not to mix incompatible strategies like applying pressure while trying to put the
other person in a good mood.
• Argumentation involves controversy and extended discussion over issues. Never
confuse argument with verbal aggression, which attacks the self-worth of oth-
ers. Argumentation produces a wide array of positive outcomes; verbal aggres-
sion is destructive.
• In order to sway others to your point of view, you will need to avoid aggression
and to develop argumentative competence. Argumentative competence consists
of stating the controversy in propositional form, inventing arguments, present-
ing and defending your position, attacking other positions, and managing inter-
personal relations.
• Negotiation is back-and-forth communication aimed at reaching a joint decision
when people are in disagreement. The most effective negotiations generate solu-
tions that benefit both parties. To reach integrative (win-win) agreements, build
a cooperative atmosphere, take the perspective of the other person, and view the
discussion as a problem-solving process.
• Joint problem-solving negotiation involves separating the people from the prob-
lem, identifying the interests of each party, brainstorming options for mutual
gain, and basing the settlement on objective criteria.
• As a leader, you’ll need to resist influence as well as exert it. Mental shortcuts can
lead to poor choices. Be prepared to resist manipulative influence tactics that
appeal to: the principle of reciprocation (give and take), the desire for consis-
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tency, social proof/validation (looking to others), liking, authority, the principle
of scarcity, and the illusion of unity.
APPLICATION EXERCISES
1. Evaluate Your Credibility
Rate your credibility on form 1 below. Place an X along the continuum
between each pair of words. You may want to evaluate yourself based on your
image in a particular situation. For example: how competent, trustworthy, and
dynamic do you appear in class or at your job? Next, have someone else rate
you on form 2, while you evaluate that person. After you have finished your
evaluations, discuss your reactions to this exercise. Were you surprised at how
your partner rated you? Pleased? Displeased? Why did you rate yourself as you
did? Would others rate you the same way?
Form 1: Self-Analysis56
Competence
Experienced ___ ___ ___ ___ ___ ___ ___ Inexperienced
Informed ___ ___ ___ ___ ___ ___ ___ Uninformed
Skilled ___ ___ ___ ___ ___ ___ ___ Unskilled
Expert ___ ___ ___ ___ ___ ___ ___ Inexpert
Trained ___ ___ ___ ___ ___ ___ ___ Untrained
Trustworthiness
Kind ___ ___ ___ ___ ___ ___ ___ Cruel
Friendly ___ ___ ___ ___ ___ ___ ___ Unfriendly
Honest ___ ___ ___ ___ ___ ___ ___ Dishonest
Sympathetic ___ ___ ___ ___ ___ ___ ___ Unsympathetic
Dynamism
Assertive ___ ___ ___ ___ ___ ___ ___ Hesitant
Forceful ___ ___ ___ ___ ___ ___ ___ Meek
Bold ___ ___ ___ ___ ___ ___ ___ Timid
Active ___ ___ ___ ___ ___ ___ ___ Passive
Form 2: Partner Rating
Competence
Experienced ___ ___ ___ ___ ___ ___ ___ Inexperienced
Informed ___ ___ ___ ___ ___ ___ ___ Uninformed
Skilled ___ ___ ___ ___ ___ ___ ___ Unskilled
Expert ___ ___ ___ ___ ___ ___ ___ Inexpert
Trained ___ ___ ___ ___ ___ ___ ___ Untrained
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Trustworthiness
Kind ___ ___ ___ ___ ___ ___ ___ Cruel
Friendly ___ ___ ___ ___ ___ ___ ___ Unfriendly
Honest ___ ___ ___ ___ ___ ___ ___ Dishonest
Sympathetic ___ ___ ___ ___ ___ ___ ___ Unsympathetic
Dynamism
Assertive ___ ___ ___ ___ ___ ___ ___ Hesitant
Forceful ___ ___ ___ ___ ___ ___ ___ Meek
Bold ___ ___ ___ ___ ___ ___ ___ Timid
Active ___ ___ ___ ___ ___ ___ ___ Passive
2. Credo Memo
To help you develop your leadership philosophy, complete the following exer-
cise developed by James Kouzes and Barry Posner.
Imagine that your organization has afforded you the chance to take a six-month
sabbatical, all expenses paid. You will not be permitted to communicate to any-
one at your office or plant while you are away. Not by letter, phone, fax, e-mail,
or other means. But before you depart, those with whom you work need to
know the principles that you believe should guide their decisions and actions in
your absence. They need to know the values and beliefs that you think should
steer the organization while you’re away. After all, you’ll want to be able to fit
back in on your return.
You are not to write a long report, however. Just a one-page “Credo Memo.”
Get a single sheet of paper and write that memo.
It usually takes about five to ten minutes to write a Credo Memo. We do not
pretend that this exercise is a substitute for more in-depth self-discovery, but it
does provide a useful starting point for articulating your guiding principles. To
deepen the clarification process, identify the values you listed in your memo
(usually they appear as key words or phrases) and put them in order of priority.
Or rank them from low to high. Or place them on a continuum. Forcing yourself
to express preferences enables you to see the relative potency of each value.57
3. In a research paper, evaluate the credibility of a well-known leader. Rate this
individual on each of the three dimensions of credibility. Support your evalua-
tion with examples, experts, and other evidence. Draw conclusions about why
this person succeeded or failed in establishing and maintaining her or his credi-
bility. Identify insights that you can apply to building your credibility as a leader.
4. Provide an example of how you might use each of the 11 influence tactics (pp.
184–186) in your organization. Record your responses in the space provided:
• Rational persuasion
• Apprising
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• Inspirational appeal
• Consultation
• Collaboration
• Ingratiation
• Personal appeal
• Exchange
• Coalition tactic
• Legitimating tactic
• Pressure
5. Analyze your effectiveness as a compliance gainer both in an interpersonal and
in an organizational setting. Describe a recent situation in which you were the
persuader in an interpersonal encounter and as an organizational leader or fol-
lower. Which strategy or combination of strategies did you use in each situa-
tion? Did they differ? Why did you choose those tactics? How successful were
your efforts? Were you more effective in one context than the other? What
would you do differently next time? As an alternative, analyze your efforts to
express upward dissent.
6. Think of a time when you had an enjoyable argument with someone over a
controversial issue, one that stimulated your thoughts and interest. Briefly
describe that argument. Now think of a time when you had an unpleasant
argument that resulted in hurt feelings and may have damaged the relation-
ship. Briefly describe that situation. Was the first discussion an example of gen-
uine argument and the second a case of verbal aggression? Why or why not?
7. Participate in a debate in class. Your instructor will give you the topic and
ground rules. Use the inventional system presented in box 6.3 to construct
your argument. When the debate is complete, evaluate your performance
using the guidelines presented in the chapter.
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8. Record a political talk show and then evaluate the evidence and reasoning of
the host and callers. Identify examples of faulty evidence and reasoning and
share your recording and analysis in class.
9. Prepare for a negotiation using material presented in the chapter. Outline spe-
cific steps for putting these strategies and skills into action.
10. Analyze an infomercial to identify its unethical, poorly reasoned persuasive
appeals. As an alternative, identify similar appeals found in all the commercials
that appear during a one-hour television broadcast.
CULTURAL CONNECTIONS: NEGOTIATION IN INDIA58
The fact that India is a major trading partner of the United States and many
European countries means that many American and European business people will
find themselves negotiating with their Indian counterparts. Rajeesh Kumar and
Kumar Sethi outline a number of key features of the Indian approach to negotia-
tion—elements that can frustrate Western bargainers. For example, Indian manag-
ers see the negotiation process as a problem-solving exercise and seek the ideal
solution. As a consequence, Indians spend a lot of time gathering information,
which slows the negotiation down. The slow pace is troubling to Westerners but
not so much to Indians who have a more relaxed (elastic) view of time. Driven by
the desire to reach the highest quality solution, Indian negotiators are often highly
critical of the position of the other party and can be reluctant to make concessions.
Indian representatives, because they live in a society with scarce resources, are also
very concerned with receiving their fair share of the settlement. They may also
insist that the foreign partner take into consideration the poverty in India, arguing
that they can’t pay the asking price for, say, a new technology or a drug. Contracts
aren’t written as precisely as they are in Europe or North America because collec-
tivist Indian society relies more on relationships when conducting business. Any
attempt to enforce the terms of a contract is likely to get bogged down in the noto-
riously slow Indian legal system.
Kumar and Sethi offer some suggestions to Western negotiators doing busi-
ness in India. First, to reduce the reluctance of the Indian party to yield, they
should be as open as possible, remain humble, and try to establish good relation-
ships with Indian business people who want to work with those they consider
“friends.” Second, Western managers shouldn’t argue about high expectations but
subtly work to reduce them and introduce a broader perspective by, for instance,
comparing this project with other, similar projects. Third, Western bargainers
should strive for fairness based not on adherence to a contract, but on the distribu-
tion of outcomes. This is particularly important in India where a great many fac-
tors are beyond the control of the Indian negotiator, such as poor infrastructure,
power outages, and political instability. Flexibility in response to these issues will
help build relationships with Indian managers.
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LEADERSHIP ON THE BIG SCREEN: WOMAN IN GOLD
Starring: Helen Mirren, Ryan Reynolds, Katie Holmes, Daniel Bruhl
Rating: PG-13 for mature themes
Synopsis: Sixty years after fleeing persecution in Austria, Maria Altman (played by
Helen Mirren) wants to reclaim a portrait of her aunt stolen by the Nazis. She
enlists the services of the grandson of a family friend to help her. The struggling
young lawyer, Randy Schoenberg (Reynolds), has no experience in reclaiming art.
Further, the painting, Woman in Gold by Gustav Klimt, is an Austrian cultural
icon, described as the “Austrian Mona Lisa.” Museum and government leaders have
no intention of giving it back. Altman and Schoenberg, with the help of a Viennese
journalist (Bruhl), build a case for restitution in Austria, only to be rebuffed. They
then turn to the US legal system for help. Randy convinces the United States
Supreme Court to allow Maria to sue the Austrian government for the painting’s
return. Later an Austrian arbitration board rules that the Woman in Gold should
be returned to Altman, who then sells the painting for $135 million to a New York
art gallery. An estimated 100,000 pieces of art taken by the Nazis, mostly from
Jews, have yet to be returned to their rightful owners.
Chapter Links: credibility, compliance gaining, argumentative competence, negotiation
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�����
7
Leadership in Groups and Teams
�
The well-run group is not a battlefield of egos.
—Lao Tzu
�
OVERVIEW
Fundamentals of Group Interaction
Viewing Groups from a Communication Perspective
Group Evolution
Emergent Leadership
How Not to Emerge as a Leader
Useful Strategies
Appointed vs. Emergent Leaders
Leadership in Meetings
Group Decision Making
Functions and Formats
Avoiding the Pitfalls
Team Leadership
When Is a Group a Team?
Developing Team-Building Skills
Project Leadership
Leading Virtual Teams
Team Coaching
213
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Small groups play a major role in all of our lives. Every week we are members of
planning committees, dorm councils, social clubs, condominium associations, and
countless other groups. Often our most enjoyable memories are of group experi-
ences like playing on a winning softball team or developing a new product on a task
force. Yet, at the same time, some of our greatest frustrations arise out of group inter-
action. Many classroom project groups, for example, get low grades because group
members dislike one another. In other instances, members fail to show up for meet-
ings, leaving one person to do most of the work on the project at the last minute.
The purpose of this chapter is to improve your chances of having a productive
group experience by building your understanding of group and team leadership.
There are no formulas to guarantee that you will become a group leader or that
your group will be successful. However, learning about how group leadership
works can increase the likelihood that both will happen. We’ll start by looking at
some fundamentals of group behavior and then talk about emergent leadership,
leading meetings, decision making, and team leadership.
Fundamentals of Group Interaction
As you read this book you may be learning a number of new terms, or you may
be discovering new meanings for familiar terms. The symbols we master during our
academic training focus our attention on some parts of the world and away from oth-
ers. Kenneth Burke calls this focusing influence of language the “terministic screen.”1
Phillip Tompkins describes the following case of terministic screens in action:
For example, suppose we assemble an economist, a psychologist, and a sociolo-
gist in the college cafeteria and ask each to give explanations of food choices
made by a customer. Suppose further that the customer we observe happens to
select custard rather than either cake or pie. The economist might explain that,
because custard is less “labor intensive” and therefore cheaper than the other
desserts, it was the only dessert the customer could afford. The psychologist
might explain the choice by means of the customer’s history; for instance, he or
she might say that the customer’s “past reinforcement schedule” provides the
answer. The sociologist might explain the choice by pointing to the “ethno-social
background” of the customer and showing how different classes of people favor
different desserts. . . . Thus, the terministic screen of vocabulary causes each to
focus on elements and interpretations of the situation to the exclusion of others.2
Viewing Groups from a Communication Perspective
The terministic screens of academic languages operate when scholars from
different disciplines study groups. Psychologists, for example, are often interested
in the personalities of group members and focus on how these characteristics
shape group behaviors and outcomes. Sociologists pay attention to other factors
like the social status of group members. Communication scholars are most inter-
ested in the communication that occurs within groups, which they label as interac-
tion. They argue that group success or failure often rests most heavily on what
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group members say and do when the group is together rather than on what group
members bring with them to the discussion.
Supreme Court decisions are good examples of how group outcomes can’t nec-
essarily be predicted by knowing the characteristics of members. Presidents try to
influence Supreme Court decisions by appointing justices who favor either a conser-
vative or liberal point of view. They are frequently surprised when their appointees
violate their expectations after deliberating with other justices. In your own experi-
ence, there probably have been times when you went into a group meeting with your
mind made up only to change your opinion as a result of the discussion. From a
communication perspective, then, any definition of a group must take into account
that communication is the essential characteristic of a group. A survey of small
group communication texts reveals that the following elements define small groups.3
A common purpose or goal. A group is more than a collection of individuals.
Several people waiting for a table at a restaurant would not constitute a group.
Group members have something that they want to accomplish together, whether it
is to overcome drug dependency, to decide on a new site for a manufacturing plant,
or to study for an exam. As an outgrowth of this common goal and participation in
the group, a sense of belonging or identity emerges. For example, in the cohort
instructional model where the same students take all of their classes together, indi-
viduals start out as strangers but frequently develop deep relationships. They may
buy shirts with the name of the class imprinted on the back, friend each other on
Facebook, and stay in touch long after their academic program is over.
�
Cooperation can be set up, perhaps, more easily than competition.
—B. F. Skinner
Interdependence. The success of any one member of the group depends on
everyone doing his or her part. When student group members fail to do their fair
share of the work, the grade of even the brightest individual goes down. Interde-
pendence is reflected in the roles that members play in the group. One person may
gather materials for the meeting; another may take notes; a third may keep the
group focused on the task.
Mutual influence. Not only do group members depend on each other, they
influence each other through giving ideas, challenging opinions, listening, agree-
ing, and so on.
Ongoing communication. In order for a group to exist, members must engage
in regular communication. For example, although employees working on an
assembly line share the common goal of producing a product, they do not consti-
tute a group unless they interact with one another.4 Group members in the same
location engage in face-to-face communication. Workers at different sites are
linked through e-mail, online meetings, videoconferences, and telephone calls.
(We’ll have more to say about dispersed or virtual teams later in the chapter.)
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Specific size. Groups range in size from 3 to 20 people. The addition of a third
person makes a group more complex than a dyad. Group members must manage
many relationships, not just one. They develop coalitions as well as sets of rules or
norms to regulate group behavior. The group is also more stable than a dyad.
While a dyad dissolves when one member leaves, the group (if large enough) can
continue if it loses a member or two. Twenty is generally considered the maximum
size for a group because group members lose the ability to communicate face-to-
face when the group grows beyond this number.
John Cragan, Chris Kasch, and David Wright summarize the five elements
described above in their definition of a small group: “A few people engaged in com-
munication interaction over time, usually in face-to-face and/or computer-medi-
ated environments, who have common goals and norms and have developed a
communication pattern for meeting their goals in an interdependent manner.”5
Group Evolution
Groups change and mature over time. A number of models that describe the
evolution of groups have been offered. The Tuckman Model appears to be the most
widely used.6 According to Tuckman, groups of all types go through four phases. In
each phase the group addresses both relational and task issues. In the initial form-
ing stage, members are discovering what behaviors are acceptable and how much
independence the group has. At the same time, they are getting oriented to the task
and figuring out the ground rules for tackling the problem. The storming phase is
marked by conflict as members express their individuality and may resist the for-
mation of the group. They push back against demands the group’s task will place on
them. This resistance is overcome in the third stage—norming, Members begin to
accept each other and develop norms or rules for interacting. They openly share
information about themselves and the task. In the fourth stage, performing, they
focus on addressing the assignment. Group structure is set, members take on roles
to complete the work and solutions emerge. Tuckman later added a fifth stage—
adjourning—that incorporates completion of the task and the end of the group.
Not everyone is convinced that groups develop through a single series of
phases. For example, Marshall Scott Poole argues that groups go through multiple
stages of development.7 Poole suggests that at any given time a group may be at one
point in its social development and at another in its task development. One group
might start by proposing solutions and stop later to socialize, while another group
might build relationships before tackling the task. Important moments of change
in a group’s development are called breakpoints. These breakpoints can involve
naturally occurring topic changes, moments of delay, or, most seriously, disrup-
tions caused by conflict or failure. Consensus about who the leader is will result in
fewer delays and disruptions in the group’s decision-making process.
Though scholars may describe the process in different ways, the concept of
group evolution has important implications. First, timing is critical. It’s not just
what you say, it’s when you say it. A good proposal made too early in the discus-
sion, for instance, may not be accepted. Second, since groups take time to develop
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successfully, any attempt to rush a group’s development is likely to meet with fail-
ure. Third, effective groups are characterized by a high degree of cohesion and
commitment. Consensus both speeds the development of groups and is the prod-
uct of effective group interaction. Finally, the evolution of groups suggests that
group leadership also develops in stages or as a process.
Emergent Leadership
Ernest Bormann and others at the University of Minnesota studied emergent
or “natural” leadership in small groups.8 The researchers found that the group
selects its leader by the method of residues. Instead of choosing a leader immedi-
ately, the group eliminates leader contenders until only one person is left. Although
all members enter the group as potential leaders, contenders are disqualified until
only one leader emerges.
According to Bormann and others, the elimination of potential leaders occurs
in two phases. In the first phase, those deemed unsuitable for leadership are
quickly removed from contention. Unsuitable candidates may be too quiet or they
may be too rigid and aggressive. Many would-be leaders stumble because they
appear to be unintelligent and uninformed. Once these cuts have been made, the
group then enters the second phase. At this point, about half the group is still
actively contending for leadership. Social relations are often tense during this
stage. Communication behaviors that lead to elimination in phase two include
dominating other group members and talking too much. Such factors as social
standing outside the group may be used to eliminate other aspiring leaders.
Four major patterns of leader emergence were found in the Minnesota studies.
In the first pattern, the ultimate winner recruits an ally or “lieutenant” who helps
him or her win out over another strong contender. In the second pattern, each of
the remaining contenders has a lieutenant and, as a result, the leadership struggle
is prolonged, or no strong leader emerges. In the third pattern, a crisis determines
leader emergence. The successful leader is the person who helps the group handle
such traumatic events as unruly members or the loss of important materials. In the
fourth pattern, no one emerges as a clear leader. The result is a high level of frustra-
tion. People find such groups to be “punishing.”9
The Minnesota researchers seem to rule out the possibility that more than one
person can act as a group leader or that leadership tasks can be shared among
group members. While the emergence of a single leader may be the norm for most
groups, there are times when two or more individuals share the functions of lead-
ership, as described in chapter 3.
How Not to Emerge as a Leader
Since natural leaders emerge through the process of elimination, it can be use-
ful to identify those behaviors that virtually guarantee you won’t become the
group’s leader. B. Aubrey Fisher and Donald Ellis offered the following “rules” for
those who want to secure a low-status position in the group.10
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Rule 1: Be absent from as many group meetings as possible. Don’t explain why you
didn’t attend.
Rule 2: Contribute very little to the interaction.
Rule 3: Volunteer to be the secretary or the record keeper of your group’s discussion.
This is an important role, but a recorder or secretary rarely ends up as the
group’s leader.
Rule 4: Indicate that you are willing to do what you are told. While disinterest
guarantees avoiding leadership responsibilities, subservience is not per-
ceived as a leadership quality.
Rule 5: Come on [too] strong early in the group discussions. Be extreme; appear
unwilling to compromise.
Rule 6: Try to assume the role of joker. Make sure your jokes are off the topic and
never let on that you are serious about anything.
Rule 7: Demonstrate your knowledge of everything, including your extensive vocab-
ulary of big words and technical jargon. Be a know-it-all and use words that
others in the group won’t understand.
Rule 8: Demonstrate a contempt for leadership. Express your dislike for all kinds of
leaders and the idea of leadership itself.
Avoiding the behaviors identified by Fisher and Ellis works in the reverse and
increases the possibility of eventually emerging as the leader of a group.
Useful Strategies
Identifying negative behaviors that eliminate leader contenders is easier than
isolating positive behaviors that are essential to leadership emergence. However,
the following communication strategies can boost your chances of emerging as a
group leader.
Participate early and often. The link between participation and leadership is the
most consistent finding in small group leadership research.11 Participation demon-
strates both your motivation to lead and your commitment to the group. Impressions
about who would and would not make a suitable leader begin to take shape almost
immediately after a group is formed.12 Begin contributing in the group’s first session.
Focus on communication quality as well as quantity. Frequent participation
earns you consideration as a leader. However, communicating the wrong mes-
sages—rigidity, contempt, irrelevance—can keep you from moving into the leader-
ship position. Communication behaviors that are positively correlated with
emergent leadership include: setting goals, giving directions, managing tension
and conflict, and summarizing.13 Not only is quality communication essential to
becoming a leader, but effective leadership communication helps the group as a
whole. Groups are most likely to make good decisions when their most influential
members facilitate discussion by asking questions, challenging poor assumptions,
clarifying ideas, and keeping the group on track.14 (We’ll have more to say about
group decision making later in the chapter.)
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Demonstrate your competence. Not surprisingly, the success of would-be
leaders depends heavily on their ability to convince others that they can success-
fully help the group complete the job at hand. Doing your homework in prepara-
tion for a project, for example, gives your leadership bid a major boost. Along with
competence, you will also need to demonstrate your character and dynamism.
Group members want to know that the leader candidate has the best interests of
the group in mind and is not manipulating the group for personal gain. Being
enthusiastic and confident makes other members more receptive to your sugges-
tions and ideas. As we noted in chapter 6, nonverbal communication plays an
important role in building perceptions of all three dimensions of credibility. One
study of the nonverbal behaviors of emergent small group leaders found that they
gestured frequently, established good eye contact, and expressed agreement
through nodding and facial expressions.15
Help build a cohesive unit. You must also demonstrate that you want to coop-
erate with others if you want to become a group leader. Successful leader candi-
dates pitch in to help, work to build the status of others, and don’t claim all the
credit for decisions.
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The path to greatness is along with others.
—Baltasar Gracian
Appointed vs. Emergent Leaders
In many cases, a leader is assigned to a group before it meets for the first time.
As you might have discovered from personal experience, groups are often success-
ful in spite of, not because of, their official leaders. Many appointed leaders fail to
function as leaders; in addition, an incompetent leader slows group progress
because members must spend time and energy developing alternative leadership.
Groups spend less time on leadership issues if the appointed leader earns the
leader label by doing an effective job.16
Researchers comparing the impact of assigning or choosing leaders have dis-
covered that followers expect more from natural leaders than appointed leaders.
Since they have more invested in leaders that they have selected for themselves,
members have higher expectations and tolerate less failure. Yet, at the same time,
group members give natural leaders more room to operate. Emergent leaders have
greater freedom to make decisions on behalf of the group.17
Consultant Susan Wheelan encourages appointed leaders to adjust their lead-
ership style to the group’s stage of development.18 In a new group, members
haven’t yet had time to organize so they expect the leader to provide structure. At
this point leaders need to give direction and communicate that they are confident
that the group will succeed. As group members become more comfortable, the
leader should delegate more power to them, avoiding the temptation to take chal-
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lenges to authority personally while opening up discussion about group conflicts.
Many leadership functions (assigning tasks and reports, meeting with outsiders)
ought to be shared with team members when the group is fully organized and
functioning effectively. In mature groups, leaders can function as expert team
members who continuously monitor collective performance.
One of the most common assignments for appointed group leaders is to plan
and preside over meetings, the subject of the next section.
Leadership in Meetings
For many people, the thought of attending a meeting conjures up images of
long, boring sessions spent doodling on a notepad while endless amounts of useless
information are presented. The reason for this negative impression of meetings is
simple: most meetings are poorly planned and ineptly led. That’s unfortunate
because U.S. workers spend lots of time in meetings. An estimated 11 million
meetings take place each day; middle managers spent 35% of their time in meet-
ings, upper management 50%.19 Effective meeting leaders plan and prepare before
a meeting to be certain that the content is both informative and useful. Adopting
the following guidelines can help to ensure that your meetings are successful.
Determine if a meeting is necessary before calling people together. The first
step before calling a meeting is to determine if you are justified in taking people away
from other activities. Bert Auger, a supervisor with the 3M Corporation for over 30
years, provides a checklist outlining when you should and should not call a meeting.20
When to Call a Meeting
• Organizational goals need clarification.
• Information that may stimulate questions or discussion needs to be shared.
• Group consensus is required regarding a decision.
• A problem needs to be discovered, analyzed, or solved.
• An idea, program, or decision needs to be sold to others.
• Conflict needs to be resolved.
• It is important that a number of different people have a similar understand-
ing of the same idea, program, or decision.
• Immediate reactions are needed to assess a proposed problem or action.
• An idea, program, or decision is stalled.
When Not to Call a Meeting
• Other communication networks, such as telephone, video conference, e-
mail, letter, or memo will transmit the message as effectively.
• There is not sufficient time for adequate preparation by participants or the
meeting leader.
• One or more of the key participants are not available.
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• Issues are personal or sensitive and could be handled more effectively by
talking with each person individually.
Have a clear agenda. A leader should outline the items he or she wishes to
address before a meeting begins. Dividing a meeting into thirds is an effective way
to structure an agenda. Devote the first third of the meeting, the warm-up phase,
to announcements and items that are easy to decide. Tackle the most difficult
issues during the middle third of the agenda, when the group is at peak function-
ing. During the final third of the session, “cool down” by addressing items that are
up for discussion but not decision.21 A copy of this agenda should be circulated
well in advance of the meeting. Participants should be encouraged to add items to
the agenda (within reason) that they feel are important. The agenda should be con-
structed with time constraints in mind. Additions that greatly increase the number
of topics to be discussed should be tabled or scheduled for a separate meeting.
Remember, it is the leader’s responsibility to decide how much meeting time is
available and to keep the meeting on schedule. As with writing a report or deliver-
ing a presentation, a meeting leader should always have a clear purpose and a plan
for achieving his or her goals. Always ask: “Why are we having this meeting?”
Lay the groundwork. According to John Tropman of the University of Michi-
gan’s Meeting Master Research Project, meeting experts or masters put a great deal
of effort into preparing for group sessions. In addition to marshalling the informa-
tion that participants will need, meeting masters hold a series of “rehearsals” prior
to the group “performance” (meeting). The goal of these rehearsals is to sharpen
the performance of participants and to prevent surprises:
The whole purpose of rehearsal is to bring to the front of consciousness skills,
perspectives, and ideas that participants have and to allow them to freshen their
own minds or explore their own minds with respect to these elements. What the
meeting masters were anxious to avoid was any sense of trapping or capturing
participants unaware in a meeting. . . . [Masters recognize] that many of us do
not know how we are going to feel about something until we have had a chance to
chew on it a bit. The informal setting allowed this to happen without a great deal
of personal peril. Thus, it becomes a very important vehicle for moving ahead.22
Meeting masters meet one on one with group members to test out ideas and to
gather feedback. In particular, they touch base with members who will be impacted
by the group’s decisions. Meeting masters also get together with subgroups prepar-
ing for a presentation or discussion and make sure subcommittees are carrying out
their tasks. In some cases they hold a full dress rehearsal, a premeeting gathering
with everyone present that highlights the key elements of the upcoming agenda.
Maintain focus on the agenda (and time limits) throughout the meeting.
Unless leaders maintain sharp focus, meetings have a tendency to drift away from
the intended agenda and take more than their scheduled time. When the meeting
digresses significantly, the leader needs to redirect the group. Comments like, “I
think we’re getting away from the real issue here. Sam, what do you think about . . .”
steer the discussion back to the original agenda. A meeting leader must engage in
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communication behaviors that help stimulate and maintain group interest and
attention. Effective meeting leaders use language that is precise yet understand-
able. They speak loudly and clearly (not in a mumble), and they avoid distracting
gestures or movements.
Guide the decision process. Meeting chairs need to manage ideas by (1) putting
them in the right context, (2) considering problems in the right order, (3) setting and
changing decision criteria, (4) setting the appropriate pace (not too fast or slow), and
(5) crystallizing the decision (summarizing the discussion, offering action steps).
Listen to others. Effective meeting leaders are active, attentive listeners. Lis-
tening involves more than merely hearing what others say; it involves incorporat-
ing the meaning of messages. University of Minnesota professor Ralph Nichols
pioneered the research on effective listening. Nichols suggests several strategies for
improving listening skills.23
• Focus on the content of the message, not the speaker’s delivery. Information is
contained in the symbols the speaker uses. Although certain habits or man-
nerisms such as pacing, pushing up eyeglasses repeatedly, or the excessive
use of powerless forms of language (see chapter 5) can be distracting, the
content of the message should be the most important focal point. Effective
listeners focus on the information that is important and useful while ignor-
ing distracting elements of delivery.
• Listen for ideas, not just facts. Good listeners focus on the big picture. Effec-
tive listeners don’t just collect facts; they listen for concepts. If you miss
some of the facts but understand the main idea, it is easy to conduct research
to fill in the missing details. On the other hand, a listener who tries to mem-
orize all the facts may miss the larger and more important issues being
addressed. It’s always much more difficult to fill in the big picture later.
• Don’t let yourself get distracted. Avoid distractions by any means possible. If
you are distracted by a talkative group member, get up and move. If you are
hungry, bring a snack with you to the meeting. Don’t let external or internal
distractions get in the way of your listening. One of the most common dis-
tractions experienced in meetings is complex or technical information. Many
listeners simply tune out when information becomes difficult to compre-
hend, whereas effective listeners concentrate even harder. A good listener
works to avoid all forms of distraction that interfere with effective listening.
• Be open-minded. Most of us respond instantly when someone says some-
thing with which we disagree. We may not blurt out our rebuttal immedi-
ately, but we almost always begin thinking of our response. The problem
with this habit is that it interferes with our ability to listen intently to the
other person’s point of view. Effective listeners are open-minded and don’t
overreact to divergent points of view.
• Use thought speed to your advantage. Various researchers have suggested
that we think from 4 to 20 times as fast as we speak.24 This capability some-
times causes us to lose concentration while listening—everyone daydreams!
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Effective listeners use the ability to think more rapidly to their advantage.
They use internal thought processes to anticipate the next point, to summa-
rize or paraphrase information that has already been presented, or to focus
on nonverbal behaviors such as facial and body movements that illustrate
key ideas. (For information on how to become a better listener by knowing
your listening style, turn to box 7.1.)
�
We have been given two ears and but a single mouth
in order that we may hear more and talk less.
—Zeno of Citium
Box 7.1 Research Highlight Identifying Your Listening Style25
According to listening experts Larry Barker and Kitty Watson, individuals have listening styles
or preferences. While no one style is better than the others, knowing our particular style or blend
of styles can help us become better listeners. That’s because each preference has its own
strengths and weaknesses.
People-Oriented. People-oriented listeners are most concerned about how their listening
impacts their relationships with other people. If this is your style, you demonstrate care and con-
cern while withholding judgment and are particularly skilled at recognizing emotional states and
moods. However, as a people-oriented listener you can lose your objectivity and overlook the
faults of others. You may find yourself taking on the negative emotional states—anger, sadness,
depression—of others as well.
Action-Oriented. Action-oriented listeners concentrate on the task. If this is your pattern, you
encourage others to stay focused on the topic at hand and want them to be organized and con-
cise. Unfortunately, as an action-oriented listener, you likely get impatient with disorganized
communicators and can jump ahead of speakers to draw the wrong conclusions. You also run the
risk of appearing too critical.
Content-Oriented. Content-oriented listeners take in all the details and carefully evaluate what
they hear. With this style you respect expert opinion, consider all sides of an issue, deal well with
complexity, and enjoy interacting with ideas. On the down side, however, you can get bogged
down in the details and take a long time making decisions.
Time-Oriented. Time-oriented listeners watch the clock and encourage others to present infor-
mation in an efficient manner. As a time-oriented listener you let others know time limits and
likely give your full attention during that period. The meetings you run seldom go long. Unfortu-
nately, you frequently get impatient with others and tend to interrupt them. Speakers feel you
cut them off and your clock watching means that there is little space for sharing creative ideas.
Barker and Watson go on to suggest that, in addition to knowing our own listening styles, we
also need to understand the preferences of others in order to get them listen to us. To capture
the attention of people-oriented listeners, tell human-interest stories, use first names, speak of
“we” instead of “I,” and employ self-effacing humor and illustrations. For action-oriented listeners,
limit ideas to three main points or less, keep presentations short and focused, and speak at a
rapid, controlled rate. For content-oriented listeners, provide hard data, quote experts, and use
charts and graphs. For time-oriented listeners, keep under time limits, cut unnecessary examples
and information, and respond immediately to nonverbal cues that signal impatience.
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Involve all participants. Effective meeting leaders encourage the involvement
of all participants. Meetings are designed as a forum for the exchange of informa-
tion and ideas. Remember, a leader calls a meeting because he or she is eager to
receive immediate information. Don’t stifle participants. Always encourage an
atmosphere in which discussion flourishes. When making particularly important
decisions, you may want to poll each person individually to make sure the group
hears from every member.
Keep a record. A written record serves as the group’s memory. The minutes of
a meeting should relate to the agenda and generally include: (1) when and where
the session took place, (2) the names of those attending, and (3) a summary of the
main points of the discussion (not what each person said) and important decisions.
Evaluate your performance. Stop periodically to reflect on your skills as a
leader. You can use the self-assessment in box 7.2 to evaluate your performance.
�
A manager’s ability to turn meetings into a thinking environment
is probably an organization’s greatest asset.
—Nancy Kline
Group Decision Making
Decision making and problem solving, as we noted earlier, are important rea-
sons for calling group members together for a meeting. Groups are often charged
with making choices because they have access to more information than do indi-
viduals. Members bring a variety of perspectives to the problem and challenge
errors in thinking that might go unrecognized by a lone decision maker. Groups
don’t always make effective decisions, of course. But they are more likely to suc-
ceed when leaders and other members carry out important problem-solving func-
tions, while avoiding the pitfalls that contribute to faulty solutions.
Functions and Formats
Group experts Dennis Gouran and Randy Hirokawa believe that high-quality
solutions emerge from group deliberations when participants use communication
to complete four tasks or functions: problem analysis, goal setting, identification of
alternatives, and evaluation of possible solutions.26 We’ll use the example of a
group made up of homeless shelter staff members to demonstrate the role that
each of these functions plays in the decision-making process. The shelter team is
meeting to discuss a year-long decline in the number of individuals and families
seeking temporary housing at their facility.
Analysis of the problem. Clearly identifying the nature and extent of the
dilemma is critical to resolving it. Analysis includes recognizing that there is a prob-
lem, determining its size and scope, isolating causes, figuring out who is impacted by
Leadership in Groups and Teams 225
Box 7.2 Self-Assessment Meeting Leader Skills27
Use this table to assess your skills as a meeting leader. You can also ask someone else to evalu-
ate you on the same questions.
Organizing the meeting
Yes No Did you involve key participants in defining the purpose and outcomes of the meeting?
Yes No Was the meeting plan distributed well in advance of the meeting?
Yes No Did you ensure that people came to the meeting prepared?
Starting up the meeting
Yes No Did your opening remarks clarify the purpose, process, and boundaries for the meeting?
Yes No Did you clarify your role as chairperson, and how it relates to the outcomes being
sought from the meeting?
Relating with meeting participants
Yes No Did you relate personally with each meeting participant?
Yes No Were you positive and enthusiastic?
Yes No Did you provide a comfortable setting for the meeting?
Yes No Did you negotiate, clarify, and adhere to ground rules with the group?
Yes No Did you create a protective climate in which it was safe for people to speak up?
Yes No Did you invite and support people’s contributions to the meeting?
Yes No Did you keep a comfortable pace?
Yes No Did you start on time and end on time?
Facilitating the meeting
Yes No Did you divide the meeting into orderly steps?
Yes No Were discussions thought-provoking?
Yes No Did you invite and challenge meeting participants to think and innovate?
Yes No Did you offer your opinions?
Yes No Did you enable meeting participants to tap the resources of the group as a whole?
Yes No Did the discussion relate directly to the outcomes being sought from the meeting?
Yes No Did you provide opportunities for meeting participants to share information with
each other?
Evaluating the meeting
Yes No Did you ask meeting participants what they achieved?
Yes No Did you work with meeting participants to evaluate the meeting?
Reflecting on your success as chairperson
Yes No Did you take care of yourself by being well prepared for your role as meeting chairperson?
Yes No Did you specifically state to meeting participants your responsibility to them?
Yes No Have you considered how to build on your achievements as a meeting chairperson, as
well as improving where needed?
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the problem, and so on. Analysis is a critical first step because initial decisions shape
the rest of the group’s deliberations. Our shelter team might decide that last year’s
decline in demand was a random occurrence, not a trend. If this is the case, then the
situation doesn’t need to be addressed for now. Even if the group determines that
housing fewer residents poses a problem that must be solved, members could iden-
tify a variety of causes, each of which calls for a different solution. For example, low
visibility in the community means more publicity is needed. If run-down facilities
are discouraging potential clients, then the shelter house needs to be upgraded.
Goal setting. Outlining goals and objectives clarifies what the group wants to
accomplish in addressing the problem. To succeed, members must formulate clear
objectives and set goals that, if achieved, will produce a reasonable solution. Identi-
fying criteria or standards for evaluating solutions is also part of goal setting. The
group from the homeless shelter may agree that it wants to come up with a plan to
rebuild numbers over the course of the next year, without a significant increase in
the budget.
Identification of alternatives. The greater the number of potential solutions,
the better the chances of coming up with a workable plan. Shelter staff members
could consider a variety of options to draw more clients, including hiring outreach
workers to reach out to those living on the street, building better relations with
social service agencies and religious groups, renovation of facilities, and more staff
training designed to improve service to residents.
Evaluation of solutions. In this function, decision makers evaluate the merits
and demerits of each possible solution using the criteria developed earlier. Hiring
outreach workers would probably bring more people to the homeless shelter, for
instance, but would be expensive. Renovation of the facilities would also be too
costly. On the other hand, establishing better relations with social service agencies
and religious congregations who refer clients would likely increase occupancy rates
without the high costs that are associated with advertising and remodeling.
Using a decision-making format is one way to encourage a group to carry out
the functions described above. Following a set of predetermined steps increases
the likelihood that members will carefully define the problem and develop criteria
instead of rushing to potential solutions. There is no consensus as to which format
is best, but evidence suggests that groups following a structure are generally more
effective than those who don’t.28
The oldest and most widely used decision-making format is the Standard
Agenda. Originally developed by educator John Dewey to describe the process that
individuals follow when making choices, the Standard Agenda consists of the fol-
lowing steps:29
1. Identify the problem. Formulate the problem in the form of a question. A
question of fact addresses whether or not something is true (Is the defen-
dant guilty?). A question of value asks for a judgment involving right or
wrong, good or bad (Is it fair to allow only upperclassmen to live off cam-
pus?). A question of policy asks what course of action should be followed
(Should taxes be raised to maintain public services?). Questions of policy
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are the most common problems faced by groups. (See our earlier discussion
of propositions of fact, value, and policy in chapter 6.)
2. Analyze the problem. Determine the cause(s), scope, and impact of the prob-
lem (number of people affected, costs to the organization or town, etc.).
3. Develop criteria. Criteria should be in place before entering the solution
phase since these standards play a critical role in sorting through proposals.
4. Generate possible solutions. Strive for quantity. Produce a variety of alterna-
tives without passing judgment.
5. Evaluate and select a solution. In this stage, apply the criteria generated ear-
lier to eliminate options and to identify the best choice. The final solution
may combine elements of several proposals.
6. Implement the solution. This seems like an obvious step but all too often
groups make a decision only to fail to follow through on their choice. Before
disbanding, determine who will take action (see our earlier discussion of
action plans), if future meetings are needed, and so forth.
An alternative to the Standard Agenda is the Single Question Format. This
procedure incorporates the communicative functions of effective group decision
making by asking participants to formulate, analyze, and then solve the problem
through a series of questions. A description of this procedure is found in box 7.3.
Box 7.3 The Single Question Format30
1. Identify the Problem
What is the single question to which the group needs to find an answer to accomplish its pur-
pose for the meeting?
2. Create a Collaborative Setting
a. Agree on principles for discussion.
What principles should we agree on in order to maintain a reasonable and collaborative
approach throughout the process?
Examples: We will:
1. Invite and understand all points of view.
2. Remain fact-based in our judgments.
3. Be tough on the issues, not on each other.
4. Put aside any personal agenda.
b. Surface any assumptions and biases.
What assumptions and biases are associated with the single question identified in step 1,
and how might they influence the discussion?
Examples:
1. We tend to assume we know our customers’ needs.
2. We believe we have efficient processes.
3. We think our level of customer service is acceptable.
4. We assume our past approach should be our future strategy.
(continued)
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Avoiding the Pitfalls
Using a format is the first step to effective problem solving; avoiding common
decision-making pitfalls is the second. Groups make significant mistakes at every
stage of the decision-making process. Members fail to recognize that there is a
problem or come up with the wrong cause(s), for example. They set unclear or
inappropriate goals that fail to adequately address the situation and misjudge the
negative and positive consequences of alternative solutions. Faulty information
and/or the faulty use of information also derail group deliberations. Problem solv-
ers often ignore important details or rely on inaccurate information. Even if their
information is sound, they may misinterpret or misapply the data.31
In light of the logical pitfalls of group decision making, Gouran and Hirokawa
argue that counteractive influence—statements that highlight problems in reason-
ing and get the group back on track—are particularly important to group success.
Leaders and followers exercising counteractive influence draw attention to faulty
problem definitions, information, assumptions, and inferences. They challenge the
group when it deviates from its mutually agreed upon procedures and aren’t afraid
to take issue with high-status members who are leading the rest of the participants
astray.32 Leaders and other group members also need to be able to correctly recog-
nize and frame problems, make valid inferences or judgments based on available
information, generate a variety of solutions, and make arguments.33
Poor logic isn’t the only cause of faulty decision making. The relationships
between members, referred to as the social or emotional dimension of the group,
can also lead to poor choices.34 Members who don’t trust each other aren’t likely to
share important information, for instance, or to work hard on a project. On the
other hand, too much emphasis on strong relationships (which puts cohesion
above performance) can also be detrimental.
3. Identify and Analyze the Issues (Subquestions)
Before responding to the single question in step 1, what issues, or subquestions, must be
answered in order to fully understand the complexities of the overall problem?
• Limit opinions by focusing on the facts.
• If facts are unavailable, agree on the most reasonable response to each subquestion.
4. Identify Possible Solutions
Based on an analysis of the issues, what are the two or three most reasonable solutions to the
problem? Record the advantages/disadvantages of each.
Advantages Disadvantages
Solution 1
Solution 2
Solution 3
5. Resolve the Single Question
Among the possible solutions, which one is most desirable?
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Social psychologist Irving Janis developed the label groupthink to characterize
groups that put unanimous agreement above all other considerations.35 Groups
that suffer from this syndrome fail to: consider all the alternatives, reexamine a
course of action when it doesn’t seem to be working, gather additional information,
weigh the risks of their choices, work out contingency plans, or discuss important
ethical issues. Janis noted faulty thinking in groups of ordinary citizens but is best
known for his analysis of major U.S. policy disasters like the failure to anticipate
the attack on Pearl Harbor, the Bay of Pigs invasion of Cuba, and the invasion of
North Korea. In each case, some of the smartest political and military leaders in
U.S. history made poor choices.
Janis identified the following as symptoms or signs of groupthink:
Signs of Overconfidence
1. Illusion of invulnerability. Members are overly optimistic and prone to take
extraordinary risks.
2. Belief in the inherent morality of the group. Participants ignore the ethical
consequences of their actions and decisions.
Signs of Closed-Mindedness
3. Collective rationalization. Group members invent rationalizations to pro-
tect themselves from feedback that would challenge their assumptions.
4. Stereotypes of outside groups. Participants believe that members of other
groups are evil, weak, or stupid; they underestimate the capabilities of others.
Signs of Group Pressure
5. Pressure on dissenters. Members coerce dissenting members to go along
with the prevailing opinion in the group.
6. Self-censorship. Individuals keep their doubts about group decisions to
themselves.
7. Illusion of unanimity. Group members mistakenly assume that the absence of
conflicting opinions means that the entire group agrees on a course of action.
8. Self-appointed mindguards. Group members take it upon themselves to protect
the leader from dissenting opinions that might disrupt the group’s consensus.
A number of factors contribute to the emergence of groupthink, including fail-
ing to follow a decision-making procedure, group isolation, time pressures,
homogenous members (same background and values), external threats, and low
individual and group esteem caused by previous failures. However, leadership may
be the most important influence contributing to groupthink.36 Directive leaders
who push for a particular solution cut off discussion and reduce the number of
alternatives considered by the group.
Fortunately, leaders can prevent groupthink as well as promote it.37 As a leader,
don’t express your preference for a particular solution; urge members to participate
in the deliberations and to look at a variety of alternatives. Encourage every group
member to be a critical evaluator and assign individual participants the role of
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“devil’s advocate” to argue against prevailing opinion. Follow a set of decision-mak-
ing guidelines like those outlined earlier. Divide regularly into subgroups and then
come back to negotiate differences. Invite outside experts or colleagues to the
group’s meetings to challenge the group’s ideas. Keep in regular contact with other
groups in the organization. Role-play the reactions of rival organizations and
groups to reduce the effects of stereotyping and rationalization. Visualize successful
collective performance and eliminate negative talk and thought (“we can’t succeed”;
“the task is too difficult”) within the group. Help members challenge the assump-
tion that whatever they do is right and discuss the moral implications of choices.
After the decision has been made, give members one last chance to express any
remaining doubts about the solution. The ancient Persians provide one example of
how to revisit decisions. They made every major decision twice—once when sober
and again when under the influence of wine!
In addition to poor logic and unhealthy relationships, the anxieties of individual
members can undermine group problem solving. George Washington University
management professor Jerry Harvey argues that it is often individual fears, not con-
formity pressures, that get groups in trouble.38 He notes that we always have a choice
about how to act in a group and must take responsibility for our behavior. Harvey
introduces the concept of mismanaged agreement as an alternative to groupthink.
Mismanaged agreement refers to the tendency of group members to publicly
support decisions that they oppose in private. As a result, groups continue to fund
software installations that no one believes will ever become operational, for example,
or engage in business practices that everyone in the group knows are illegal. Profes-
sor Harvey calls mismanaged agreement the Abilene Paradox based on an experi-
ence his family had many years ago. He, his wife, and his in-laws decided to drive 100
miles from Coleman to Abilene, Texas, in 100-degree-plus heat in a car without air
conditioning. They made this trip to eat bad cafeteria food that “could serve as a
first-rate prop in an antacid commercial.” After arriving home, the family discovered
that nobody had wanted to make the trip in the first place. Harvey believes that
many groups and organizations also embark on needless excursions. They act in
direct contradiction to their true desires and thereby undermine their goals.
Groups caught in the Abilene Paradox display several symptoms. Participants
agree in private about the definition of the problem and the right course of action.
However, they fail to accurately communicate their thoughts and feelings to others,
which misleads their fellow members into thinking that a consensus exists. Mem-
bers express support for the nonexistent consensus and make decisions that run
contrary to their own beliefs. These decisions have negative consequences for the
group and organization. The level of anger, frustration, and dissatisfaction sky-
rockets as a result. Members point the finger of blame at other groups, other mem-
bers, and their leaders. If the cycle is not interrupted, it will repeat itself, resulting
in even greater destruction.
The causes of the Abilene Paradox are rooted in fear. Individuals know what
ought to be done but are too anxious to follow through (action anxiety). They
would rather endure the negative consequences of going along (economic costs,
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moral failure, career damage) than speak up. Members have negative fantasies
about what will happen if they do act on what they believe (“I’ll be criticized for not
being a ‘team player.’” “I’ll get a lower quarterly evaluation.”). They also fear separa-
tion. Group members dread being cut off or separated from their colleagues. This
drives them to accede to what they think is the collective will of the group even
when they have serious reservations about the decision.
Diagnosis and confrontation are the keys to breaking out of the Paradox.39 If
you are on an unproductive “trip,” take the initiative to challenge the group’s direc-
tion. Call a meeting where you state your true opinion and invite feedback, discus-
sion, and debate. Reward those who confront the group instead of, as is too often
the case, “shooting the messenger.” Create an organizational climate where group
members feel free to express their opinions; where changing one’s mind is seen as a
sign of strength, not weakness; and where reaching shared goals is more important
than pleasing the boss.
As noted above, continuing in a failed course of action is one of the products of
mismanaged agreement. Researchers refer to this phenomenon as the escalation of
commitment.40 Instead of terminating a project and cutting their losses, groups
double down, pouring in more resources. Costs continue to multiply until the
moment when the group finally admits defeat. Escalating commitment has been
used to explain why investors put more money into failing stocks, bankers con-
tinue to loan to problem borrowers, companies increase the advertising budgets
for unpopular products, professional basketball teams keep underperforming draft
picks on the court, and managers continue to support failing employees. Escalation
of commitment played a role in the K2 case described in chapter 1. Once the
climbers were near the summit, it was nearly impossible to convince some of them
to turn around because they had invested so much money, time, and effort.
Instead, they fell victim to “summit fever.” Though they should have turned back
after nearing the summit by 2 PM, they continued to climb, which stranded them
without shelter during the night. Other prominent examples of the escalation of
commitment include the automated baggage system at Denver International Air-
port (which delayed the airport’s opening and never worked), and the failed Shore-
ham Nuclear Plant, which never produced a single kilowatt of electric power even
though costs for the project ballooned from $75 million to over $5 billion over a
23-year period.
Teams stay the course for a number of reasons. They want to appear consistent
and justify their earlier choices. (The organization may pressure them to continue
as well.) Group members often have a personal stake in the project because their
jobs and reputations are on the line. Many decision makers mistakenly hope to
recoup their “sunk costs” or previous investments when they would be better off
writing off their losses. Groups have a tendency to take more risks than individuals
(risky shift), which prompts team members to devote more resources than they
would on their own. Cognitive biases also come into play. Team members escalate
because they (1) ignore negative feedback or interpret evidence so it supports their
point of view (the process of selection perception), (2) are convinced they have
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more control over outcomes than they actually do (the illusion of control), (3) blame
the bearers of bad news, and (4) become overconfident based on past successes.
De-escalation begins with acknowledging the problem. Don’t ignore negative
feedback or external pressure from outsiders who express doubts. Be alert to red
flags like project delays and cost overruns. Bring in new group members who aren’t
as invested in the project, or hire an external auditor to help the group recognize
the extent of the problem. Withhold additional funding when necessary. Look for
opportunities to deinstitutionalize the project by separating it from the key goals of
the organization or by isolating it physically. Corporations often spin off troubled
units, for instance, or refer to risky programs as “experiments.” To get the Denver
International Airport up and running, city leaders de-emphasized the importance
of the automated baggage system and used manual baggage conveyors instead.41
Team Leadership
We noted earlier that two of the distinguishing features of groups are com-
monality of purpose and interdependence. Members of every small group rely on
each other as they work toward their objectives. Yet, some groups are more
focused than others. Members of these groups are much more dependent on one
another. Compare, for example, a task force designing a software product due on
the market in six months to a board of directors that oversees a business. The task
force has a narrow goal that cannot be achieved unless members coordinate their
activities on a daily basis. The board can reach its broad objective by meeting a few
times a year and by assigning ongoing tasks to individual members.
When Is a Group a Team?
In recognition of the fact that groups such as task forces and boards of direc-
tors function in different ways, some observers argue that we ought to differentiate
between groups and teams. They suggest that while every team is a group, not
every group is a team. Two leading proponents of this position are Jon Katzenbach
and Douglas Smith. See table 7.1 for the contrasts they draw between working
groups and teams.42
Katzenbach and Smith believe that the key difference between a working
group and a team lies in what each produces. In a working group, members meet
to share information, discuss ongoing projects, and make decisions. They don’t
produce anything collectively and are judged largely on their individual efforts. In a
team, on the other hand, members work together to produce a joint product, such
as an assigned class paper, a science experiment, or a marketing strategy. While the
working group shares the overall mission of the organization and measures its
effectiveness by how well the whole organization does, the team has a unique pur-
pose and clearly defined performance goals (“cut working defects on the assembly
line by 25%”; “recommend a new site for the plant by August”). Leaders of formal
working groups often control the agenda and make most of the decisions and
assignments. Team leaders share decision-making responsibilities, let team mem-
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bers take the initiative in their areas of expertise, and are active participants in the
work. (Turn to box 7.4 for an example of a team-based organization where employ-
ees group themselves according to their expertise and control the work they do.)
Common types of teams include (1) teams that recommend things (choosing a
new computer system; planning a reorganization), (2) teams that make or do things
(create, sell, or service products, for example), and (3) teams that run things (man-
aging the development of a product line). There are many potential advantages to
taking a team approach.
• Teams are more flexible than departments or organizations.
• Teams are more productive and fun than working groups.
• Teams help the organization adapt to change.
• Teams encourage individual learning and foster new behaviors.
• Teams build trust and confidence between members.
• Teams focus attention on the group agenda rather than on individual agendas.
Despite their many advantages, teams aren’t the answer in every situation.
Top-level executives are one category of employees who generally function in
working groups. The director of a government agency, for instance, will likely take
a group approach to running her organization, asking department heads to meet
regularly to coordinate their activities. However, when she wants to make a major
change in the structure or operations of the agency, a team approach will probably
produce better results. The crucial decision for a leader, then, is to determine
whether a group approach or a team approach is best. If performance levels can be
met through individual activities, then stick with working groups. Make the shift
from groups to teams only when the potential payoff outweighs the costs (effort,
disruption, expense, etc.) of making the change. (The Leadership on the Big Screen
feature at the end of the chapter describes one group that became a team.)
Table 7.1 Contrasts between Working Groups and Teams
Working Group
Individual work products
Individual accountability
Group’s purpose is the same as the broader
organizational mission
Measures performance indirectly by how it
influences others (e.g., financial performance
of the business)
Runs meetings and active problem-solving
meetings
Discusses, decides, and delegates
Strong, clearly focused leader
Team
Collective work products
Individual and group accountability
Specific team purpose
Measures its effectiveness directly by assessing
collective work products
Encourages open-ended discussion
Discusses, decides, and does real work together
Shared leadership roles
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Box 7.4 Case Study Team Leadership in the Video Game Industry:
The Story of Valve
There are few industries more harsh, demanding, and competitive than the video game
industry. Developing successful video games is a creative process, yet many large-scale game
publishing companies subject employees to unstable work environments with heavy workloads
(often more than 12 hours a day, 7 days a week before product release) that serve to stifle the cre-
ativity of developers and game designers.43
Under such stressful working conditions, it is no surprise the quality of products suffers—a
costly situation for publishers competing for successful reviews and the attention of customers.
Companies frequently fail and the job and financial security of developers is often at risk. One
Seattle-based company, however, stands above the rest in terms of building successful teams
and developing award-winning and popular games. Valve, a privately owned game development
and publishing company with an estimated $2.5 billion in annual revenues, has been working
since 1996 to create highly regarded video games in a unique team environment. They hold mul-
tiple “Game of the Year” awards for such popular games as Half-Life, Left 4 Dead, and Portal, and
their Steam service has a 70% share of the video game online distribution market.
How does Valve consistently perform so well? By redefining the concept of team leadership.
Valve has no formally assigned team leaders. Instead, power and the responsibility for develop-
ing and delivering games is placed solely on employees. As the employee handbook explains,
“Valve is flat. It’s our shorthand way of saying that we don’t have any management, and nobody
‘reports to’ anybody else. . . . You have the power to green-light projects. You have the power to
ship products.”44 At Valve, work gets done primarily through small, self-focused, self-structuring
teams called “cabals.” These cabals are fluid; employees can join or leave as they choose. All desks
at Valve have wheels to make it easy to move team members closer to each other as cabals form.
The employee handbook outlines these steps for moving: “Step 1. Unplug cords from wall. Step
2. Move your desk. Step 3. Plug cords back into wall. Step 4. Get back to work.”
Groupings at Valve are generally unstructured. When structure arises, it is not because employ-
ees are assigned to join certain teams as an animator or programmer; rather, teams internally
recruit employees who serve in the roles that fit the needs of the team. Sometimes, team leaders
organically emerge. As the handbook says, “Most often, they’re [leaders] primarily a clearinghouse
of information. They’re keeping the whole project in their head at once so that people can use
them as a resource to check decisions.”45 The cabal team system means employees can select the
place where they can be most valuable. New employee hiring and compensation are tied to the
team system. Ad-hoc teams made up of interested parties do the hiring interviews. Employees
working on the same project rank each other’s contributions (technical skills, productivity, ability
to work in a team). Those with the best ratings get the largest raises and highest salaries.
The cabal structure has its weaknesses. Co-founder Gabe Newell admits that there are few
internal controls to spot mistakes. As a result, serious problems with Half-Life 2 went undetected
for six months. One fired former employee noted that the lack of formal structure allowed a hid-
den power structure to emerge. “It felt a lot like high school,” she complained. “There are popular
kids that have acquired power in the company, then there’s the trouble makers, and everyone in
between.”46 Receiving low peer rankings is not an issue when the company is successful and
everyone is well paid. However, there will likely be lots of hard feelings if Valve loses market share
and can only give raises to a few people.
Discussion Questions
1. What do you see as the strengths of Valve’s informal team structure? The weaknesses?
2. Would you prefer to be ranked by a supervisor or by your fellow team members?
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Developing Team-Building Skills
Successful leaders are skilled at helping groups become teams when the situa-
tion calls for it. Carl Larson and Frank LaFasto spent nearly three years studying
more than 75 diverse teams.47 Larson and LaFasto interviewed key members of
these teams, including the leader of the Boeing 747 project, a person who served
on several presidential cabinets, members of cardiac surgery teams, the founder of
the U.S. Space Command, a member of a Mount Everest climbing expedition, and
several players from the 1966 Notre Dame championship football team. From their
groundbreaking work, Larson and LaFasto identified eight strategies that they
believe are essential to effective team performance.
Establish clear and inspiring team goals. Effective teams are clearly focused
on goals that maximize team outcomes. Further, these goals inspire the team to per-
form at peak levels. The team leader is primarily responsible for defining and artic-
ulating goals and for motivating followers. Team failure can be caused by a lack of
clarity in the identification of a team agenda, the loss of focus from the agenda, or
from distractions associated with individual demands at the expense of the group.
Maintain a results-oriented team structure. Within effective teams, each
member clearly understands his or her role in the overall successful functioning of
the group. Further, team members are accountable for their behavior in all situa-
tions. Every member of a successful team knows what is expected and takes
responsibility for making sure tasks are done correctly. Members of a surgical
team, for example, all play an important role in the overall success of an operation.
The anesthesiologist monitors the patient’s breathing, the nurse prepares the
instruments, and the surgeon performs the procedure. Each member of the team
must perform his or her task in concert with others in order to achieve a successful
outcome. Communication within results-oriented teams is open and honest. Effec-
tive team leaders communicate in a highly democratic manner. (You may want to
refer back to chapter 2 to reacquaint yourself with the qualities of the democratic
leadership communication style.) Information is easily accessible, and questions
and comments are always welcomed from all members of the group. Successful
team leaders also provide frequent evaluation and feedback to members. Identify-
ing strengths and weaknesses of group members is necessary in order to reward
excellence and to suggest strategies for improving deficiencies. Finally, results-ori-
ented teams base their decisions on sound factual data. Although “gut” feelings and
3. Does the cabal system have application in other industries? Are there limits to how and
where this type of team leadership might work?
4. Would you enjoy working for a company like Valve? Why? Why not?
5. Do you think people are more willing to work long hours when they have more choice in
regard to their projects and assignments?
6. Can Valve’s structure survive if the company loses market share and revenue?
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hunches may produce positive results on occasion, successful decision-making is
based on objective criteria.
Assemble competent team members. Effective teams are comprised of compe-
tent team members. Both technical and interpersonal competencies are essential to
team success. Technical competence refers to the knowledge, skills, and abilities rele-
vant to the team’s goals. Interpersonal competence relates to the ability of team mem-
bers to communicate feelings and needs, to resolve conflict, and to think critically.
Strive for unified commitment. The members of successful teams are wholly
committed. Leaders seeking this type of unified commitment must work to create
a team identity. Team identity is enhanced when team members are involved in
decision making, policy implementation, and analysis. Indeed, involvement begets
commitment. Emergency response teams are examples of unified teams with a col-
lective identity. Members of these groups feel such a strong sense of duty that they
are literally on call to handle any crisis that may arise.
Provide a collaborative climate. Cooperation and teamwork are essential to
allow teams to function smoothly. Teams that work well together perform most
effectively. Trust is the key ingredient in teamwork. An open, honest environment
in which team members trust and respect one another promotes collaboration. In
such an atmosphere, team members feel free to express dissenting opinions, thus
avoiding groupthink.
Encourage standards of excellence. Successful teams have high expectations
regarding outcomes. These standards of excellence define acceptable performance.
High standards mean hard work, and top performing teams spend a great deal of
time preparing and practicing. They are ready for virtually any contingency. The
cockpit crew of United Airlines Flight 232 performed an almost impossible task in
July 1989 during a crash landing at Sioux City, Iowa. Although more than 100 passen-
gers died, aviation experts lauded the crew for maneuvering the plane under the most
extreme emergency—a complete failure of the hydraulic system. Fortunately for the
surviving 185 passengers, crew members believed that they could do the impossible.
(See chapter 13 for another example of a flight crew whose heroic efforts saved the
lives of passengers.) Standards of excellence are found everywhere within successful
teams. Individual team members expect excellence from themselves and others. Per-
haps most importantly, the leaders of highly effective teams demand that a standard
of excellence be upheld. They will accept nothing less from themselves or the team.
Furnish external support and recognition. External support in the form of
material or social rewards is important to the success of teams. These rewards
alone do not guarantee success, but the absence of any form of external recognition
or support appears to be detrimental to a team’s overall effectiveness. According to
Larson and LaFasto, recognition and support are most critical when the team is
performing either extremely well or extremely poorly.
Apply principled leadership. The leaders of effective teams employ transfor-
mational leadership techniques. As discussed in chapter 4, the transformational
leader is creative, interactive, visionary, empowering, and passionate. Larson and
LaFasto found that three qualities seemed most important to effective team leader-
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ship: (1) establishing a vision, (2) creating change, and (3) unleashing talent. Effective
team leaders have a clear vision for the team. The specific actions required to achieve
this vision are clearly presented to team members. Further, this vision represents an
inspiring and desirable goal for the group. Effective leaders also create change.
Change is essential to improving and progressing. Effective team leaders encourage
team members to seek out new and better ways to perform tasks and solve problems.
Successful team leaders are not completely satisfied with the present level of achieve-
ment; they are always looking to the next challenge. Finally, effective team leaders
empower their followers by unleashing the talent of all members of the team.
The most effective leaders, as reported by our sample, were those who subju-
gated the needs of their ego in favor of the team’s goals. They allowed team
members to take part in shaping the destiny of the team’s effort. They allowed
them to decide, to make choices, to act, to do something meaningful. The result
of this approach was the creation of the “multiplier effect.” It created a conta-
gion among team members to unlock their own leadership abilities.48
�
It is not the individual but the team that is the instrument
of sustained and enduring success in management.
—Anthony Jay
Project Leadership
Teams have been managing projects for thousands of years.49 The Egyptian
Pyramids, the Great Wall of China, the Taj Mahal, and Stonehenge are all the prod-
ucts of ancient project management. In more recent times, project teams have cre-
ated everything from the atomic bomb to the personal computer and the iPhone.
Thousands of people spend their careers working on political and advertising cam-
paigns, films, defense systems, buildings, roads, new drugs, space launches, soft-
ware implementations, and other projects. According to the Project Management
Institute, which certifies project professionals, one-fifth of the world’s Gross
Domestic Product (GDP) or $12 trillion is spent every year on projects.50
Ongoing processes, such as manufacturing or bill processing, are repeated
over and over again to produce the same results. In contrast, projects are tempo-
rary with a clear beginning and end. Project teams produce unique products while
operating under time and budgetary constraints. They are generally accountable to
organizational sponsors and outside clients. Team members are typically drawn
from a variety of different organizational departments or functions.51
Unfortunately, an estimated 70% of all projects end in failure.52 They go over
budget, continue past deadlines, must be reworked, fall short of client expecta-
tions, and so on. Many of these failures can be traced back to ineffective leadership.
To tilt the odds more in your favor as a project leader, experts suggest that you do
the following.
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Recognize the Demands of the Project Leadership Role
Project management is highly demanding, requiring leaders to master several
different roles. Project management consultants Wendy Briner, Colin Hastings,
and Michael Geddes use the term “lookings” to highlight the fact that the job of the
project leader is multifaceted. They argue that the successful project manager must
look in six different directions.53
Looking upwards. This refers to understanding and informing the project
sponsor (usually the project manager’s boss). The best leaders understand why
their bosses want the project completed and keep them informed while managing
the sponsors’ concerns.
Looking outwards. A good project manager keeps the end user or client up to
date and meets client expectations. Project leaders also meet the expectations of
subcontractors and other outsiders.
Looking backwards and looking forwards. The project leader must ensure that
the team meets its targets and learns from any mistakes.
Looking downwards. Effective leaders make sure that individuals and the group
as a whole perform well.
Looking inwards. Successful project managers examine their personal perfor-
mance to confirm that they are helping the team reach its objectives.
The first two tasks or lookings—upwards and outwards—involve the manage-
ment of stakeholders. The keys to connecting with stakeholders include establishing
who the stakeholders are, reconciling conflicting expectations for the project, build-
ing credibility through demonstrating competence, establishing networks of relation-
ships, and marketing the project to the rest of the organization. The next two
lookings (backwards and forwards) involve managing the work of the project. This
requires anticipating possible problems, ongoing planning and reviewing, keeping the
whole team informed, and seeking feedback from outsiders. The last two lookings—
downwards and inwards—deal with the management of performance demands. Ful-
filling these roles requires providing purpose and direction (explaining why the proj-
ect is important to the organization and individual; being enthusiastic); setting clear
goals and expectations of what is acceptable and what is not; being tough on quality
or standards; expressing support of team members; setting time aside for stepping
back to reflect on the group’s progress (or lack thereof ); and celebrating achievements
along the way as well as at the completion of the project.
Acquire and Apply the Necessary Skill Sets
To carry out their roles, project managers must have the necessary skill sets.
According to the Project Management Institute, these knowledge management
areas include:54
• scope management: defining and staying within the boundaries of the proj-
ect; breaking down the structure of the work
• time management: generating time estimates; setting and managing schedules
• cost management: estimating costs, setting a budget for labor and materials;
monitoring expenses
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• human resource management: determining personnel needs, recruiting
team members; team building
• procurement management: identifying resources and services to be acquired
outside the organization; soliciting bids and proposals; awarding contracts
and monitoring vendor performance; closing out contracts
• communication management: identifying stakeholders; creating a commu-
nication plan for keeping stakeholders informed
• quality management: setting quality standards; sampling quality; improving
quality assurance processes
• risk management: identifying risks and assessing the probability that each
risk will occur; developing responses; monitoring risks
• integration management: tying all the other management skill areas together
to develop the project plan, manage change, stay within the scope of the
project, and so on
In addition to acquiring the necessary knowledge bases, leaders must also
know when to apply them by understanding the project life cycle. Projects typically
follow a five-stage pattern, beginning with initiation.55 Box 7.5 identifies which
management skill sets come into play during each stage of the product life cycle.
During the initiating stage, those interested in the project define what it is and
get buy-in and approval from possible stakeholders. They make a case for the proj-
ect and create an initial draft of the objectives, requirements, constraints, and suc-
cess criteria. At this point they also appoint a project manager. During the
planning process the project manager outlines project tasks, estimates needed
Box 7.5 The Links Between
Project Stages and Knowledge Areas56
Controlling
Knowledge and
Areas Initiating Planning Executing Monitoring Closing
Scope X X
Time X X
Cost X X
Quality X X X
Communication X X X X
Human Resources X X
Risk X X
Procurement X X X X
Integration X X X X X
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time and resources, determines the total project cost, builds a schedule, and
assembles the team. In the executing phase the team leader and team members get
to work, setting the ground rules, outlining how the team will communicate, and
carrying out tasks. During the monitoring and controlling process the team leader
determines how well the plan is working by implementing changes as needed,
monitoring performance, soliciting resources, solving problems, and ensuring that
the scope of the project doesn’t expand beyond original expectations. The closing
stage brings the project to completion. The customer signs off and takes ownership
of the product. The leader and team members meet to celebrate and to analyze
what went well and what did not.
Adapt to Project Demands
Not all projects have clear objectives and outcomes.57 Some teams may have
well-defined goals but have no idea how to reach their objectives. For example, a
consumer products manufacturer may ask a task force to increase market share,
but team members may not be sure which product to produce in order to improve
sales. Other teams lack both a clear goal as well as a clear solution. This is typical of
many ongoing Research and Development department projects. Members of R &
D teams work on developing new ideas but do not receive specific instructions
about what they should create or a clear explanation of how their ideas will be
used. Still other projects start with a solution and then ask the team to determine
how to employ the idea. For instance, it took several years for employees at 3M to
decide how to use the failed adhesive that produced the Post-it Note.
To succeed as a project manager, you will need to adapt your communication
patterns and leadership style to the demands of the specific project (see the case
study in box 7.6). Highly complex and uncertain projects require more “agile” proj-
ect management that modifies the product life cycle described earlier.58 Teams
may repeatedly need to return to the planning stage, for instance, or release the
product in increments for feedback and adaptation. Complexity also increases
communication demands. Ill-defined projects change more frequently and rapidly
so the project leader must interact more often with project sponsors and clients.
Team leaders can no longer rely on one-way, written communication like status
reports and updates but must interact person-to-person. They empower team
members to make more decisions. The nature of the team changes as well. Instead
of acting as a group of specialists, team members become generalists who organize
themselves and their activities.
Leading Virtual Teams
Technological advances enable teams to function across space and time. No
longer do members have to meet face-to-face. Now individuals working in differ-
ent geographic locations and at different times of the day coordinate their efforts
through virtual teams. Virtual teams use e-mail, videoconferencing, online bulletin
boards, groupware, project management software, and other electronic means to
carry out their work.59 Large organizations like IBM, Sun Microsystems, SAP,
Leadership in Groups and Teams 241
Box 7.6 Case Study Project Failure at Payton Financial Services
Payton Financial Services (PFS) provides loan services for a variety of automobile and motor-
cycle dealerships throughout the southwestern United States. The computer systems at PFS are
in need of an update as the current system is not able to manage the increasing customer vol-
ume generated through an aggressive sales campaign. Recently there have been several system
failures including a major “crash” that took the entire loan-processing function offline for more
than eight hours. Stephanie Bryant has been assigned to oversee the upgrade project at PFS. Her
team consists of various customers from key business units, a half dozen IT developers, and two
junior project managers.
The project is behind schedule and senior management is getting frustrated with the lack of
progress. The initial difficulty focused on gaining clarity in regard to the specifications for the
upgrade. Each business unit made requests for features that would fit their needs, but gave little
thought to the impact these changes might have on other business units or the developers
tasked with creating the functionality for these features. Stephanie was not able to broker an
agreement and the debate over what needs to be done to improve the current system at PFS is
still unclear to the team.
Further, the Chief Information Officer, Venkat Nair, has complained to Stephanie about the
demands being made on the six IT staff assigned to the project. It seems one of the business unit
leaders, Director of Consumer Operations Joe Moore, complained to Venkat that his IT employees
are not used to working as hard as the staff in the Consumer Operations unit. Joe went on to tell
Venkat that he had assigned employees with “poor skills and a bad work ethic” to the project
team. These comments surprised and upset Venkat as he had personally selected the six IT
employees working on the project. Venkat was so frustrated by his encounter with Joe that he
asked Stephanie to reassign the IT developers back to him so that he could personally oversee
their work. Stephanie was reluctant to make this shift in reporting structure, but she agreed any-
way as she did not want to further anger Venkat or Joe. This change added a layer of communica-
tion complexity and made it more difficult for Stephanie to communicate with the IT staff
assigned to her team. It also decreased the interaction between the IT developers and other
members of the team as the IT staff insisted all communication be filtered through Venkat.
The current computer system at PFS is continuing to have problems and Stephanie and her
team do not seem much closer to getting the updates completed than when the project started.
Many of the business unit leaders are asking for a new leader to be appointed and Stephanie is
feeling like she is losing control of the project.
Discussion Questions
1. Why do you think this project has derailed?
2. What advice would you have for Stephanie to get the project back on track?
3. How might Stephanie work to resolve the dispute between Venkat and Joe?
4. Have you ever been involved in a project where the team was not aligned? What caused
this problem? How did you (or could you have) improve the situation?
5. Are the leadership challenges different in ad hoc project groups than in established long-
term teams? What are the differences? How can these be managed?
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TRW Automotive, Microsoft, Price Waterhouse Coopers, and General Electric
rely on virtual teams to carry out marketing, consulting, project engineering, cus-
tomer service, and other functions. Two-thirds of Intel’s employees, for example,
collaborate with team members at other locations. Virtual teams are used by a
majority of global companies. Businesses and nonprofits want to draw on a wide
variety of expertise from around the world without the expense of relocating
employees or flying them to a central location. In addition, virtual global teams can
respond more rapidly to changing international conditions than conventional
teams, reducing product development times and costs.60
Experts agree that leading a virtual team is more challenging than leading a tra-
ditional team.61 Virtual teams add a layer of complexity. Leaders must carry out all
the functions we described earlier in the chapter—making effective decisions, build-
ing a collaborative climate, encouraging unified commitment, and so forth. At the
same time, they also have to cope with the problems created by space, time, and cul-
tural differences as well as by computer-mediated communication channels. Mem-
bers often feel isolated and find it hard to stay committed to other team members
they might never meet in person. It is easier for them to get distracted by competing
demands in their immediate physical environments and to do less than their fair
share of the team’s work. Some in the group may have to get up early or stay up late
to meet with those in other time zones. In virtual global teams, members have to
manage cultural differences. Because electronic communication is not as “rich” (it
doesn’t carry as much information) as face-to-face communication, miscommuni-
cation is more likely. E-mail recipients have to decode messages without the benefit
of verbal and nonverbal cues like tone of voice, facial expressions, and posture.
Investigators suggest that effective leaders meet the added challenges of virtual
teams through the following strategies.62 You can draw on these tactics if you find
yourself in charge of a dispersed team.
Task-Oriented Team Building
In traditional groups, cohesion comes in large part from the informal interac-
tion between group members, like gathering after work or impromptu discussions
in the hallway. In virtual teams, team collaboration is more dependent on task per-
formance—consistently carrying through on promises and assignments, respond-
ing quickly to requests, and so on. Effective virtual team leaders don’t ignore the
social dimension of group work. They may devote a good portion of initial e-mails
and meetings to informal interaction about hobbies, work background, and family,
for instance. However, the social component of team building complements the
task dimension.
Perceptions of trustworthiness of other members form within “the first few
keystrokes.”63 Brusque comments, ambiguous messages, and other credibility-
reducing behaviors undermine trust. Leaders can help build a trusting climate by
rallying the group around a common project or task and expressing their commit-
ment and enthusiasm. They can also create an “expertise directory” which contains
photos of members along with information on their training, skills, and experience.
(We’ll have more to say about trust building in the next chapter.)
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How leaders and members respond to messages is particularly important to
fostering collaboration in the virtual environment. Timely e-mail responses signal
involvement, attraction, and attachment. Often the responder can provide infor-
mation to help clarify the original message. Delayed responses frustrate communi-
cators, can be interpreted as a signal of disinterest or dislike, and deprive senders of
vital information needed to interpret earlier communication. The leaders of suc-
cessful virtual teams encourage team members to respond quickly to messages.
Predictability, like promptness, also plays a significant role in building cohesion.
Group members don’t always need to communicate often but they should do so in
a consistent fashion (such as at the same time every week). They ought to notify
others if they are going to be gone and can’t participate in an upcoming discussion.
A Proactive Approach to Creating and Maintaining Structure
While structure is necessary for on-site teams, it takes on added importance in
virtual teaming. Dispersed teams need clear guidelines and structure to help over-
come the barriers of distance, diverse backgrounds, and competing demands on
their time. Effective leaders are proactive, outlining the group’s purpose and mem-
ber roles before the team is formed. They provide detailed instructions in writing,
describe workflow, and outline operating rules (e.g., members should respond to
all e-mails within 24 hours). They also set forth clear performance standards
related to such metrics as growth of market share, profitability for each transac-
tion, process improvements (cycle time, installation time), and customer satisfac-
tion. Once the group is underway, successful leaders make an ongoing effort to
maintain and improve structure. They continuously monitor group interaction as
well as individual and collective performance, providing ongoing feedback to
members on how well they are fulfilling their roles and meeting objectives. In addi-
tion, they create a virtual workspace for posting progress reports, meeting agendas
and minutes, action item lists, and other vital information.
Mastery of Communication Technology and Channels
Since virtual groups are linked through computer-mediated communication,
skillful use of technology is critical. Members must have access to the right tech-
nology and know how to use it. Leaders of productive teams ensure that followers
have the necessary equipment and software and provide training. They also aban-
don technologies that are no longer working. Yet, equipping and training are just
the beginning. Effective leadership involves matching message content with the
proper technology or format. To succeed, virtual team leaders must accurately
determine which form of communication—e-mail, videoconferencing, online
meetings—should be used in which situation. E-mails sent at different times (asyn-
chronous messages) work well for routine communication. However, as the need
for information and coordination increases, real-time forums (synchronous com-
munication) are required. These include online chats, regularly scheduled online
meetings, and phone calls. Managing conflicts, reinforcing group cohesion, and
dealing with the most complex project issues requires even richer channels—vid-
eoconferencing and, whenever possible, face-to-face meetings.
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Enhancing Visibility, Recognition, and Rewards
Virtual team members often operate “out of sight, out of mind.” Much of the
work they do is invisible to coworkers and, more importantly, to supervisors. They
don’t get the notice that physically present employees get from coming to work
early and leaving late, for instance. As a consequence, bosses are less likely to rec-
ognize the contributions of virtual team members during performance reviews and
less likely to make supportive comments. Effective virtual leaders make sure that
local leaders are aware that their employees are engaged in important work. They
may conduct status briefings for other managers, act as advocates for team mem-
bers, set up virtual steering committees comprised of local supervisors, or require
that individuals report out to their closest bosses. The best virtual team leaders
also make sure that team members are rewarded for their efforts through hosting
virtual reward ceremonies, acknowledging the successes of individual members at
the beginning of meetings, praising team members to outside executives, and
assuring that virtual work is seen as a path to career success.
Team Coaching
Teams of all types are more likely to succeed if they receive skilled coaching.
Coaching refers to direct interventions or interactions with a team designed to
help improve its collective performance.64 Unlike individual coaching, which
addresses the performance of a leader or individual group member (see chapter
11), team coaching is directed at the group as a whole. In some cases, the coach is
an outside observer (someone from human resources, for instance) or an organiza-
tional consultant. In other cases, the team leader takes on this role.
Harvard University small group experts Richard Hackman and Ruth Wageman
argue that coaches should set aside the belief that better interpersonal relation-
ships are the key to better performance and focus instead on how groups can bet-
ter complete their tasks.65 Further, coaching needs to be offered at the right stage
of the group’s development. Hackman and Wageman outline three coaching func-
tions to be carried out at different points in the group’s evolution. Motivational
coaching addresses the effort the team needs to put into the task and should be
offered when the group is starting out. A new group is grappling with task require-
ments and has little capacity for developing a performance strategy. Instead, mem-
bers need to commit themselves to the group and doing their share of the
workload. Consultative coaching addresses the strategy the group uses to complete
its work. It is best offered at the midway point, when group members may have dis-
covered that their usual ways of interacting aren’t effective and are looking to try
new tactics. Educational coaching addresses the development and use of knowl-
edge and skill. This type of coaching is best done at end of the project. Members
may recognize that they paid too much attention to some members while under-
valuing the contributions of others, for instance. The knowledge they capture at
this point can be used to make the team more effective in future projects. (Turn to
box 7.7 for more information on effective debriefing strategies.)
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British consultant Peter Hawkins offers an approach to team coaching that is
particularly well suited to project groups.67 He urges team leaders and outside con-
sultants to help teams develop the following five disciplines, which focus not only
on how group members function with each other but also on how the team relates
to outside stakeholders.
Discipline 1: Commissioning and re-commissioning. Commissioning coaching
addresses elements of the team’s formation (see our earlier discussion of the stages
of the project life cycle). The team needs to understand why it was formed and the
task it is commissioned to do. Targets need to be set, contracts drawn, and team
members selected. The commissioning individual or body should outline the sup-
port it will provide to the team.
Discipline 2: Clarifying. Clarifying coaching helps the group tie its purpose to
that of the larger organization. Team members need to develop their own mission
and values as well as the unique strategy they will use to accomplish their work.
They also need to identify the roles and expectations of group members while set-
ting performance objectives and benchmarks.
Discipline 3: Co-Creation. Co-creation coaching is focused on how the group
creates and carries out its work in formal meetings and when members interact
between meetings. Interventions address work strategies and processes as well as
how the group deals with conflict.
Box 7. 7 Research Highlight The Power of the Debrief66
A debrief or “after-action review” is a simple, quick, low cost, and efficient way to improve
group effectiveness. In one analysis of 46 studies of debriefs, researchers found that groups that
systematically paused for reflection and goal setting saw an increase of 20–25% in individual and
group performance. ( The average debrief took only 18 minutes.) Debriefing not only helps the
group identify what went well or what fell short in the current project but also helps the group
better tackle the next assignment.
The researchers identified four characteristics of effective debriefs. First, they involve active
learning. Instead of telling participants what the group did well or poorly and how to improve,
leaders ask group members to share their thoughts and reflections through ratings, questions,
and surveys. Second, effective debriefs are developmental, not administrative. Instead of using
debriefs to evaluate group members, the focus is on helping the group learn and develop. Third,
the best debriefs focus on specific events. Rather than addressing overall strengths and weak-
nesses, the leader or facilitator highlights specific events or situations that happened in the life of
the group. This allows the group to develop specific action plans going forward. Fourth, informa-
tion from multiple sources is more effective than from a single source. Hear from multiple team
members and, when possible, from an outside observer.
Unfortunately, many groups fail to learn from their work together because they fail to debrief.
Consider the experience of the many student groups, for instance. Once they complete a class
assignment together, members immediately move on to tackle the next one without reflecting on
their performance on the previous project. The same is true of flight crews. Few pilots and co-pilots
pause to discuss how a flight went, for example, before heading home or on to the next route.
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Discipline 4: Connecting. Connecting coaching provides feedback to the team
on how well it is relating to important stakeholders. The team may need help
developing effective strategies for communicating with outside groups and assign
specific members to keep in touch with specific stakeholders.
Discipline 5: The core learning. Core-learning coaching helps individuals and
the team as a whole perform and learn. Coaches help teams develop a positive sup-
portive climate which promotes personal and collective development.
CHAPTER TAKEAWAYS
• From a communication viewpoint, a small group has five essential elements: (1)
a common purpose or goal, (2) interdependence, (3) mutual influence, (4) ongo-
ing communication, and (5) a size of 3 to 20 members.
• Groups evolve over time. Both group decisions and group leaders emerge as the
group changes and matures. Emergent group leaders (leaders who aren’t
appointed by someone outside the group) are selected through a process of elim-
ination called the method of residues. Leader contenders are eliminated until
only one remains.
• To emerge as a leader, avoid actions that eliminate you from contention like being
silent, constantly joking around, or trying to impress others with your knowl-
edge. Instead, participate frequently in the group discussion, make constructive
contributions, demonstrate your competence, and help build a cohesive unit.
• To provide effective leadership in meetings: (1) determine if a meeting is necessary
before calling people together; (2) have a clear agenda; (3) lay the groundwork; (4)
maintain focus on the agenda throughout the meeting; (5) listen to others; (6)
involve all participants; (7) keep a record; and (8) evaluate the group’s performance.
• Groups charged with making decisions are more likely to succeed when they use
communication to fulfill key problem-solving functions—analysis of the problem,
goal setting, identification of alternatives, and evaluation of solutions—through
the use of such formats as the Standard Agenda and Single Question Format.
• Avoid logical pitfalls that undermine group decision making through counterac-
tive influence. Highlight problems in reasoning and get the group back on track.
• Combat groupthink, which is the tendency to put cohesion above performance,
by soliciting input rather than pushing for your own choices. Encourage diverse
opinions and constructive group thought patterns.
• Be alert to the danger of mismanaged agreement, the tendency for members to
support in public what they oppose in private. Mismanaged agreement (the
Abilene Paradox) causes groups to make choices that undermine their goals. To
break the Paradox, publicly challenge the direction of the group and encourage
others to do likewise.
• A working group meets to share information and ideas, but members are judged
on their individual efforts. In contrast, in a team members work together to pro-
duce a joint product, and the team as a whole is accountable for achieving its
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objectives. One of your key responsibilities as a leader is to decide whether your
members should function as a working group or as a team.
• Eight characteristics essential to effective team performance include: clear and
inspiring team goals; results-oriented team structure (clear roles and responsi-
bilities, an effective communication network, frequent feedback, objective crite-
ria); competent team members; unified commitment; a collaborative climate;
standards of excellence; external support and recognition; and principled (trans-
formational) leadership.
• Project teams produce unique products while operating under time and budget-
ary constraints. Functioning as an effective project team leader means recogniz-
ing the multifaceted nature of the project management role. Acquire and apply
the necessary skills sets (scope, time, cost, human resource, procurement, com-
munication, quality, risk, integration) and adapt their communication patterns to
the demands of the specific project.
• Virtual teams consist of members who work at different locations (often around
the globe) and at different times who coordinate their efforts though e-mail,
online meetings, videoconferencing, and other forms of electronic communica-
tion. To meet the challenges posed by spatial, time, and cultural differences, as a
virtual team leader you will need to: (1) engage in task-oriented team building;
(2) take a proactive approach to providing and maintaining team structure; (3)
master communication technology and channels, and (4) enhance team mem-
bers’ visibility, recognition, and rewards.
• Team coaching describes interventions designed to help the group as a whole
improve its performance. Motivational coaching delivered when the group is
beginning encourages team members to put forth their best effort. Consultative
coaching delivered at the mid-point of a project helps a group adjust its working
strategies. Knowledge coaching at the end of the project enables the group to
capture its learning. Coaching to improve group disciplines (clarifying, commis-
sioning, connecting, co-creating, co-learning) is aimed at improving relation-
ships with outside stakeholders in addition to improving group processes.
APPLICATION EXERCISES
1. Brainstorm a list of possible group norms. Which norms do leaders always
have to follow? Which can they violate?
2. Discuss the pattern of leadership emergence in a group to which you belong.
First, describe the communication patterns that eliminated members from
leadership contention. Next, describe the communication behaviors of the
leader (if one emerged) that contributed to that person’s success. Evaluate your
own performance. Why did you succeed in your attempt to become the leader
or why did you fail?
3. Add to the list of reasons why you should or should not hold a meeting. What
happens if you have a meeting when there isn’t a valid reason for doing so?
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4. Develop an agenda for an upcoming meeting using the guidelines provided in
the chapter.
5. Form a group and use the Standard Agenda or Single Question Format to solve
one of the following problems.
• Due to a budget shortfall, one of your college or university’s sports teams
must be cut. The president of the school will act on the recommendation of
your student panel. Decide which sport will be eliminated.
• A wealthy donor has given $5 million to your institution “to be spent by stu-
dents for the benefit of students.” As members of student government, come
up with recommendations for spending this gift.
• Your college/university task force has been charged with developing a plan
for improving relationships with the surrounding community. Outline a
strategy for achieving this goal.
6. Determine if your group or organization is suffering from groupthink, mis-
managed agreement, or escalation of commitment. Develop a plan for con-
fronting the problem.
7. Analyze the performance of a team using the eight characteristics of effective
teams presented in the chapter. Which elements are present? Which are miss-
ing? What can the team do to become more productive?
8. Describe a high performing team of which you have been a member. What
made this team so successful? Did your group receive any coaching? Why do
you think other teams you were on were less successful?
9. Interview someone who has been a member of a project management team or
virtual team. Report your findings in class.
10. Write a research paper on virtual team leadership. What do you identify as the
behaviors of effective virtual team leaders and members?
CULTURAL CONNECTIONS: AMERICAN AND ASIAN STUDENT GROUPS68
American and Asian students working in classroom-project groups in the
United States can get frustrated with each other. American students sometimes
complain that their Asian counterparts don’t participate enough, and Asian stu-
dents may feel like their opinions don’t matter. To determine why these frustrations
develop, University of Southern California professors Jolanta Aritz and Robyn
Walker analyzed the attitudes and communication patterns of US and East Asian
business professionals enrolled in an MBA program. First, they surveyed students
to determine (1) their level of satisfaction with the group decision-making process,
(2) their sense of being included and valued, and (3) their preferred leadership
styles. The investigators then coded the transcripts of team meetings to determine
how these leadership styles were reflected in the team’s talk.
While the US born native English speakers and East Asians didn’t differ on
their overall satisfaction with the teams’ decision-making process, the East Asians
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did not feel as included, valued, or supported. The cultural groups also differed in
their leader style preferences. US team members favored “decisive and task ori-
ented” as the most important quality of a leader, while Chinese, Japanese, and
Korean respondents put much more value in being conscious of status; involving
others in the deliberations; and being modest, compassionate, and supportive.
(Modesty ranked last in importance to the Americans.) These preferences were
reflected in the group discussions. In one group with a directive American leader,
native English speakers took five times as many turns as East Asian members,
spoke for more than twice as long per turn, and used an average of 1,170 words as
compared to 127 for nonnative speakers. In a group led by a more collaborative
American leader, the leader spent more time asking Asian members for their opin-
ions, tied her thoughts into theirs, and demonstrated more listening behaviors. As
a result, the contributions of both the Asian and American participants were
roughly equal. American speakers took more turns during the discussion but the
average number of words per turn and the total number of words of both the
American (870) and Asian (843) speakers were similar.
Aritz and Walker conclude that US students ought to adopt a more coopera-
tive and inclusive leadership style when working with their East Asian classmates
in small groups. Directive leadership lowers participation and satisfaction. This
style comes across as too aggressive and makes it harder for nonnative speakers to
take their turn. In addition, the cooperative style is a better fit with the Asian cul-
tural values of consideration and being respectful of others.
LEADERSHIP ON THE BIG SCREEN: THE WAY
Starring: Martin Sheen, Emilio Estevez, Deborah Kara Unger, Yorick van Wagenin-
gen, James Nesbitt
Rating: PG-13 for mature themes, drug use, and smoking
Synopsis: California ophthalmologist Thomas Avery (Martin Sheen) travels to
France to identify the body of his estranged adult son Daniel (Estevez), killed in the
Pyrenees while walking the Camino de Santiago, a Catholic pilgrimage to Spain.
Avery decides to honor his son by completing the 500-mile journey, scattering his
son’s ashes along the way. He sets out alone but reluctantly becomes part of a small
group of pilgrims, including a Dutchman (van Wageningen) who is hoping to lose
weight, a Canadian (Unger) who is fleeing an abusive husband, and an Irish writer
(Nesbitt) who wants to publish a travel article about the trip. As the miles go by the
group bonds, with members supporting each other in their efforts to finish the pil-
grimage. The film was directed by Estevez, who wrote the role of Thomas Avery
for his father, Sheen.
Chapter Links: elements of small groups, group evolution, emergent leadership,
groups vs. teams
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8
Leadership in Organizations
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We view leadership as a verb, not a job.
—Ronald Heifetz, Alexander Grashow, Marty Linsky
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OVERVIEW
The Leader as Culture Maker
Elements of Organizational Culture
Shaping Culture
Creating a Learning, Trusting Culture
The Leader as Strategist
The Leader as Sensemaker
Intergroup Leadership
The Power of Expectations: The Pygmalion Effect
The Communication of Expectations
The Galatea Effect
Putting Pygmalion to Work
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Leaders and organizations: it’s hard to talk for very long about either topic
without mentioning the other. Although this chapter is devoted to a discussion of
leadership in organizations, we’ve already talked at length about organizational
leadership in this book. For example, many of the leadership theories presented in
chapters 3 and 4 were developed by organizational scholars. Interest in organiza-
tional leadership is not surprising when you consider that leaders are extremely
important to the health of organizations and that we spend a good deal of our time
in organizations. Amitai Etzioni sums up the importance of organizations this way:
We are born in organizations, educated by organizations, and most of us spend
much of our lives working for organizations. We spend much of our leisure
time paying, playing, and praying in organizations. Most of us will die in an
organization and when the time comes for burial, the largest organization of
all—the state—must grant official permission.1
In the pages that follow we will focus, first of all, on the important communica-
tion tasks of leaders. Then we’ll explore the ways that leader expectations can
either increase or decrease follower performance.
The Leader as Culture Maker
Earlier we noted that humans have the ability to create reality through their use
of symbols, and this is readily apparent in the organizational context. Organizations
are formed through the process of communication. As organizational members
meet and interact, they develop a shared meaning for events. Communication is
not contained within the organization. Instead, communication is the organization.
Communication scholars and others have borrowed the idea of culture from
the field of anthropology to describe how organizations create shared meanings.2
From a cultural perspective, the organization resembles a tribe. Over time, the
tribe develops its own language, hierarchy, ceremonies, customs, and beliefs.
Because each organizational tribe shares different experiences and meanings, each
develops its own unique way of seeing the world or culture. Anyone who joins a
new company, governmental agency, or nonprofit group quickly recognizes unique
differences in perspectives.
New employees often undergo culture shock as they move into an organization
with a different language, authority structure, and attitude toward work and peo-
ple. Even long-term members can feel out of place if they change positions within
the same organization. Each department or branch office may represent a distinct
subculture. Salespeople, for example, generally talk and dress differently than engi-
neers employed by the same firm.3
Elements of Organizational Culture
Dividing organizational culture into three levels—assumptions, values, and
symbols—provides important insights into how culture operates. Members of every
organization share a set of assumptions that serve as the foundation for the group’s
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culture. Assumptions are unstated beliefs about: human relationships (are relation-
ships between organizational members hierarchical, group oriented, or individual-
istic?); human nature (are humans basically good or evil or neither?); truth (is it
revealed by authority figures or discovered on one’s own through testing?); the envi-
ronment (should we master the environment, be subjugated to it, or live in harmony
with it?); and universalism/particularism (should all organizational members be
treated the same, or should some individuals receive preferential treatment?).4 How
an organization answers these questions will determine the way it treats employees
and outsiders, whether or not members will respond favorably to directives from
management, what sorts of products a company manufactures, and so on.
Values make up the next level of organizational culture. Frequently (but not
always) recognized and acknowledged by members, values reflect what the organi-
zation feels it “ought” to do. They serve as the yardstick for judging behavior. One
way to identify important values is by examining credos, vision and mission state-
ments, and advertising slogans. Words like “concern,” “quality,” and “corporate
responsibility” articulate the official goals and standards of the organization. At
times, however, the official or espoused values conflict with what people actually
do, as in the case of an organization that touts its commitment to the environment
but engages in illegal dumping.
Symbols and symbolic creations called artifacts make up the top level of an
organization’s culture. By analyzing these visible elements, used in everyday inter-
action, we gain insights into an organization’s assumptions and values.5 Common
organizational symbols and artifacts include:
language buildings
stories and myths products
rites and rituals technology
written materials heroes
metaphors logos
dress and physical appearance office decor
While there are far too many symbols to examine each in detail, experts pay partic-
ularly close attention to the first three symbols when they analyze organizational
culture. We will review them briefly.
A good way to determine how an organization views itself and the world is by
listening carefully to the language that organizational members use. Word choices
reflect and reinforce working relationships and values. The selection of the word
“we” is revealing. It reflects a willingness to share power and credit and to work
with others (see chapter 5). The choice of terms to describe followers also provides
important insights into organizational life. For example, using the term “associates”
rather than “employees” suggests that all organizational participants are important
members of the team. Workers at Disney theme parks are called “cast members” to
emphasize that they have significant roles to play in the overall performance for
visitors who are, in turn, called “guests.” Unfortunately, language also can reflect
poor attitudes, as was the case at Goldman Sachs, where employees used the label
“muppets” to refer to customers they thought were dumb or stupid.
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Language is a powerful motivator that focuses attention on some aspects of
experience and directs it away from others. Those who speak of innovation or
quality workmanship (“BMW—The Ultimate Driving Machine”) are generally
more likely to provide creative and well-crafted products. In addition, a common
language binds group members together. To demonstrate this fact, brainstorm a
list of terms that you use frequently at school and on the job. Many verbal symbols
like “student union” or “pull an all-nighter” that you take for granted as a student
might not be familiar to those at your workplace. On the other hand, some of the
terms you use at work might be new to other students.
Organizational stories carry multiple messages. They reflect important values,
inspire, describe what members should do, and provide a means to vent emotions. In
many cases, organizational members are more likely to believe the stories they hear
from coworkers than the statistics they hear from management.6 For example, workers
at Intel tell the story of a manager who was fired after receiving an average perfor-
mance evaluation. She was dismissed because “there are no average employees at
Intel.” This story makes it clear that the company has high expectations of its members.
(Turn back to chapter 1 for more information on types of stories and storytelling.)
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The key to effective leadership in corporations is
reading and responding to cultural cues.
—Terrence Deal
Rituals, rites, and routines involve repeated patterns of behavior: saying “hello”
in the morning to everyone on the floor; an annual staff retreat; or disciplinary proce-
dures. Harrison Trice and Janice Beyer identify some common organizational rites:7
• Rites of passage. These events mark important changes in roles and statuses.
When joining the army, for instance, the new recruit is stripped of his or her
civilian identity and converted into a soldier with a new haircut, uniform,
and prescribed ways of speaking and walking.
• Rites of degradation. Some rituals are used to lower the status of organiza-
tional members, such as when a coach or top executive is fired. These events
are characterized by degradation talk aimed at discrediting the poor per-
former. Critics may claim, for example, that the coach couldn’t get along with
the players or that the executive was overly demanding.
• Rites of enhancement. Unlike rites of degradation, rites of enhancement raise
the standing of organizational members. Giving medals to athletes and sol-
diers, listing faculty publications in the college newsletter, and publicly dis-
tributing sales bonuses are examples of such rituals.
• Rites of renewal. These rituals strengthen the current system. Many widely
used management techniques like management by objectives and organiza-
tional development are rites of renewal because they serve the status quo.
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Such programs direct attention toward employee evaluation, goal setting,
long-range planning, and other areas that need improvement.
• Rites of conflict reduction. Organizations routinely use collective bargaining,
task forces, and committees to resolve conflicts. Even though committees
may not make important changes, their formation may reduce tension since
they signal that an organization is trying to be responsive.
• Rites of integration. Rites of integration tie subgroups to the large system.
Annual stockholder meetings, professional gatherings, and office picnics all
integrate people into larger organizations.
• Rites of creation. These rites celebrate and encourage change, helping organi-
zations remain flexible in turbulent environments marked by rapid shifts in
markets and technology. Some groups rotate individuals in and out of the
role of devil’s advocate to challenge the status quo, for example. One com-
pany went so far as to appoint a “vice-president for revolutions.” Every four
years he made dramatic changes in the organization’s structure and person-
nel in order to introduce new perspectives.
• Rites of transition. Meetings, speeches, and other strategies can help organi-
zational members accept changes that they didn’t plan, as in the case of an
unexpected merger. Addressing what the group has lost—past values, sym-
bols, heroes—can ease the transition to a new culture.
• Rites of parting. When organizations die (go bankrupt, disband), parting cer-
emonies are common. Members meet to reminisce and to say goodbye, often
over meals. These events help participants understand and accept the loss
and provide them with emotional support.
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Those who give voice and form to our search for meaning,
and who help us make our world purposeful,
are leaders we cherish, and to whom we return gift for gift.
—Margaret Wheatley
Shaping Culture
Notable leaders concern themselves with much more than organizational charts,
information management systems, and all the other traditional subjects of manage-
ment training. They pay close attention to the assumptions, values, and symbols that
create and reflect organizational culture. Organizational psychologist Edgar Schein
highlights the significant role that leaders play in the creation of organizational culture:
Neither culture or leadership, when one examines each closely, can really be
understood by itself. In fact, one could argue that the only thing of real impor-
tance that leaders do is to create and manage culture and that the unique talent
of leaders is their ability to understand and work with culture.8
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Schein notes that the responsibilities of symbolic leaders shift as the organiza-
tion matures. The founder/owner, in addition to determining the group’s purpose,
imparting values, and recruiting followers, provides stability and reduces the anxi-
ety people feel when an organization is just starting out.9 A new organization often
struggles with meeting its payroll, developing a market niche, and managing
growth. The seeds of future problems are often sown during the organization’s ini-
tial stage of development. For example, the founder/leader might emphasize team-
work but continue to make all major decisions. Other founders do not perform as
effectively as leaders once the organization has been firmly established. Founders/
leaders often lay the groundwork for future change by promoting people who will
share some, but not all, of their values. Once the organization reaches mid-life and
maturity, leaders (frequently someone other than the founder) become change
agents who intervene to challenge cultural assumptions, reinforce key values, or
create new symbols. (Turn to box 8.1 to read about a founder who wants to keep
his company’s culture true to its roots.)
Box 8.1 Case Study Caring for Employees at The Container Store10
Few companies treat their employees as well as The Container Store. The average sales associate
at the company, which sells containers and storage units, makes $48,000 a year (twice the retail
industry average). All workers receive health care coverage (even part timers), generous maternity
and paternity leave, and free snacks. Valentine’s Day is celebrated as “We Love Our Employees Day.”
New hires receive 263 hours of training in their first year; part timers 177 hours. Continuing employ-
ees receive 31 hours of training annually. (This compares to the retail industry average of 8 hours.)
The Container Store’s “employee first” culture has paid off. The company expanded from its
original store in Dallas in 1978 to 79 locations around the US with annual revenues of $795 mil-
lion. In addition, it consistently ranks as one of America’s most admired companies. For 17
straight years it has been one of Fortune’s 100 Best Companies to Work For. In 2015 it was also
named to the following lists: Best Workplaces for Camaraderie, Best Workplaces for Diversity, Best
Workplaces for Women, and Best Workplaces in Retail.
Co-founder, past CEO, and current chairman Kip Tindell is the driving force behind The Container
Store’s employee focus. Tindell is an advocate of “conscious capitalism,” a business philosophy based
on the premise that firms should meet the needs of all stakeholders (not just company owners and
shareholders), and seek to benefit humanity as a whole. (Whole Foods and Starbucks are two other
companies that follow this model.) Tindell believes that he can best serve company stockholders by
making workers the top priority: “If you’re lucky enough to be somebody’s employer, you have a
huge moral obligation to make sure they want to get of bed and come to work in the morning.”11
CEO Tindell’s relational focus is reflected in the Foundation Principles he created to shape the
company’s culture as it grew.
Principle #1: 1 Great Person = 3 Good People. One excellent sales associate is significantly more
productive than three less productive employees, which is why the company pays its workers
well above the industry average and provides generous benefits. Employees are compen-
sated not based on commission but on such qualities as commitment, professionalism, prob-
lem solving, and teamwork. Tindell wants to employ people who excite their coworkers and
make them eager to come to work.
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Principle #2: Fill the Other Guy’s Basket to the Brim. Making Money Then Becomes an Easy Proposi-
tion. This principle promotes win-win relationships with vendors. Container Store leaders
work with suppliers by helping them develop products, placing orders during slow periods to
keep their factories running, inviting them to company events, and paying all invoices on time
(or even early). As a result, many Container Store products are exclusive and buyers are able to
negotiate favorable prices.
Principle #3: Man in the Desert Selling. Sales associates focus on meeting the needs of custom-
ers, which can generate a large volume of sales. They never greet visitors by asking, “Can I help
you?” but instead initiate conversations.
Principle 4: Communication IS Leadership. Container Store leaders build trust by sharing infor-
mation about all aspects of company operations from goals and objectives to daily sales
results and expansion plans to product information. Employees can provide feedback by
speaking to anyone in the firm, not just their immediate supervisors.
Principle 5: The Best Selection, Service, and Price. Good relationships with vendors improve
selection and lowers prices. Before opening a new store, top executives do a song and dance
routine featuring hats that reflect the new community. They select one customer to be Super
Fan, who gets to shop first and receives a gift card.
Principle 6: Intuition Does Not Come to an Unprepared Mind. You Need to Train Before It Happens.
No guidebook can cover every situation so Tindell encourages employees to generate cre-
ative solutions. Well-trained employees are better equipped to meet the needs of customers,
which is why the organization provides extensive training. Container Store employees are
trained to work in every department of the store.
Principle 7: Air of Excitement! Happy employees attract and excite customers, while wide aisles
and neatly shelved products reflect the company’ focus on organization. Company efforts to
maintain employee excitement include an annual chili cook-off and soap box derby. The com-
pany also established an Employee First Fund that provides financial assistance to employees
facing emergencies.
Not surprisingly, employees respond well to the company’s philosophy. More than 90% of employ-
ees say they are proud “to tell others I work here,” believe that management is honest and ethical, and
report that the firm is a great place to work. Only 4% of job applicants are hired after an extensive set
of interviews and, at 10%, turnover is well below most other retailers, where it can be as high as 100%.
Despite the company’s track record of success, Tindell was forced to step down as CEO in 2016
as sales dipped in the face of competition from Walmart, Ikea, and e-commerce sites. Analysts
and critics wanted Tindell to cut labor costs in order to raise the stock price but he refused to do
so, asserting: “A good capitalist will see the value of what we’re doing. We would not be as profit-
able if we did less for our employees and vendors.”12 However, the new leadership team may not
be able to resist the pressure to focus less on employees and more on the bottom line.
Discussion Questions
1. Have you ever shopped at The Container Store? If so, how would you describe your experi-
ence? If not, are you more likely to shop at the retailer after learning more about its culture?
2. Do you agree with Tindell’s assertion that the company’s success is based on its employee-
first mentality? Would sales drop if the firm treated its employees like other retailers?
3. Can you think of other firms that seem to put people first?
4. How important is it for organizations to have fun? To create an air of excitement?
5. Should businesses serve a higher purpose than making money?
6. Will The Container Store be able to resist the pressure to change its corporate culture?
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Your effectiveness as a leader will depend in large part on how well you put your
“stamp” on an organization’s culture or subcultures either as a founder or as a change
agent. Perhaps you want to introduce more productive values and practices or
encourage innovation as part of your vision or agenda. Cultural change, while neces-
sary, is far from easy. Some organizational consultants sell programs that promise to
modify organizational culture in a quick and orderly fashion. Such claims, which treat
culture as yet another element housed in the organizational container, are misleading.
�
Nothing is inevitable until it happens.
—A. J. P. Taylor
Change is difficult because cultures are organized around deeply rooted
assumptions and values that affect every aspect of organizational life. Current sym-
bols and goals provide organizational and individual stability, so any innovation can
be threatening. Nonetheless, knowing how culture is embedded and transmitted
can help you guide the cultural creation and change process. According to Edgar
Schein, there are six primary and six secondary mechanisms you can use to estab-
lish and maintain culture. Primary mechanisms create the organization’s “climate”
and are the most important tools for shaping culture. Secondary mechanisms serve
a supporting role, reinforcing messages sent through the primary mechanisms.13
Primary Mechanisms
1. Attention. Systematically and persistently emphasize those values that
undergird your organization’s philosophy or plan. If your vision emphasizes
customer service, for instance, then you need to focus the organization’s
attention on service activities. Your claim that service should be the com-
pany’s first priority will not be taken seriously unless you as a leader per-
form service, honor good service, and penalize those who fail to respond to
customer needs. In this way, others are encouraged to act as you do, to share
your meaning that good service is important, and to believe service activi-
ties are critical. Some, like Ren McPherson of the Dana Corporation, argue
that paying attention is the key activity of leader/managers. In McPherson’s
words: “When you assume the title of manager, you give up doing honest
work for a living. You don’t make it, you don’t sell it, you don’t service it.
What’s left? Attention is all there is.”14 Focused attention takes on even more
importance when undertaking major transformation efforts.
2. Reactions to critical incidents. The way you respond to stressful events sends
important messages about underlying organizational assumptions. Compare
the way that organizations handle financial crises, for example. Some use
layoffs as an efficient way to balance the books. Others, who put cooperation
ahead of efficiency, cut costs by asking everyone to work fewer hours. (See
chapter 13 for more information on how to prepare for crisis situations.)
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3. Resource allocation. How an organization spends its money is a key indicator
of where it is headed. Looking at projected expenses reveals whether a com-
pany will invest in new product lines, for example. Further, the process of
budgeting reveals a great deal about organizational values and assumptions.
The greater the organization’s faith in the competence of its employees, for
instance, the more likely it is to involve people from all levels of the organiza-
tion in setting financial targets. Because budgeting sends such strong cul-
tural signals, think carefully about what you want to communicate when
deciding how to create the departmental or organizational spending plan.
4. Role modeling. Effective leaders work to develop others who share their vision.
Become a coach and teacher to followers, particularly to those who are directly
underneath you on the organizational ladder. Like The Container Store, you
can also instill organizational philosophy through formal training programs.
5. Rewards. Rewards and punishments go hand in hand with the mechanism
of attention described earlier. If service is your goal, then honor those who
provide good service (through expanded job responsibilities, pay raises,
etc.) and discipline those who don’t.
6. Selection. Since organizations tend to perpetuate existing values and
assumptions by hiring people who fit into the current system, reform the
culture by recruiting members who share your new perspective rather than
the old one. Promote those who support your vision; if necessary, help those
who won’t or can’t change find employment at another organization.
Secondary Mechanisms
1. Structure. Organizational design and structure affect how leaders divide up
such things as product lines, markets, and work responsibilities. Some struc-
tures emphasize the interdependence of organizational units, for example,
while others encourage each department or branch to operate as indepen-
dently as possible. With this in mind, determine what your current structure
says about your underlying premises and make changes when appropriate.
2. Systems and procedures. Quarterly reports, monthly meetings, work rou-
tines, and other recurring tasks occupy much of our time in organizations.
You can use these organizational routines to reinforce the message that you
care about certain activities. For example, requiring a weekly sales report is
a reminder that you are concerned about marketing results. Performance
reviews that ask about an employee’s honesty and integrity are a reminder
that results need to be generated by ethical means.
3. Rites and rituals. To encourage change, nonessential rituals (those with lit-
tle meaning for participants) can be dropped, essential rituals can be
adapted to new purposes, and new rituals can be created. For instance, the
annual Christmas party that has been a source of discomfort can become an
annual banquet at which the organization promotes cooperation and team-
work. Harrison Trice and Janice Beyer suggest that rites of passage and
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enhancement are the best ways to encourage change.15 Develop new ways to
help organizational members pass from one status to the next and publicly
celebrate the accomplishments of those who meet the new standards. One
college, for example, decided to officially welcome freshmen during the first
week of school. Campus leaders instituted an all-campus assembly designed
to reinforce the school’s academic mission and to honor faculty achieve-
ment. Faculty members attend in their academic regalia and the student
body president and college president greet the new students. Both incoming
and returning students pledge to support one another. The recipients of the
previous school year’s faculty research and teaching awards are announced.
The undergraduate professor of the year speaks to the gathering.
4. Physical space. The physical layout of your organization’s facilities can
transmit your values, but only if you pay close attention to the messages you
send through these elements. Restaurants are good examples of how physi-
cal settings can communicate important themes. The harsh lights, stainless
steel counters, bright colors, and uncomfortable seats of fast-food restau-
rants invite customers in for a cheap, pleasant, and quick meal. The muted
lighting, plush carpeting, and linen tablecloths at fancy restaurants encour-
age customers to linger over expensive dinners complete with drinks and
dessert. Determine what type of message you want to send through your use
of physical space (collegiality, stability, familiarity) and design accordingly.
5. Stories. Consider creating new stories and changing old ones. If you are
faced with a negative story that is already part of the organizational culture
(perhaps a tale of how management is insensitive to worker needs), work to
change the behaviors that made the story believable.
6. Formal statements. Most of what an organization believes never makes it
into a formal statement. Nonetheless, as we noted earlier, credos and mis-
sion statements do reflect important values. Writing such statements can
help you and your constituents clarify your thinking. If members under-
stand the philosophy of the organization and have a statement of its goals,
they can quickly make decisions about what actions will help their company
or nonprofit group.
�
We must be the change we wish to see in the world.
—Mahatma Gandhi
Creating a Learning, Trusting Culture
The cultures of successful organizations take a variety of forms based on group
history and membership, the environment, goals, values, and other factors. How-
ever, effective organizations generally share these cultural distinctives: a commit-
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ment to learning and a trusting organizational climate. In this section we’ll outline
ways you can promote organizational learning, and build trust.
Leading the Learning Organization
Learning is key to organizational adaptability and survival. Effective leaders
build learning organizations that are skilled at generating and acquiring knowledge
and then using that information to modify behavior.16 They model learning by read-
ing, attending workshops, visiting customers, touring factories, and so on. Learning
leaders also function as teachers who challenge the assumptions of the group, ask
probing questions, and allow others to experiment and fail.17 (Box 8.2 describes one
strategy for challenging assumptions.) They recognize the factors that inhibit learn-
ing. Common learning barriers include a lack of curiosity; inertia (it’s easier to con-
tinue old ways of doing things); defensiveness that supports the status quo; fear of
new ideas; organizational silos that separate groups; a lack of time and resources
Box 8.2 Challenging Mental Models through Scenarios18
Scenarios are stories about what might happen in the future. Shell Oil has used scenarios for
decades and credits scenario planning for helping it anticipate the oil crisis of 1973 and to cut
back on production before the oil glut of 1981. Scenarios challenge the assumptions of managers
and force them to consider other alternatives, thus fostering learning. They also provide a com-
mon language for addressing problems, creating strategy and, in some cases, changing reality.
One example of the power of scenarios comes from the 1992 Mount Fleur Scenario exercise
held during negotiations to end apartheid in South Africa. A diverse group of leaders—blacks,
whites, liberals, conservatives, businesspeople, union members, academics, politicians—applied
the Shell scenario method to make a successful transition to democracy. They developed four
stories in response to this question: “How will the South African transition unfold and will the
nation succeed going forward?” The first three scenarios were negative and were to be avoided:
(1) Ostrich—the minority white government sticks its head in the sand and avoids a settlement
with the black majority; (2) Lame Duck—a lengthy transition with a weakened government that
satisfies no group; and (3) Icarus—the new black government embarks on a huge public spend-
ing program that bankrupts the country. The one ideal scenario to be pursued was Flight of the
Flamingos, where everyone works together and all groups slowly prosper. Icarus got the most
focus because it ran counter to the assumption of Nelson Mandela’s ANC party that money
should be redistributed from whites to blacks and that the economy would continue to prosper if
it did so. However, Mandela and his top economic advisors changed their stance when they real-
ized that the economy might be destroyed, undermining democratic government. After Mandela
came to power, South Africa exercised fiscal discipline and observers gave credit to the Mount
Fleur scenarios.
Effective scenarios need to capture the interest of readers and highlight different assumptions
and outcomes. Before writing a scenario, interview key organizational members and gather infor-
mation from outside sources. Develop a coherent story line and give each scenario a memorable
name or title. Explain the use of scenarios to the leadership team and decide how they will be
used by the organization. Shell scenario makers suggest that four scenarios are ideal. Offering
three tempts leaders to choose the one they consider to be in the middle. More than four adds
too much complexity.
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dedicated to gathering and sharing information; and inability to act on learning.19
Learning leaders seek to overcome these obstacles by, for example:
• promoting a recognition of the gap between current and desired performance
• rewarding creative ideas and innovation
• fostering open communication about problems, errors, or lessons learned
• making a commitment to continuous education
• honoring diverse ideas and approaches
• recognizing that the organization is a system with interdependent groups
and units20
Further, learning leaders ensure that their organizations make effective use of three
types of learning: intelligence, experience, and experimentation.21
Intelligence consists of the collection and interpretation of information gathered
from sources outside and inside the organization. Search intelligence involves scan-
ning and analyzing data that already exist or are readily available through public
sources like newspapers, patent filings, information databases, social media, and
Internet websites. Searching can reveal cultural or industry trends or market growth,
for instance. (We’ll have more to say about identifying important trends or issues in
the next chapter.) Inquiry intelligence must be used when existing information is
incomplete or unavailable. For example, an auto dealer may want to discover why car
buyers chose its dealership over others in the area. Managers might use interviews,
questionnaires, and/or focus groups to gather this information, asking closed-end
questions like “How many dealerships did you visit before choosing this one?” or
posing open-ended queries like “Why did you choose to buy a car from us?” Obser-
vation intelligence is appropriate when respondents have trouble communicating
their real needs or feelings. Most employees can describe their formal job duties, for
instance. However, by observing their behavior, you might discover that they spend
much of their time on responsibilities not spelled out in their job descriptions.
Experience learning is based on doing—entering a new overseas market,
acquiring a competitor, surviving a crisis, solving an ethical dilemma. Learning
organizations analyze their successes and, more importantly, their failures. Learn-
ing leaders develop case studies based on organizational experiences, or they draw
side-by-side comparisons between average and superior products. Boeing used the
comparison strategy to make sure that problems with the 737 and 747 airplanes
weren’t repeated. These models were contrasted to the 707 and 727 rollouts, which
were highly successful. You can also conduct reviews to determine why individuals
(engineers, leaders), groups (project development teams), and entire organizations
are effective.
Experimentation comes into play when organizations enter unfamiliar territory.
Through experiments, learners introduce changes, observe, and then draw conclu-
sions. They may test different explanations or interpretations to account for why
sales are down or customer complaints are up, for example. Exploration is a form of
experimentation that introduces prototype products (clothing lines, soft drinks,
software) and processes (automated assembly lines) and then refines them based on
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feedback. Demonstration projects test significant changes in one location before
they are rolled out to the rest of the organization. GE took this approach when it
created an entirely new manufacturing plant to produce an advanced refrigerator
compressor. At the facility, engineers developed a new manufacturing process and
modified existing machines to meet more rigorous specifications. Employees
received extensive training in order to master additional responsibilities and to suc-
ceed in newly created work teams. Many of the lessons learned at the plant were
then adopted by managers and workers in other divisions of the company.22
The leaders of learning organizations effectively manage the knowledge gained
through intelligence, experience, and experimentation.23 They realize that infor-
mation has little value unless it is shared or disseminated. In fact, failing to share
knowledge can be expensive. A department at AT&T, for example, spent $79,449
to collect information that was already available to the public in a Bell Lab techni-
cal document priced at $13.24 To encourage knowledge sharing rather than knowl-
edge hoarding, knowledge management experts William Ives, Ben Torrey, and
Cindy Gordon argue that you will need to address all of the following elements.25
• Business context. Link knowledge sharing to shared goals and the success of
the organization. The greatest dissemination of knowledge occurs when
employees are highly committed to the mission and values of the group, are
informed of the organization’s strategy, and understand the challenges and
opportunities posed by the organizational environment.
• Organizational structure and roles. Create a competent staff of knowledge
management professionals (IT staff, corporate librarians, chief knowledge
officers) who can assist employees. Within business units, identify and
encourage those who sponsor and reward knowledge-sharing activities,
serve as experts in content areas, integrate new information into daily opera-
tions, and train employees.
• Organizational processes. Knowledge sharing should become part of the
average job description. Specify how new knowledge is to be contributed
and captured. Examples of knowledge-sharing processes include open
forums, team debriefings, recording best practices, and knowledge fairs.
• Organizational climate. Knowledge sharing should become an organiza-
tional priority. Emphasize this behavior in orientation and training sessions,
reward it, promote open communication between individuals and units, and
include questions on knowledge sharing in project reviews.
• Physical environment. Create quiet spaces where employees can reflect and
record their insights as well as attractive spots—kitchens, cafes, lobbies—
where they can meet to share ideas. (Google, as we saw in chapter 4, pro-
vides lunch in order to encourage employees to share information.) Install
network connections to allow interaction with those located off-site.
• Direction. Guide the knowledge-sharing process. Create guidelines and
processes; focus on action steps; provide structured questions for analysis
and reflection.
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• Measurement. Assess individual and group knowledge-sharing behavior by
measuring contributions (participation in online discussions, submissions to
databases) and through cost-benefit analyses (reduced product development
time, improved efficiency). Texas Instruments estimates that it retained $1.5
billion in business by improving its delivery times through knowledge man-
agement; Dow Chemical saved over $40 million in patent maintenance fees.
• Means. Facilitate knowledge sharing through technologies like e-mail, the
Internet, groupware, and videoconferencing.
• Ability. Help followers develop information-sharing skills (networking, rela-
tionship building) and tools for capturing knowledge (logs, computer pro-
grams). Support their attempts to reflect on and to record their learning as
they perform on the job.
• Motivation. Emphasize the intrinsic rewards of sharing data—saving time
and money, completing a project, interacting with others, pride in being rec-
ognized as an expert. External rewards should not undermine team efforts
or pit individuals against each other. Pay particular attention to the interper-
sonal dimension of information sharing by creating learning communities
made up of groups of employees with similar tasks and interests. Demon-
strate respect for the ideas of every follower.
�
Power comes from transmitting information
to make it productive, not hiding it.
—Peter Drucker
Building a Trusting Climate
Trust, like learning, is essential to organizational success. Organizations with
trusting climates are generally more productive, innovative, competitive, profitable,
and effective.26 Trust boosts collective performance by (1) fostering teamwork,
cooperation, and risk taking; (2) increasing the flow and quality of information; and
(3) improving problem solving. Those who work in a trusting environment are
more productive because they have higher job satisfaction, enjoy better relation-
ships, stay focused on their tasks, feel committed to the group, sacrifice for the
greater organizational good, and are willing to go beyond their job descriptions to
help out fellow employees.
Organizational trust is defined as the collective level of positive expectations that
members have about others and the group as a whole. Trusting cultures are marked
by high expectations of (1) collective competence, (2) openness and honesty, (3) con-
cern for employees and other stakeholders, (4) reliability, and (5) identification.27
Competence is belief in the effectiveness of coworkers, leaders, and the entire
organization. Members are convinced that the organization can survive through
generating new products, meeting competitive pressures, and locating new mar-
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kets. Leaders help foster perceptions of competence by creating a compelling and
relevant purpose and vision. In addition, they promote competent individuals into
leadership positions, design organizational structure to focus on results, focus the
organization on its core capabilities, and manage change. Kia and Hyundai are two
organizations that have moved from incompetent to competent. Once derided for
their inferior products, the companies ranked second and fourth in the 2015 JD
Powers Initial Quality Survey.28 (The Cultural Connections feature at the end of
the chapter describes how Hyundai was able to improve so rapidly.)
Openness and honesty refers to the perception that people, both inside and
outside the organization, get the information they need and that what they hear is
truthful. The organization operates on a “need to share” basis by providing infor-
mation in a timely fashion. Leaders foster openness and honesty by assessing and
improving both current organizational communication practices and their own
communication competencies. Volkswagen is one company that faltered because
of its closed culture. The firm admitted to installing software that could defeat
emissions tests (and improve results) in more than 15 million vehicles. Observers
note that the firm has a “cutthroat and insular” culture which discouraged employ-
ees from speaking up about the scam for fear of punishment. Members of the
board of directors say they didn’t learn about the emissions cheating until two
weeks after top executives acknowledged the deceit to American officials.29
Concern for employees and other stakeholders describes genuine caring for
employees and other groups. Caring organizations communicate respect, are sup-
portive, and try to correct mistakes and missteps. They listen to every stakeholder
group with whom they come into contact—clients, vendors, neighbors, donors,
investors, and customers. Policies and practices are consistent with a “stakeholder
first” mentality. Employees, the most important stakeholders, feel fairly treated.
Global engineering firm CH2M Hill (which is employee owned) demonstrates con-
cern for workers by actively recruiting and advancing women, investing heavily in
training and development programs, and providing employees with opportunities
to work on interesting projects that benefit local communities.
Reliability describes organizational dependability. Reliable organizations act
consistently. They can be counted upon to carry through on their commitments
and their actions align with their words. Leaders build a culture of high reliability
by making sure they follow through on their promises to purchase new equipment,
raise salaries, change manufacturing processes, and so on. In addition, reliable
leaders provide explanations for changes and refuse to overcommit or overprom-
ise. They also communicate expectations and hold individuals at all levels of the
organization accountable for results.
Identification is the degree to which members and other stakeholders identify
with (connect with) the organization’s goals, values, and culture. Leaders foster
identification by (1) connecting employees to organizational mission and values
through orientation and training programs, (2) continually emphasizing that
employees, customers, and other stakeholders are important to the organization,
and (3) modeling high character and courage.
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Unfortunately, trust is fragile.30 Untrustworthy acts can quickly undermine
attempts to build a trusting culture. The reputation of Wells Fargo took a serious
hit after it opened accounts without the permission of customers and then charged
fees on some of those fraudulent accounts. Employees felt betrayed because they
opened the accounts after being pressed to meet impossible sales goals; those who
complained about the fraud were harassed or fired. CEO John Stumpf was forced to
resign, though he left with millions in pay, which added to the sense of betrayal.31
To preserve trust, we need to remove those factors that destroy it. Listed below
are some common “trust busters” to eliminate.32
inconsistent messages and behavior dishonesty
unjust rewards “us” versus “them” mentality
incompetence and low standards restricted social interaction
inconsistent rules and procedures negative moods (anger, frustration)
secrecy finger pointing; blaming
concentration of power micromanaging
hierarchy failure to delegate
monitoring and surveillance high turnover
unclear priorities and vision unmet expectations and promises
organizational underperformance
�
Trust has rightly moved from a bit player to center stage
in contemporary organizational theory and research.
—Roderick Kramer
It isn’t always possible to preserve trust. For example, you may promise extra
vacation time only to be overruled by your supervisor, or employees may be bitter
about the organization’s pay structure. When trust has been significantly damaged,
you will need to engage in trust repair. Following these four steps can help rebuild
trust after it has been breached.33
Step 1. Determine what happened. The causes may not be as obvious as you
think. Ask yourself:
• How fast did trust break down? If the deterioration was gradual, study the
process to try to prevent similar failures in the future. However, don’t expect
to recover quickly from any breach of trust, slow or rapid.
• When did the violation of trust become known to you and to the larger orga-
nization? A significant gap between when the problem was recognized and
when it was addressed will intensify feelings of betrayal.
• Was there a single cause? Responding to an isolated event is easier than deal-
ing with a series of events, but don’t ignore the possibility that several fac-
tors—poor performance, inconsistent standards, unfair rewards—could be
at work.
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• Was the loss of trust reciprocal? If both parties feel betrayed, then it is likely
that neither side will respond objectively. Avoid retaliation and start a con-
flict resolution process if needed.
Step 2. Determine the depth and breadth of the loss of trust. Adjust your
response to each affected group. In the case of layoffs, for example, some locations
and departments will feel the impact more than others. More effort will need to be
expended to restore the trust of these groups.
Step 3. Own up to the loss (don’t ignore or downplay it). Acknowledge that trust
has been broken as soon as possible. Promise to address the problem even if you
don’t have action steps in mind yet. Set a time when you will return with more spe-
cifics about how the issue will be addressed.
Step 4. Identify what you must accomplish in order to rebuild trust. Rebuilding
trust may require providing more information, reconciling competing departments,
or reducing pay inequities. List the changes that need to occur to reach these objec-
tives. You may need to hold monthly informational meetings, merge work units, or
form a compensation task force. Be careful not to overlook the details. Determine
the extent of your involvement in the changes, for example; decide who else will be
engaged in the process; and set a timeline for implementation.
�
Whatever matters to human beings,
trust is the atmosphere in which it thrives.
—Sissela Bok
The Leader as Strategist
Setting the overall direction of the enterprise is an important responsibility for
many organizational leaders, whether small business owners, entrepreneurs,
senior corporate officers, managers of business units, board members, or nonprofit
executives. Setting the wrong direction is the cause of many organizational mis-
cues. The Digital Equipment Company (DEC) was once the second-largest com-
puter company in the world with over 100,000 employees. However, the company
no longer exists after being sold to Compaq, which was purchased, in turn, by
Hewlett-Packard. DEC leaders decided to make products that were only compati-
ble with other DEC products and believed that superior engineering meant it
didn’t have to advertise. When some of its products ran into trouble and competi-
tors began offering similar items at lower prices, DEC was forced to lay off employ-
ees. IBM, on the other hand, remained successful because it made a strategic shift
from selling computers and other hardware to providing software (technology ser-
vices and consulting). Netflix is another firm that has prospered through a series of
strategic choices. At first it sent DVDs to customers through the mail, offering a
wider variety of films than could be found at Blockbuster or other video stores.
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Then the company developed an algorithm that suggested related DVDs to users.
Later the firm moved into streaming video both nationally and internationally and
began providing original content.
Strategic leadership is concerned with the performance and future of the entire
organization over an extended period of time.34 According to research done at the
Wharton School and with 20,000 executives, strategic leaders have six skills that
enable them to think strategically. The investigators also make suggestions for
improving each skill.35
1. Anticipate. Many leaders are poor at picking up on unclear threats and
opportunities. Executives at Coors, for instance, failed to see the trend toward
low-carb beers and Lego management didn’t recognize the danger posed by
electronic toys and games. Anticipatory leaders are continually scanning the
environment for changes. Improve the ability to anticipate by talking to cur-
rent customers and suppliers as well as lost customers. Try to gauge the
response of competitors to new products and industry developments.
2. Challenge. Strategic leaders challenge their own assumptions and those of
the organization while encouraging divergent points of view. Ways to
develop the ability to challenge include, for example, focusing on the root
causes of a problem, listing and examining long-term assumptions of the
organization, encouraging debate, and getting input from outsiders who
might be able to anticipate the negative outcomes of a choice.
3. Interpret. Thinking strategically means sorting through and synthesizing
complex and often contradictory information. To sharpen interpretation
skills, list three possible explanations for what is happening, actively look
for information that disconfirms current hypotheses, and periodically step
away to clear the mind.
4. Decide. Decisions often have to be made with incomplete information and
involve trade-offs, but strategic leaders don’t get locked in too soon to
either/or choices. Build decision-making abilities by asking for other
options, break down big decisions into parts, and balance short-term and
long-term objectives when coming to a conclusion.
5. Align. Strategic success depends on getting buy-in from colleagues and
stakeholders. Build the ability to align by communicating early and often,
addressing key stakeholders, and reaching out to those who might resist the
strategic plan.
6. Learn. Learning is key to strategic thinking. Promote a learning culture (see
the discussion above) and continue to develop the ability to learn by docu-
menting lessons from failure. (Information on debriefs can be found in
chapter 7.) Reward managers who make good faith efforts but fail.
Strategic leaders use a variety of styles (described in box 8.3) to set direction.
Whatever style they use, however, they begin by anchoring the strategic plan in the
organization’s vision and mission. With the vision and mission clearly in mind, the
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first step is to engage in internal and external analysis. Many organizations conduct
a SWOT analysis to create a portrait of the group’s current standing.36 Draw four
quadrants and then identify the following: organizational strengths (S), organiza-
tional weaknesses (W), opportunities (O), and potential threats (T). Strengths are
factors that contribute to success—experienced staff, location, quality products,
Box 8.3 Research Highlight The Four Types of Strategic Leadership37
British researchers Aaron Olson and Keith Simerson identified types of strategic leaders using
interviews and focus groups made up of graduate students, experts, academics, and practitio-
ners. They then talked to 300 leaders from 10 countries to further develop the characteristics of
each type. According to the researchers, leaders take four approaches to the strategy process,
each with its strengths, weaknesses, and unique behaviors. While there is no one best style, lead-
ers need to carefully consider elements of the situation. In particular, they must decide if they
should provide direction or solicit participation. Entrepreneurs generally have the freedom to
direct the strategy. Leaders in other contexts, such as higher education, creative projects, and city
planning, will need to involve followers in setting direction.
Visionary leaders (strategy through vision)
Examples: Steve Jobs, George Lucas, Nelson Mandela, Lee Kuan Yew (Singapore’s first prime
minister)
Strengths: insightful, inspirational, future oriented
Weaknesses: impatient and difficult to work with
Unique behaviors/actions: monitor trends, develop new insights, design solutions to address
changing environments, move rapidly to change and evolve, enroll others to support the strategy
Directive (strategy through structure and process)
Examples: Jack Welch, Lou Gerstner, Dwight Eisenhower
Strengths: confident, decisive, fair
Weaknesses: controlling, remote, fail to execute the plan
Unique behaviors/actions: set direction through process, establish governance roles and sys-
tems, motivate others, monitor performance, intervene and adjust when necessary
Incubating (strategy through empowering others)
Examples: Ron Howard, Dr. Dre, Warren Buffett, venture capitalists
Strengths: experienced, perceptive, encouraging, nurturing, curious
Weaknesses: fail to provide clear direction, ineffective when put in positions of authority
Unique behaviors/actions: build networks, assess opportunities, diversify bets/investments,
lend assets, create support systems
Collaborative (strategy though co-creation)
Examples: Phil Jackson, Lyndon Johnson, Tony Hsieh
Strengths: engaging, trustworthy, unleash creative energy, possess relational skills
Weaknesses: indecisive, slow to make decisions or fail to make decisions
Unique actions/behaviors: build relationships/connections, listen, find common interests,
share power, demonstrate trust in others
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reputation, etc. Weaknesses are any elements that hold you back—what your orga-
nization can’t do or doesn’t do well, or doesn’t have. For example: high prices, poor
quality, slow delivery times, and lack of technical savvy. Divide each category fur-
ther and identify the strengths and weaknesses that will have the greatest impact—
positive and negative—on future performance. Focus on those items. Then move
onto opportunities and threats. Both opportunities and threats describe what is
happening outside the organization. Opportunities are favorable developments
that increase the chances of success. These could include the collapse of a compet-
itor, new markets, increasing demand, or lower raw material costs. Threats are
changes in the environment that could have a detrimental impact on the organiza-
tion, such as new competitors, additional government regulations, and higher
interest rates. Once again, concentrate on the most significant items. Use this
information for determining the next steps your organization should take.
The Five Forces tool is another popular strategy for determining the strength
of your current position and the possible consequences of adopting a new strat-
egy.38 The competitive forces include:
1. Supplier power. Assess how easy it is for suppliers to raise their prices based
on the uniqueness of the product. The fewer the number of suppliers, the
more powerful they are.
2. Buyer power. An organization’s power is greater if it has lots of customers
who would find it hard to switch from its products and services. Companies
reliant on a few buyers (such as the public relations firm that has one major
client) have little power. Walmart reportedly tells some of its suppliers how
much they can charge for their products, refusing to let them raise prices
even when their costs increase. Walmart can do so because these suppliers
depend on the company for the vast majority of their business.39
3. Competitive rivalry. An organization loses power when customers can go to
competitors for roughly equal products and service. The organization gains
power if its product or service is unique. Netflix now faces fierce rivalry from
Amazon, Hulu, and other companies that also offer streaming video services.
Some of these competitors offer their own original television shows and mov-
ies and make their own deals with movie producers and television networks.
4. Threat of substitution. A company’s power diminishes if customers can sub-
stitute for what the company provides. For instance, many travel agencies
disappeared after travelers began to book their own flights and hotels on the
Internet. Uber and Lyft offer alternatives to the traditional taxi and limou-
sine businesses.
5. Threat of new entry. The easier it is for competitors to enter the market, the
lower the organization’s power. For example, the relative low cost and ease of
online education has encouraged many colleges and universities to offer online
programs. The high cost of offering degrees like engineering, nursing, and
physical therapy (which require lots of equipment and have strict certification
requirements) has discouraged many colleges from offering these programs.
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�
Plans are nothing, planning is everything.
—Dwight D. Eisenhower
The analysis becomes the basis for the next stage in the planning process—
designing a strategy. Selecting a strategy typically involves trade-offs. One major
trade-off is between cost and differentiation (being different). Attempts to differ-
entiate products and services from those of competitors (by improving quality or
offering luxury features, for instance) drives up costs. As a result, firms usually
favor one approach over the other.40 The strategy takes shape through a host of
decisions made throughout the organization about, for example, product design,
marketing, research budgets, pricing, suppliers, staffing, and outsourcing.
Implementation or execution is the final step in strategic planning. Planners
should keep three questions in mind to make sure their strategy is grounded in
reality.41 First, can we do it? The organization must have the resources and skills it
needs to do what it plans. Second, does it make sense? External threats outside the
control of the organization should be carefully considered. Third, does anyone
care? No strategy can succeed if audiences—buyers, clients of nonprofits—don’t
think that the plan is important. For example, some consumers only adopt new
technologies when they are forced to do so. They will not be willing to pay more for
the latest cell phone or smart watch.
�
If you don’t know where you’re going, you might end up somewhere else.
—Casey Stengel
The Leader as Sensemaker
Strategic plans act as maps, identifying possible routes for the organization to
follow as it travels forward. However, a number of scholars argue that leaders
should navigate by a compass instead of a map.42 Because the organizational envi-
ronment is turbulent, they contend that leaders have to interpret conditions while
on the go, making adjustments as events unfold.43 Compasses are therefore more
useful than maps because they provide leaders, like travelers, with a general sense
of direction in the face of ambiguity. Leaders using compasses act as sensemakers,
helping followers interpret or make sense of events and conditions.
We believe that leaders need to engage in BOTH strategic planning and sense-
making, to be guided by both maps and compasses. Leaders must give careful
thought to the overall direction of their organizations since, as noted earlier, plan-
ning can be the key to success. Working toward fulfilling a mission and vision and
meeting objectives engages and energizes followers and channels the energy of the
group. Nevertheless, at the same time, plans are always tentative and subject to con-
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tinuous revision. In many cases they need to be discarded. Unpredictable events like
new technologies and competitors, recessions, natural disasters, and unanticipated
opportunities can quickly render them useless. As a consequence, leaders need to
be in constant touch with their environments and recognize that they are entering
unknown territory. They will also need to provide explanations for what is happen-
ing in and around the group or organization. (The case study in box 8.5 introduces
an organization that needs to plan as well as make sense of its environment.)
Social psychologist Karl Weick argues that sensemaking begins by admitting:
“I don’t know.”
The effective leader is someone who searches for the better question, accepts
inexperience, stays in motion, channels decisions to those with the best knowl-
edge of the matter at hand, crafts good stories, is obsessed with updating,
encourages improvisation, and is deeply aware of personal ignorance. People
who act this way help others make sense of what they are facing. Sensemaking
is not about rules and options and decisions. . . . Instead, sensemaking is about
how to stay in touch with context.44
A vivid example of sensemaking comes from fighting wildfires. Forest fire crew
chief Paul Gleason, considered one of the world’s best firefighters, puts a premium
on staying in touch with the environment. If the danger level appears high, he
might assign as many as 16 members of his team as lookouts, leaving only four
individuals to actually fight the fire. At one fire Gleason worked without gloves to
keep in better touch with weather conditions. When he felt a few drops of rain on
the back of his hands, he knew he was feeling condensation from a huge column of
smoke that was about to collapse. He quickly moved his firefighters to safety.
Unfortunately, six people from another crew that didn’t anticipate the danger were
killed when the column collapsed.
Leading by the compass requires leaders to focus on animation, improvisation,
lightness, authentication, and learning. Animation is keeping followers in motion.
Often we don’t really know the obstacles we face or really know what we think until
we take action. Successful sensemakers take steps to engage followers through
change programs that provide direction, get follower attention, and help members
interact in a respectful way. Improvisation is reshaping or reworking previous expe-
riences, practices, and knowledge. Previous material is adapted to fit current condi-
tions. Jazz musicians are known for their improvisation. They continually introduce
variations around a common theme. In the same way battlefield commanders begin
the fight in order to discover the strength of the enemy. They then adapt their tactics
in response to what they learn. Lightness means letting go of the belief that the leader
has all the answers. This frees leaders and followers to keep listening and exploring.
Authentication occurs when leaders admit they don’t know but then ask followers to
help them discover what is going on. Learning is the outcome of sensemaking. Lead-
ers and followers collectively determine what they have learned because they admit-
ted their doubts and navigated by compass instead of with a map.
Framing is one strategy that leaders can use to make sense or meaning and
thus help create organizational reality.45 In framing, leaders create a mental picture
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of the world and then encourage followers to accept their frame or interpretation
of events. Leaders can’t always control what happens in organizations, but they can
exert significant influence over how events are understood. Helping followers
interpret events like mergers, market shifts, and new programs is an important
task of organizational leadership. Leaders must encourage constituents to adopt
one particular interpretation or frame instead of alternative explanations. To trans-
late a new corporate vision into action, for example, lower level leaders must: (1)
help followers understand the new concepts associated with the vision, (2) show
followers how the new vision is relevant to their jobs, (3) demonstrate enthusiasm
for the vision, (4) relate new ideas with established programs and practices, and (5)
help stakeholders see the next steps in implementing the vision.
�
Life can only be understood backwards; but it must be lived forwards.
—Søren Kierkegaard
Skillful leaders know how to design a framing response that is appropriate to
the leadership context.46 First, they determine the specific task at hand. They may
be faced with leading change, increasing sales, or attracting investors and donors.
They then identify aspects of the situation that might help or hinder their ability to
succeed. A track record of success means that a leader will likely be more effective
in convincing followers to accept his/her frame. Conversely, if followers are cynical
about the latest reorganization plan, the leader will have more difficulty in per-
suading them to buy in to the changes. Third, effective framers determine who is
making attributions about leadership in this situation. A financial analyst may
judge a company leader according to one set of expectations; a union leader will
use another set of criteria. Finally, they determine what frame to use in a particular
setting. Common frames include simplifying complex or chaotic events, outlining
gains and losses when making arguments, and establishing believability (truthful-
ness, objectivity, legitimacy).
Our communication style can help or hinder our efforts to frame reality.
Expressive communicators struggle with framing because their goal is to express
themselves, saying pretty much what they think no matter what the consequences.
President Donald Trump is one well-known example of an expressive communica-
tor. He says what he thinks (often through tweets), commenting on everything
from restaurants and Broadway plays to election results and the actions of foreign
countries. Conventional communicators are more sensitive to framing because
they track what is appropriate to the situation and follow social norms. However, a
conventional approach may blind communicators to better, more creative options.
Strategic communicators are most likely to be skillful framers because they are
very aware of the situation and alternatives for responding. They are highly sensi-
tive to language and choose their words carefully. You can determine your commu-
nication style by completing the self-assessment in box 8.4.
Box 8.4 Self-Assessment Communication Style Inventory47
Directions: There are fifteen pairs of statements in this inventory. For each pair, read both state-
ments and quickly decide which statement best fits your communication style. Even if both state-
ments are partially true, select the one that is true more often than not. Circle either “a” or “b,”
not both. There is no right or wrong answer in this survey.
Scoring: When your response matches the letter “b,” score one point. All answers matching the
letter “a” are to be scored zero. The scale ranges from 0 to 15, with these approximate ranges:
0–8 = Expressive 9–12 = Conventional 13–15 = Strategic
Most leaders are Conventionals.
1a. I pretty much say what I’m thinking most
of the time.
2a. When communicating with another per-
son, you have to respond to what the sit-
uation calls for.
3a. I am sensitive to the context in which I
communicate with others.
4a. I consider myself to be a straight-shooter.
My communication is pretty transparent
most of the time.
5a. If my employees failed on an assignment
that they are more than capable of han-
dling, I would not be afraid to deliver a
harsh message to them.
6a. In difficult situations, I do what’s right.
7a. People around me are shocked at times
with things that I say.
8a. I am concerned about hurt feelings in a
conflict.
9a. I am careful in my use of language on the
job.
10a. My conflicts sometimes end with hurt
feelings.
11a. I might be blunt at times, but people gen-
erally trust that I am telling them the truth.
12a. I try to persuade with the other person in
mind.
13a. I have one goal when I communicate, and
that is to express myself.
14a. I don’t usually play games when I com-
municate.
15a. If someone is really angry and potentially
hostile, I’ll back off. Otherwise, I express
myself pretty freely.
1b. I try to be honest, but within the bounds
of politeness.
2b. I focus on the situation, but I look for
room to maneuver within it.
3b. When communicating with others, I try to
seize the moment.
4b. When communicating with others, you
have to really consider their thoughts
and feelings.
5b. If my employees failed on an assignment
that they are more than capable of han-
dling, I would try to couch a harsh mes-
sage in a polite way.
6b. In difficult situations, I try to redefine the
context in ways that are more suitable to a
beneficial resolution to the conflict at hand.
7b. I try to keep most of my conversations
from veering into unnecessary conflict.
8b. I try to seek consensus in conflict situations.
9b. In general, I understand the power of lan-
guage and the possibilities it affords,
especially at work.
10b. Hurt feelings can usually be avoided in a
conflict.
11b. There is always a “proper” way to com-
municate truthfully that I try to follow.
12b. I’ve been told that I am very verbal;
I could sell cars to a used-car salesman.
13b. I try to communicate with an awareness
of others’ feelings about a given subject.
14b. I can be subtly manipulative at times, but
not unethical.
15b. I try to prevent conflict as much as possible.
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Becoming aware of the importance of framing is one step toward becoming a
more strategic communicator. You can also prepare or “prime” yourself for framing
opportunities. Engage in mental rehearsal before you present your frame, just as
you would study for a test or repeat a person’s name over and over in your head so
you will remember it when you meet that individual again. Set aside time to reflect
upon your mental images of your job and your organization. Constantly be on the
lookout for opportunities to frame, such as when faced with a conflict about poli-
cies, a change initiative, or a crisis. Prime your language use by noting how words
are used in conversation, literature, and news stories. Analyze arguments made in
government and in the media. Create a story file to use in future framing contexts
and constantly expand your vocabulary (learn a new word each day, for instance).
Consciously avoid offensive words and reflect on your verbal missteps to learn
from them.
Box 8.5 Case Study Facing Uncertainty at Airbnb48
Few companies deal with as much uncertainty as Airbnb. For starters, the firm is operating
under a new business model. Airbnb started in 2007 when friends Brian Chesky and Joe Gebbia
(two unemployed Rhode Island School of Design graduates) decided to put out air mattresses
and sell sleeping space to design show attendees in San Francisco. In 2008 another friend,
Nathan Blecharczyk, joined Chesky and Gebbia and they created the website AirBedandBreakfast
(air referring to the air mattresses and breakfast being pop tarts) for travelers who wanted to rent
space in private residences. The firm got venture capital funding and expanded to listing entire
apartments and homes as well as castles, boats, and tree houses for rent. Airbnb (the company
shortened its name) operates with 2000 employees in 21 offices in 190 countries with service to
34,000 cities. In 2015, 35 million visitors booked accommodations on the site.
Airbnb’s business model faces significant opposition, which also generates uncertainty. Hotel
industry leaders argue that governments should level the playing field, making sure Airbnb fol-
lows the same guidelines and regulations as hoteliers. For example, hotels and motels typically
carry liability coverage in case guests are hurt or become the victims of crime during their stay.
Airbnb currently indemnifies property owners up to a million dollars for liability claims. But this
coverage doesn’t include claims for assault, sexual abuse, or terrorist acts. San Francisco and New
York City prevented Airbnb from doing business in their cities. City officials complain that some
property owners, instead of occasionally renting to visitors, operate unregulated and untaxed
hotels by renting space nearly every day. They are also concerned that renting to visitors reduces
the number of rental units available to local residents, contributing to a housing shortage. In
addition to opposition from municipal officials, Airbnb faces the risk posed by the fact that “tens
of thousands of individuals renting homes are interacting with people who they have never
met.”49 There are stories of hosts welcoming guests clad only in towels. Moreover, visitors could
damage rentals or attack homeowners.
CEO Chesky turned to a number of other leaders like Warren Buffet and former CIA director
George Tenet for advice about how to navigate Airbnb’s turbulent environment. Facebook COO
Sheryl Sandberg and eBay executive John Donahoe advised him to quickly boost Airbnb’s inter-
national presence. Taking their advice, Chesky expanded Airbnb’s presence into Europe, also
opening a dozen international offices with representatives in 30 languages and nearly every
(continued)
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global time zone. (Airbnb now covers 99% of the world, compared to 52% for Intercontinental
and Starwood hotels.) He hired Chip Conley, who developed a chain of boutique hotels, to be
head of global hospitality and to help chart strategy. Chesky also drew on the insights of 60
employees who took five months to boil down the company’s strategic plan to four major goals
that fit on a single sheet of paper. (Chesky jokingly referred to this document as “the infamous
paper to take over the world.”)
Chesky, Conley, and others have determined that growth is in hospitality, not in renting space.
To this end, the company has begun offering Airbnb tours and providing services like clean
sheets and towels to hosts. In order to attract more business travelers, Airbnb sends traveler
expenditure data to employers who can then track the spending of employees and now offers
“business-travel-ready” rentals. Business-travel-ready rentals must have high customer ratings,
not be shared by the owner, and provide Wi-Fi, laptop workspace, irons, hair dryers, and other
amenities. The company has moved to attract more meeting attendees by embedding software
in event websites to direct them to local Airbnb rentals. Company officials have also tested an air-
port-transportation service that could go head to head with Uber.
Airbnb faces continued uncertainty going forward. The battle over regulations continues. In
an apparent shift of strategy, Airbnb agreed to comply with regulations in San Francisco and Lon-
don that put a 90-day cap on the number of nights a whole apartment or home can be rented
out. According to a professor of real estate at The Wharton School, “This is an example of how
Airbnb may have to be flexible in order to expand its market share. Its potential is extraordinary
but in the end it’s going to have to deal with local regulatory bodies. Regulation is inevitable.”50
However, the company is still contesting New York City regulations that limit hosts to one apart-
ment listing and prohibit short-term rentals in public housing. Airbnb also has to be careful not
to alienate its loyal customer base as it pursues new sources of income. The decision to let busi-
nesses monitor the expenditures of employees who book through the platform may be seen as a
violation of privacy by some travelers. Expanding hospitality services may make Airbnb seem like
a travel agency or just another booking site like Trip Advisor or Expedia.
No matter what direction Airbnb takes as it navigates an uncertain environment, it needs to
maintain the trust of customers—what global strategist Conley describes as a friendship with users:
What I would want people to think, what we would want people to think about the
Airbnb personality or the brand, is that it’s like your local friend, the local friend who
helps you to find the hidden treasures in the place you are going to.51
Discussion Questions
1. Have you used Airbnb? If so, what has been your experience? If you haven’t stayed at an
Airbnb property, would you be interested in doing so? Why or why not?
2. Should Airbnb continue to fight local regulations or comply with them?
3. What does Airbnb need to learn to continue to be successful?
4. What strategic leadership style does Chesky use? Is it the right approach for his company’s
situation?
5. Airbnb wants to be in the hospitality business. Is this the right strategy?
6. How should Airbnb balance strategic planning with sensemaking? How much should it
rely on a map or a compass when moving forward?
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Intergroup Leadership
Organizational success depends in large part on the coordinated efforts of
groups and units. Doctors and nurses must work together to care for patients; fac-
ulty in different academic disciplines must coordinate their efforts to create new
majors and programs; workers in newly merged manufacturing units must inte-
grate their production lines and products. That makes intergroup leadership—pro-
moting positive relations among subgroups—one of a leader’s most important
communication tasks.52 Intergroup leadership is becoming even more critical as
organizations become more team based.53 In the past, coordinating group activi-
ties was the responsibility of top leaders. Now lower level leaders must coordinate
patient care and curriculum decisions, redesign work processes, share information,
gather resources, and so on.
Intergroup leadership is as challenging as it is important. Often the units being
asked to work together have previously been in competition with each other for
money, staff, facilities, and other organizational resources. The groups may differ
in status as well. Take the case of a business acquisition, for instance. Members of
the newly acquired firm are at a significant disadvantage when compared to mem-
bers of the parent company. They may feel alienated as the dominant group tries to
impose its values on them. Group identities pose the biggest barrier to intergroup
collaboration, however.54 When asked to define ourselves, we typically refer to our
group memberships, describing ourselves as communication majors, students,
accountants, union members, or managers (see chapter 3). Such group identifica-
tions make it easy to favor our in-groups at the expense of out-groups. We excuse
the behavior of our group members while condemning the same behavior by mem-
bers of other groups. We are “assertive,” for example, but they are “pushy.” Further,
we prefer leaders who put the interests of our group over those of outside groups.55
Leaders who want to promote collaboration can start by encouraging interac-
tion between units. Contact with outsiders can break down stereotypes and foster
liking between individuals on different teams. Yet, contact by itself is not enough to
guarantee that group members will develop positive feelings about their counter-
parts in other groups.56 Negative interaction, such as when one group threatens
the existence of another group, reinforces stereotypes and generates further hostil-
ity. Try to set the groundwork for positive contacts by emphasizing that the groups
need to work together to achieve a superordinate or shared objective like institut-
ing a new change initiative. Emphasize important universal values like equality and
respect for others. Provide opportunities for various teams to interact informally
through shared hobbies, social activities, and meals.57
Since differing group identities are the most significant obstacle to coopera-
tion, the leader’s primary task is creating an intergroup relational identity. Effec-
tive intergroup leaders encourage followers to see themselves as members of teams
that function in relationship with other teams. Intergroup identity is dual iden-
tity.58 Group members recognize that they are part of a larger organization but, at
the same time, continue to identify themselves as members of their subgroups.
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Successful intergroup leaders help create dual identities through their rheto-
ric.59 They outline a shared vision and a collective identity for all units while con-
tinually emphasizing the importance of coordination. They also note how
collaborating helps each group achieve its distinctive goals and retain its unique
values. These leaders then back up their rhetoric by acting as boundary spanners.
They bridge or span groups by having frequent contact with each team and devel-
oping quality relationships with individuals from every group. They are careful not
to favor one group over the other. Ultimately, they come to embody intergroup
relational identity because they are seen as leading both teams, not one group or
the other. In so doing, they serve as role models for cooperation and lay the
groundwork for future collaboration.
Coalitions of boundary-spanning leaders can be more effective than bound-
ary-spanning leaders acting on their own. When members of one group see posi-
tive relations between team leaders, their attitude toward members of the other
group improves as well. Combining leaders from low- and high-status units into
the same coalition reduces the negative impacts of power differences by recogniz-
ing that lower status groups—nurses, students, assembly workers—are valued
members of the combined effort.
Transference is an important outcome of successful intergroup leadership.
When intergroup relational identities have been established, they are more likely to
transfer to new relationships. For example, doctors who have established intergroup
identities with current nurses will probably transfer these collaborative relation-
ships to new nurses. Nurses who share collective identities with doctors tend to
extend their collaborative efforts to hospital administrators and patients as well.60
�
Organizations are collections of interrelated groups
more than collections of separate individuals.
—Michael Hogg, Daan van Knippenberg, David Rast
The Power of Expectations: The Pygmalion Effect
What a leader expects is often what a leader gets. This makes the communica-
tion of expectations one of a leader’s most powerful tools. Our tendency to live up
to the expectations placed on us is called the Pygmalion effect. Prince Pygmalion (a
figure in Greek mythology) created a statue of a beautiful woman whom he named
Galatea. After the figure was complete, he fell in love with his creation. The god-
dess Venus took pity on the poor prince and brought Galatea to life. The Pygma-
lion effect has been studied in a number of settings. Consider the following
examples of the power of expectations in action.
• Patients often improve when they receive placebos because they believe they
will get better.
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• Nursing home residents are less depressed and go to hospitals less often
when nurses and aides are told that the patients are expected to progress
more quickly.61
• Clients labeled as “motivated” by their therapists are less likely to drop out of
alcohol treatment programs than those described as “unmotivated.”62
• Disabled Taiwanese college graduates who believe that society and employ-
ers accept disabilities are twice as likely to get jobs after graduation than
those disabled students who don’t perceive that disabilities are accepted. 63
• The expectations of teachers can influence the test and IQ scores of stu-
dents. The most widely publicized investigation of the Pygmalion effect in
education was conducted by Robert Rosenthal and Lenore Jacobson, who
randomly assigned students in a San Francisco area elementary school to a
group labeled as intellectual “bloomers.” These investigators told teachers to
expect dramatic intellectual growth from these students during the school
year. The “bloomers” made greater gains on intelligence tests and reading
scores than the other children.64
• Military personnel perform up to the expectations of their superiors. At an
Israeli army training base, for example, instructors were told that trainees
had high, regular, or unknown command potential. The high-potential sol-
diers (who really had no more potential than the other trainees and who
were not told that they were superior) outperformed the members of the
other groups, were more satisfied with the training course, and were more
motivated to go on for further training.65 In an investigation conducted in
the U.S. Navy, the performance of problem sailors improved significantly
after they were assigned to mentors and given a special training seminar
designed to promote personal growth.66
• Employees perform better when their leaders believe that the prototypical
follower is industrious, enthusiastic, and a good citizen. Employee perfor-
mance dips when their leaders believe that the typical follower is conformist,
insubordinate, and incompetent.67
Patterns created through expectations tend to persist. One long-term study of
500 students revealed that their standardized math test scores in the twelfth grade
were influenced, in part, by the expectations that teachers had of their mathemati-
cal abilities in the sixth grade.68 David Berlew and Douglas Hall examined the
careers of two groups of AT&T managers and found that new managers performed
best if they worked for supervisors who had high but realistic expectations.69
These new employees internalized positive attitudes and standards and were
entrusted with greater responsibilities. Six years later, they were still highly pro-
ductive. On the other hand, managers who worked for bosses who expected too
much or too little performed poorly throughout the test period. These workers
either failed to develop high standards or didn’t get recognition for the work that
they did complete. As a result, they may have decided to perform at minimal levels.
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Berlew and Hall conclude that the first 12–18 months are critical to the career suc-
cess of any new employee. Patterns set during this initial period often continue
throughout a worker’s tenure at a company.
There can be little doubt that leader expectations exert a long-lasting influence
on performance. Yet, it would be a mistake to conclude that the Pygmalion effect
has a dramatic impact on all followers. Disadvantaged groups (those stereotyped as
low achievers) tend to benefit most from positive expectations, as do those who
lack a clear sense of their abilities or find themselves in a novel situation (new
hires, for example). Men seem to be more influenced by the expectancies of their
managers than are women.70
Two characteristics of leaders moderate the impact of their expectations. The
first is their level of self-esteem. Even when placed with subordinates with superior
abilities, some leaders fail to communicate positive expectations because they lack
confidence in their own abilities. One study of sales managers at a Metropolitan
Life Insurance agency demonstrates the important relationship between leader
self-confidence and the Pygmalion effect. Sales agents were randomly divided into
high, average, and poor performance groups. Sales of the high performer unit dra-
matically increased, while sales of the weakest unit declined and members dropped
out. Significantly, the performance of the “average” group went up because the
leader of this group refused to accept the fact that he and his sales force were any
less capable than the supposedly outstanding sales unit. The superior manager’s
confidence in his or her ability to develop and stimulate high levels of performance
reaffirms the belief that expectations will be met. Doubts about one’s ability lead to
lowered expectations and less confident interactions.71
A second characteristic of leaders that moderates the influence of the Pygma-
lion effect is the level of expectations. As we saw in the case of the AT&T manag-
ers, expectations must be high but also realistic. Setting standards too low does not
challenge the abilities of followers, since there is little satisfaction to be gained by
fulfilling minimal expectations. Yet, setting expectations too high guarantees fail-
ure and may start a negative self-fulfilling prophecy. Having failed once, the orga-
nization member expects to fail again. Goal-setting theorists argue that high
performance comes from setting specific, challenging objectives, not vague, easy
ones. (Being told to “try your best” is not very motivating, for instance.)72
�
We are not only our brother’s keeper;
in countless large and small ways, we are our brother’s maker.
—Bonaro Overstreet
To summarize, followers often perform up to expectations, whether in the
nursing home, the classroom, the military, or the corporation. Leaders must have
confidence in their own abilities and set realistic goals for followers in order for the
positive Pygmalion effect to operate. However, the confidence that leaders have in
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themselves and their followers will have no impact on group behavior unless group
members know that this confidence exists. Leaders must clearly communicate
their expectations to followers. With this in mind, we turn now to a description of
how expectations are communicated.
The Communication of Expectations
Telling others that they have ability, offering them compliments, and saying
that you expect great things from them communicates high expectations. Subordi-
nates also get the message that leaders have high or low expectations of them even
when expectancies are not explicitly stated. Expectations are communicated
through four important channels.73
1. Climate. Climate refers to the type of social and emotional atmosphere
leaders create for followers. When dealing with people whom they like,
leaders act in a supportive, accepting, friendly, and encouraging manner.
Nonverbal cues play a major role in creating climates. Communication
experts John Baird and Gretchen Wieting recommend that organizational
managers use nonverbal behaviors that emphasize concern, respect, equal-
ity, and warmth—while avoiding behaviors that communicate coolness, dis-
interest, superiority, and disrespect.74 (See box 8.6 for a summary of
nonverbal cues that communicate positive expectations.)
2. Input. In an organizational setting, positive expectations are also communi-
cated through the number and type of assignments and projects given
employees. Those expected to perform well are given more responsibility,
which creates a positive performance spiral. As employees receive more
Box 8.6 Nonverbal Cues that
Communicate Positive Expectations75
Nonverbal Category Positive Behaviors
Time Don’t keep employees waiting, give adequate time, make frequent
contacts.
Setting Meet in pleasant, attractive surroundings and avoid using furniture as
a barrier.
Physical Proximity Sitting or standing close to an employee promotes warmth and
decreases status differences.
Gestures Make frequent use of open palm gestures.
Head Movements Use head nods, but do not indicate suspicion by cocking the head or
tilting it backward while the other person is speaking.
Facial Expression Smile frequently.
Eye Make frequent, direct eye contact.
Voice Combine pitch, volume, quality, and rate to communicate warmth.
Avoid sounding bored or disinterested.
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tasks and complete them successfully, they gain self-confidence and the
confidence of superiors. These star performers are then given additional
responsibilities and are likely to meet the new challenges as well.
3. Output. Those expected to reach high standards are given more opportuni-
ties to speak, to offer their opinions, or to disagree. Superiors pay more
attention to these employees when they speak and offer more assistance to
them when they need to come up with solutions. This is similar to what
happens in the classroom when teachers call on “high achievers” more than
“low achievers,” wait less time for low achievers to answer questions, and
provide fewer clues and follow-up questions to low achievers.76
4. Feedback. Supervisors give more frequent positive feedback when they have
high expectations of employees, praising them more often for success and
criticizing them less often for failure. Managers also provide these subordi-
nates with more detailed feedback about their performance. In contrast,
superiors are more likely to praise minimal performance when it comes
from those labeled as poor performers. This reinforces the perception that
supervisors expect less from these followers.
�
A leader’s job is not to put greatness into people, but rather
to recognize that it already exists, and to create an environment
where that greatness can emerge and grow.
—Brad Smith
The Galatea Effect
Our focus so far has been on the ways that leaders communicate their expecta-
tions to followers. Once communicated, these prophecies can have a significant
impact on subordinate performance. The same effects can be generated by expecta-
tions that followers place on themselves, however. Earlier we noted the example of
Israeli army trainees who performed up to instructor expectations. In a follow-up
experiment, a psychologist told a random group of military recruits that they had
high potential to succeed in a course. These trainees did as well as those who had
been identified as high achievers to their instructors. In this case, the trainees became
their own “prophets.”77 The power of self-expectancies has been called the Galatea
effect in honor of Galatea, the statue who came to life in the story of Pygmalion.
Figure 8.1 depicts the relationship between supervisor and self-expectations.
In the positive Pygmalion effect, the chain starts with the manager’s expectations
(box A), which causes him/her to allocate (arrow 1) more effective leadership
behavior (box B). These leadership behaviors then positively influence (arrow 2)
the expectations that followers have of themselves, particularly their sense of self-
efficacy or personal power (box C). This increases motivation (arrow 3), leading to
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more effort (box D), greater performance (arrow 4), and higher achievement (box
E). Subordinate performance then completes the chain because employee behavior
raises or lowers the manager’s expectations for future assignments (arrow 5). High
expectations may also help the manager structure the subordinate’s job to facilitate
performance by eliminating obstacles, shielding him/her from outside interference
(arrow 7). This leads to higher achievement without necessarily impacting follower
motivation. Boxes A and B and arrows 1 and 2 are eliminated in the Galatea effect.
Subordinates perform better if they set high standards for themselves (boxes C, D,
and E). When they reach their goals, they expect to achieve even more in the future
(arrow 6).
�
We usually see only the things we are looking for—
so much that we sometimes see them where they are not.
—Eric Hoffer
Putting Pygmalion to Work
Since expectations can have a powerful influence on performance, we need to
know how to put the power of Pygmalion to work. As leaders, we often aren’t con-
B
Leadership
C
Subordinate
Self-expectations
D
Effort
E
Achievement
A
Manager
Expectations
allocation
influence
motivation
performance
evaluation;
attribution
work facilitation
self-evaluation;
attribution
15
2
7
6
3
4
Figure 8.1 A Model of the Self-Fulfilling Prophecy at Work78
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scious of the expectations we have for others, or we don’t realize how we commu-
nicate these expectations. We may assume that we treat all followers alike.
Nevertheless, we’ve already noted that there are significant differences in how
managers, teachers, and others treat high and low performers. Take inventory of
how you communicate expectations using the four channels we discussed earlier:
climate, input, output, and feedback. Analyze your nonverbal communication: do
you engage in the behaviors described in box 8.6? Examine how assignments are
distributed, how frequently some employees are given the opportunity to offer
their opinions, whom you help most often, and the type of feedback you provide.
Finally, identify the steps that you can take to communicate high expectations to
your subordinates; try to put these behaviors into action.
In addition to taking steps as an individual leader to “harness” the power of
Pygmalion, there are strategies that your organization can use to institute a posi-
tive expectation/performance cycle.79 Eliminate organizational labels (“low per-
formers,” “fast trackers”) that reflect low expectancies or suggest that only a few
individuals are capable of outstanding performance. All supervisors should learn
about the power of expectations and develop confidence in their ability to foster
improvement in all of their subordinates. Because the patterns of high expecta-
tions/high success and low expectations/low success are established early in orga-
nizational careers, try to ensure that new employees work under effective
managers. Often new subordinates are exposed to the worst leadership the organi-
zation has to offer—inexperienced supervisors or those who are trapped in low-
level management positions because of poor past performance. Try instead to
place new workers with the best leaders in the organization—those with high self-
confidence who set challenging, yet realistic, goals. The positive patterns new sub-
ordinates establish under the guidance of these managers will pay off for both the
individual and the organization for years to come. Consider moving established
low performers to new situations where they can break the influence of old, nega-
tive self-fulfilling prophecies.
Use guided mastery to build skill levels and foster confidence through a series
of “small wins.”80 In guided mastery the task is broken down into its component
parts. Trainees practice each component with the help of an instructor. They then
put the sub-processes together to complete the process. Managers provide positive
role models for newcomers to observe and “persuade” trainees that they can suc-
ceed by outlining exactly why they as leaders believe that the followers will master
the assignment.
Keep in mind that groups, like individuals, are shaped by the power of expecta-
tions. “Group efficacy” and “group potency” are terms that describe a team’s level
of confidence in itself.81 Groups with high efficacy believe that they can complete
the specific task set before them; groups with a high level of potency believe that
they can achieve their goals no matter what tasks they have to tackle. In groups
that have this “we can” attitude, members work together more effectively and enjoy
greater success. As a leader, foster group efficacy and potency by being confident
in your ability to lead and by practicing transformational leadership behaviors.
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Emphasize the importance of working together, link group effort to outcomes, pro-
mote collaboration, communicate appreciation for the efforts of members, and
express confidence that together the team can achieve its goals.82
We can also put the power of Pygmalion to work as followers. Dov Eden argues
that as subordinates we can protect ourselves from the force of negative leadership
expectations by being aware of how such expectancies operate. We can also encour-
age supervisors to have high expectations of us by meeting and exceeding stan-
dards. In essence, this approach uses the Galatea effect to create positive
expectations in leaders. Eden summarizes subordinate use of expectations this way:
Subordinates could be taught how to behave in a manner that would evoke
more effective leadership from their supervisors. This would be harnessing
Pygmalion in reverse, subordinates “treating” their supervisors in such a way
that they mold their supervisory behavior in accordance with subordinate
desires. Similarly, awareness of interpersonal expectancy effects might help
immunize certain subordinates against the debilitating effects of poor leader-
ship from supervisors who harbor low expectations toward them.83
CHAPTER TAKEAWAYS
• Organizations are the product of communication. As organizational members
communicate, they develop shared meanings that form the organization’s unique
way of seeing the world—an organization’s culture. Cultures are made up of
underlying assumptions, values, symbols, and symbolic creations called artifacts.
• You can embed and transmit culture by primary and secondary mechanisms.
Primary mechanisms are the most important elements for shaping culture: what
you pay attention to; how you react to critical incidents; the way you spend bud-
geted monies; how you role model; the criteria you select for allocation of
rewards; and the criteria you use for selection. Secondary mechanisms reinforce
primary messages: how you mold the organizational structure; how you utilize
organizational systems and procedures; your use of rites and rituals; how you
design physical space to reinforce key values; the stories you tell about important
events and people; and the way you communicate organizational philosophy.
• Effective leaders build cultures that are committed to learning. Learning organi-
zations are skilled at generating and acquiring knowledge and then using that
information to modify their behavior. You will need to function as a learner/
teacher who overcomes obstacles to learning and promotes information gather-
ing through intelligence (collection of data), collective experience, and experi-
mentation. Then make sure that this knowledge is widely shared or disseminated.
• Trust is critical to the success of any organization. Organizational trust is the col-
lective level of positive expectations that coworkers, work units, and organiza-
tions will honor their commitments. Trusting organizational cultures are
marked by high expectations of collective competence, openness and honesty,
concern for employees and other stakeholders, reliability, and identification with
the organization.
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• When trust is broken, you will need to (1) determine what happened, (2) deter-
mine the depth and breadth of the loss of trust, (3) own up to the loss (don’t
ignore or downplay it), and (4) identify what you must accomplish in order to
rebuild trust.
• Leaders play a key role in setting the overall direction of the organization
through strategic planning. Strategic plans are grounded in the organization’s
mission and vision and the planning process involves internal and external anal-
ysis, strategy design, and implementation.
• To act as a strategic leader you will need to build your ability to anticipate, chal-
lenge, interpret, decide, align, and learn. You may practice strategic leadership in
a visionary, directive, incubating, or collaborative style.
• Organizational leaders function as sensemakers who help followers interpret or
make sense of events and conditions. Skillful sensemakers keep followers in
motion, improvise, let go of the belief that they have all the answers, ask follow-
ers for help, and determine what the organization has learned through the sense-
making process.
• Framing, which is creating a mental picture of the world and then encouraging
followers to accept this frame or interpretation, is one important sensemaking
tool. Adopt a strategic communication style to become more successful at fram-
ing reality; consciously prepare or prime yourself for framing opportunities.
• Organizational success depends on getting units and groups to work together.
Create an intergroup relational identity by encouraging team members to define
themselves as both organizational and subgroup members. Act as a boundary
spanner, developing quality relationships with individuals from every team.
• Expectations shape motivation and performance. The Pygmalion effect refers to
our tendency to live up to the expectations of others. Generally, the higher the
expectancy, the higher the performance. Leaders communicate expectations
through climate (social and emotional atmosphere), input (the number and type of
assignments they give to employees), output (the number of opportunities that fol-
lowers have to voice opinions), and feedback (the frequency of praise or criticism).
• To create a high expectations/high performance cycle, eliminate labels, assign
new employees to effective managers, and use guided mastery to build skills levels
• Self-expectations (called the Galatea effect) also influence performance. Protect
yourself from the power of negative leadership expectations by setting high stan-
dards for yourself.
APPLICATION EXERCISES
1. For a major research paper, conduct your own organizational culture analysis.
Be sure to identify the following:
• the role of the founder and current leadership
• assumptions
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• values
• important symbols, such as myths and stories, rituals, and language
• important artifacts, such as buildings, products, and technology
• efforts at change
2. In a group, identify important rites at your college or university and categorize
them using the framework presented on pp. 254–255. What messages do these
rituals send? How could they be modified to encourage cultural change?
3. Framing Scenario
Imagine that you work for the public relations office of Lake Okiboji Univer-
sity (L.O.U.). Your college is merging with a smaller school that was just about
to close its doors for good. Your frame is that the merger will help both
schools. The student body at L.O.U. will grow (increasing tuition revenue),
and the merger will create an attractive new branch campus. Students at the
smaller college (who would have been forced to transfer) can now finish their
degrees without leaving town. The presence of a stronger university will also
benefit the community as a whole. In addition to offering classes and cultural
and athletic events, L.O.U. will become the area’s largest employer when the
merger is complete. Not everyone agrees with your perspective, however.
You’ve heard the following comments from students, faculty, donors, and oth-
ers in the community:
• L.O.U. is getting too big and impersonal.
• The leaders of L.O.U. are “empire builders.”
• The needs of students have been ignored in the rush to merge.
• L.O.U. is more interested in collecting more tuition and acquiring property
than in meeting the needs of the community.
Generate some possible responses to these competing frames and then pair off
with a classmate. Take turns playing the role of the public relations profes-
sional and a stakeholder who is critical of the merger. When you’re done, eval-
uate how well each of you constructed and communicated the university’s
frame to the hostile stakeholder.
4. Identify your communication style based on the self-assessment in box 8.4.
How does your style help or hinder your ability to frame?
5. Conduct a SWOT analysis and Five Forces analysis of Airbnb (box 8.5). What
strengths, weaknesses, opportunities, or threats are most significant? How
might they shape the strategy of the company going forward? What is the com-
petitive strength of the company? As an alternative, conduct these analyses on
your college or university.
6. Develop a case study based on a learning organization. Describe how leaders
overcome learning barriers, and how the group learns and shares knowledge.
Identify any scenarios that the organization uses to promote learning and
planning. Generate a list of best practices that other organizations could adopt.
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7. Identify a situation in your organization that calls for trust repair. Outline a
strategy for restoring trust based on the process described in the chapter.
Write up your findings.
8. Evaluate the quality of intergroup leadership in your organization. How well do
leaders create intergroup relational identity through their rhetoric and bound-
ary-spanning activities?
9. Form a small group and brainstorm ways that teachers, managers, and others
communicate both low and high expectations. Report your findings during
class discussion.
10. Develop a strategy for creating positive expectations in those who lead you.
CULTURAL CONNECTIONS: PLAYING CATCH-UP IN KOREA84
In order to compete in the global marketplace, Samsung, Hyundai, and other
Korean companies had to play catch-up, quickly narrowing the technological and
innovative gap with established multinationals in electronics, automobiles, semi-
conductors, shipbuilding, and machinery. They succeeded by reversing the typical
learning process, which might serve as a model for other developing countries.
Instead of first conducting research and development followed by engineering,
Korean firms started with engineering and then began developing unique products.
Hyundai, for example, started by manufacturing cars for Ford Motor Company,
which gave it access to production manuals, blueprints, and technical specifications
provided by Ford as well as access to engineers who knew about procurement, weld-
ing, painting, marketing, and other aspects of auto manufacturing. Suppliers also
sent representatives to set up equipment and to train Hyundai employees. Later the
firm was directed by the Korean government to develop a “Korean” car under very
specific guidelines. The national government provided tax concessions, scholar-
ships to foreign universities, and other incentives while supporting a country-wide
effort to industrialize by building technological capacity.
Hyundai developed its first car model, the Pony, by partnering with firms in
Japan, Italy, the United Kingdom, and Germany. The company sent a team of engi-
neers to absorb all they could from Italian designers. This group spent a year and a
half living together, recording what they learned during the day and holding learn-
ing reviews in the evening. In addition, Hyundai hired British and Japanese techno-
logical experts. Later the company rolled out the Excel, the first subcompact
designed entirely in Korea. Initial quality was low but improved when the firm
brought in experts who had previously worked with car producers as well as expatri-
ates with doctoral degrees from US universities. Then it came out with the Accent,
the first subcompact car designed entirely by Hyundai. At this point the automaker
established its own research and development arm—the Advanced Engineering and
Research Institute, completing the shift from imitation to innovation.
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LEADERSHIP ON THE BIG SCREEN: ALL THINGS MUST PASS
Starring: Russ Solomon, Michael Solomon, Elton John, Bruce Springsteen
Rating: Not rated but probably PG-13 for sex, drinking, and drug references
Synopsis: This documentary tells the story of the rise and fall of Tower Records, the
Sacramento record chain that grew to 200 stores and $1 billion in sales before going
bankrupt in 2006. Founder Russ Solomon’s vision was to create a record supermar-
ket and a community for music lovers (particularly young fans). He oversaw a fam-
ily-like corporate culture that tolerated employee drinking, drug use, and sex as
long as the workers did their jobs. Most of the firm’s senior leadership started as
retail or shipping clerks and were promoted though the ranks. Individual store
managers were left to run their outlets as they wanted. Tower Records began to fal-
ter when it expanded too rapidly, lost a key executive, and took on debt. Solomon
and his team didn’t respond to the threat of Napster, iTunes, and other online music
services. The chain closed after bank-ordered reorganization plans failed to revive
the company’s fortunes, though Tower Records still thrives in Japan. “All Things
Must Pass” was the message posted on one of the last Tower locations to close.
Chapter Links: organizational founders, organizational culture, failure of strategic
planning, sensemaking, Pygmalion and Galatea effects
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�����
9
Public Leadership
�
A leader is a dealer in hope.
—Napoleon Bonaparte
�
OVERVIEW
The Power of Public Leadership
Leading Public Opinion through Public Relations
Influencing Audiences through Public Address
A Key Leadership Tool
Developing Effective Public Speeches
Persuasive Campaigns
Characteristics of Successful Campaigns
Campaign Stages
Collaborative (Integrative) Leadership
Attributes
Skills
Behaviors
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The Power of Public Leadership
Public leadership is one of the most visible and dynamic forms of social influ-
ence. Religious and political authorities, educators, social activists, and other pub-
lic leaders attempt to modify the attitudes and behaviors of mass audiences. It is
important to note that public leadership is not limited to nationally known politi-
cal, religious, or social figures. John Gardner, former secretary of Health, Educa-
tion, and Welfare in the Lyndon Johnson administration and the founder of
Common Cause, used the term “dispersed leadership” to describe how leaders are
found at all levels, including social agencies, universities, the professions, busi-
nesses, and minority communities.1 Gardner believed that dispersed leadership is
essential to the health of complex organizations and societies. Lower-level leaders
can deal more effectively with local problems. When local leaders take initiative,
they encourage higher-level leaders to do the same. At times the efforts of lower-
level leaders trigger events that change society as a whole. For example, Lech
Walesa (an electrician) and Vaclav Havel (a writer) mobilized public sentiment
against communist regimes in Poland and the Czech Republic and were later
elected as the democratic leaders of those two nations. (Box 9.1 describes how
sharing a common purpose can motivate leaders of all kinds.)
Every public leader, from the president of the United States down to the presi-
dent of a local chamber of commerce, must influence the attitudes and behaviors
of groups within a social system. This process of influence is called opinion leader-
ship. Since public leaders deal with large audiences, they often use different tactics
than leaders in other contexts. In an interpersonal encounter, a leader can target a
persuasive message to the special needs of one follower using face-to-face commu-
nication. In a public setting, a leader must address messages to what groups of peo-
ple have in common—health and financial worries, political beliefs, age, ethnic
heritage—through both mediated and interpersonal channels.2 Effective public
leaders shape public opinion through public relations activities and relationships,
public speaking, and persuasive campaigns.
Leading Public Opinion through Public Relations
Communication professionals use the term public relations to describe how
groups and organizations influence important audiences (publics) through a cluster
of coordinated activities. Sparked by the growth of the mass media, the develop-
ment of computer-mediated communication channels, and the rising importance
of public opinion, the practice of public relations has become a multibillion-dollar
industry. Common public relations tasks include:3
• working with media representatives
• creating and maintaining websites
• monitoring and interacting on social media
• researching public attitudes
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• disseminating financial information
• lobbying government agencies
• publicizing company events
• creating internal communication programs aimed at organizational members
• supporting marketing programs
• maintaining positive relationships with community groups
• responding to activists
• advising top management
• dealing with customer concerns and complaints
• fund-raising
• planning promotional events
• writing and delivering speeches and presentations
• organizing persuasive campaigns
Box 9.1 Research Highlight Invisible Leadership: The Power of Purpose4
Passionate commitment to a common purpose energizes people to join social movements,
form neighborhood associations, start nonprofits, act as public servants, and work for businesses
that serve the common good. Leadership experts Gill Robinson Hickman and Georgia Sorenson
use the term “invisible leadership” to refer to leaders and followers drawn together by dedication
to a common purpose. Under invisible leadership, individuals focus more on the mission than on
recognition or personal ego. They are willing to act as leader or follower in order to get the work
done and don’t worry about getting credit. Others recognize and acknowledge their contribu-
tions, but those driven by mission are willing to take either visible or background roles. Examples
of highly visible, purpose driven leaders are Cherokee nation chief Norma Mankiller, social entre-
preneur Bela Hatvany, and Jo Ann Robinson, a leader of the Montgomery Bus Boycott. Examples
of invisible leaders who serve out of the limelight include members of the conductorless
Orpheus orchestra, anonymous civil servants, and the black women who joined the boycott of
the Montgomery bus system.
To test their invisible leadership model, Hickman and Sorenson surveyed 21 businesses and
nonprofits from the WorldBlu List of Most Democratic Workplaces. They found plenty of evidence
of invisible leadership from the results of their survey: 90% of participants agreed that they were
committed to their organization’s purpose; 87% accepted the common purpose as their own pur-
pose and agreed that this shared mission motivated them to do their best work; 93% were willing
to work in either a leader or follower role to accomplish the purpose, and 79% said that a strong
relational bond formed as employees worked toward the mission.
The investigators conclude with suggestions for putting invisible leadership into practice. Lead-
ers need to create groups centered on purpose and facilitate the work of the group (not control it).
Leaders and members should continually dialogue about the purpose. To maintain the invisible
leadership culture, leaders need to (1) carefully select and socialize new members, (2) build the col-
lective capacity of the group by encouraging members to take on a variety of roles and responsibil-
ities, (3) engage members in meaningful work, (4) foster strong bonds and relationships between
members, and (5) facilitate change through an open and inclusive decision-making process.
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The mix of activities that leaders use to influence public opinion will vary
depending on the needs of the group. The leader of a private charity may concen-
trate on fund-raising and attracting donors. The leader of a publicly held corpora-
tion will likely devote attention to marketing and, by law, must provide information
about the company’s financial condition to important news sources.
Whatever their differences, the best public relations programs have a number
of elements in common, according to a major research project commissioned by
the International Association of Business Communicators (IABC). Researchers
James Grunig, Larissa Grunig, and David Dozier surveyed public relations direc-
tors, CEOs, and employees at 300 organizations in the United States, Canada, and
Great Britain.5 They report that excellent public relations efforts—those that
increase organizational effectiveness and benefit society as a whole—share the fol-
lowing characteristics.
Empowered. To be excellent, public relations functions must be valued and
promoted by top management. The IABC researchers found that the most effec-
tive efforts are housed in a single department that functions separately from mar-
keting. Top organizational leaders see public relations as a “critical management
function.” Public relations officials serve on the senior management team, often
reporting directly to the CEO.
A strategic management role. The leaders of excellent public relations depart-
ments are managers, not technicians. Their success depends more on their ability to
set policy, solve problems, and administer budgets than on writing, media produc-
tion, event planning, and other technical skills. These leaders play a significant role
in determining organizational strategy, one of the responsibilities of leaders
described in the last chapter. They shape the organization’s direction, in part,
through issues management. Issues management is the ongoing process of (1)
monitoring the environment for societal developments that pose threats or oppor-
tunities to the organization, and (2) responding in a way that reduces the threats and
builds on the opportunities.6 Thanks to issues managers, SC Johnson eliminated flu-
orocarbons from its aerosol sprays three years before federal regulations were
passed. Sears recognized the dangers of flammable sleepwear and quickly removed
these products from its shelves before they were outlawed. Other organizations have
not been as successful at issues management. McDonald’s failed to recognize rising
interest in healthy foods, which cut into its market share and drew fire for promot-
ing childhood obesity through advertising featuring Ronald McDonald.7 The meat
industry underestimated concerns about food safety. It was blindsided when media
sources and bloggers led a successful effort to end the use of “pink slime” (lean finely
textured beef ) in restaurants, grocery stores, and in some school lunches.8
Issues management begins with scanning the environment—reading a wide
variety of publications, monitoring news outlets, surfing the Web, surveying social
media sites, tracking legislation—to identify potential issues, which are defined as
differences of opinion or concerns that could impact the organization. PR managers
monitor the issues to determine their trajectory (some issues disappear, others get
national attention) and to determine if they are a concern to key organizational pub-
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lics. The most pressing and important issues get top priority, and leaders outline a
potential plan of action. Initiating a persuasive campaign is one option. (We’ll have
more to say about persuasive campaigns later in the chapter.) Instead of launching a
campaign, an organization may need to take steps to repair its reputation. It may
apologize to the public, change policies, fire unethical employees, support commu-
nity projects, and so on. (See chapter 13 for more information on image restoration.)
Two-way communication, symmetrical relationships. In the popular imagi-
nation, public relations is viewed as a form of one-way communication. PR special-
ists, according to this view, craft messages and develop strategies designed to
benefit the group or organization by shaping public attitudes. Little thought is
given to the desires and needs of external audiences. As a result, the organization
often gets its way at the expense of employees, neighbors, local governments, small
businesses, unions, and other groups. The IABC researchers discovered, however,
that outstanding public relations programs engage in two-way, not one-way, com-
munication. Leaders of these programs still craft and deliver messages designed to
shape public opinion, but they make an active effort to identify and to respond to
the needs of important publics. They conduct ongoing research—using focus
groups, surveys, community meetings, and other means—to determine the atti-
tudes and behaviors of audiences. Just as important, they are willing to adjust their
goals to develop collaborative or symmetrical relationships with outside groups.
Consider the siting of a new county prison, for instance. An asymmetrical approach
would be to identify a site, announce the location, and then ask county public rela-
tions personnel to develop a strategy to win over opponents. A symmetrical
approach would be to solicit public input before making a final decision and then
tailor the plan to meet local concerns. Officials might, for example, select an alter-
native site or change the building design.
Ethical. Engaging in two-way communication and building symmetrical rela-
tionships encourages ethical behavior. Excellent practitioners disclose accurate
information to publics whom they treat as partners. As noted above, they listen
and respond to the concerns of outsiders. These experts engage in dialogue, which
seeks mutual benefit, rather than in monologue, which serves the interests of the
organization at the expense of outsiders. The community as a whole benefits from
the ethical, symmetrical relationships. Grunig, Grunig, and Dozier report that
excellent public relations departments often become ethics counselors to manage-
ment. They serve as advocates of social responsibility, which is doing business in a
way that benefits society as well as the organization.
Supportive structure. Excellent public relations programs are nurtured by,
and reflect, a supportive organizational structure. Supportive structure is organic:
decentralized, less formal, less stratified into organizational layers, and more com-
plex. Such structure facilitates participation by empowering employees, delegating
responsibility, and soliciting input and feedback. Employees and managers engage
in two-way communication and develop symmetrical relationships based on open-
ness and trust. Women and minorities have more opportunities for advancement,
and workers report a high degree of job satisfaction.
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A growing number of scholars believe that public relations professionals
should focus less on the short-term impact of specific public relations activities,
programs, and events (the kinds of tasks described earlier) and more on the long-
term relationships organizations establish with their publics. Drawing on the
notion of two-way communication and symmetry described above, they define
public relations as relationship management.9 It is the “function that establishes
and maintains mutually beneficial relationships between an organization and the
public on whom its success or failure depends.”10 Public relations activities are still
important but they should always be directed at the larger goal of relationship
building. High quality organization-public relationships are marked by:11
1. control mutuality—both organizations and publics have some control over
each other
2. trust—confidence in the other party and willingness to open up to the other
party
3. satisfaction—the belief that benefits of the relationship outweigh the costs
4. commitment—the conviction that the relationship is worth continuing
5. exchange relationship—giving benefits because the other party has given
benefits in the past or will do so in the future
6. communal relationship—parties provide benefits out of concern for the
other, with no expectation of receiving anything in return
7. community involvement—the organization benefits from being in the com-
munity and the community benefits from the organization’s investment in
its local area
8. reputation—the public perceives the organization as effective, financially
sound and innovative
Quality relationships greatly enhance an organization’s ability to lead public
opinion.12 Consumers and donors are more likely to buy from and to give to orga-
nizations they have positive relationships with. They are willing to recommend
these organizations to others and are less likely to defect to other businesses and
nonprofits. (Keeping customers and donors is much less expensive than finding
new ones.) Shareholders who feel a positive connection to management are more
likely to support their initiatives. Employees (an important internal public) are
more satisfied with their jobs. When dealing with government, organizations with
relational support find it easier to pass legislation and to avoid regulation. Good
relationships also reduce the dangers of lawsuits, pressure campaigns, and boycotts
and serve as an early warning system for potential crises. If crisis does strike, a
strong organization-public relationship often reduces reputational damage and
allows the organization to recover more quickly. (Complete the self-assessment in
box 9.2 to determine your relationship with an organization of your choice.)
The newest communication channels—Facebook, Twitter, Google+, YouTube,
blogs, and other forms of social media—can be critical tools for building organiza-
tion-public relationships.13 These computer-mediated channels encourage rapid,
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two-way communication that is under the control of both parties. Companies can
quickly deal with problems and adjust to the needs of their publics. Concerns
expressed on social media alert the organization to emerging issues and problems.
People trust those in their social networks so recommendations and positive com-
ments on Facebook and Twitter can increase sales and donations while creating a
Box 9. 2 Self-Assessment Organization-Public Relationship Instrument14
Instructions: This questionnaire asks about your relationships with and perceptions of an orga-
nization of your choice. You do not have to have direct contact with this organization to answer
these questions. Your perceptions of this organization’s relationship with the general public can
be your answers too. Rate each item on a scale of 1–7 with 1 being strongly disagree and 7 being
strongly agree.
_____ 1. ( The organization) treats people like me fairly and justly.
_____ 2. Whenever (the organization) makes an important decision, I know it will be concerned
about people like me.
_____ 3. I believe that (the organization) takes the opinions of people like me into account
when making decisions.
_____ 4. Sound principles seem to guide (the organization’s) behavior.
_____ 5. I can see that (the organization) wants to maintain a relationship with people like me.
_____ 6. There is a long-lasting bond between (the organization) and people like me.
_____ 7. Both (the organization) and people like me benefit from their relationship.
_____ 8. Generally speaking, I am pleased with the relationship (the organization) has estab-
lished with people like me.
_____ 9. I feel people like me are important to (the organization).
_____ 10. ( The organization) seems to be the kind of company that invests in the community.
_____ 11. I am aware that (the organization) is involved in my community.
_____ 12. I think (the organization) is very dynamic in maintaining good relationships with the
community.
_____ 13. ( The organization) has the ability to attract, develop, and keep talented people.
_____ 14. ( The organization) uses corporate visible and invisible assets very effectively.
_____ 15. ( The organization) is financially sound enough to help others.
_____ 16. ( The organization) is innovative in its corporate culture.
Scoring: Add up the scores for each dimension and then come up with a total by adding the
dimensional scores. The higher the scores, the better the perceived relationship between the
organization and its publics.
Trust: Items 1–4 ________ total
Commitment: Items 5–9 ________ total
Local or community involvement: Items10–12 ________ total
Reputation: Items 13–16 ________ total
Total score ___________ (range 16–112)
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positive reputation. Social media can also boost engagement with the organization.
Some firms, for example, sponsor sites where users share tips and experiences.
Apparel company Saucony connects to its running audience through its Find Your
Strong Program, where runners post comments and pictures about why they run.
This program helped the company become the fastest-growing running brand.
Unfortunately, social media can be used to destroy organization-public rela-
tionships as well as to build them. Any individual (including those with malicious
intent) can lodge a complaint against a company, share bad experiences with
friends, or post a negative review. If negative messages go viral, even the strongest
organization can be threatened. Domino’s Pizza, for example, had to issue apolo-
gies after two employees filmed themselves doing disgusting things with food and
posted the video. Slow responses can mean trouble, as in the case of the “United
Breaks Guitars” song posted on YouTube. Dave Carroll wrote a ballad about how
United Airlines refused to reimburse him for damaging his $3,500 guitar after he
repeatedly contacted the airline for nine months. A number of news outlets like
CNN, The Wall Street Journal, and the BBC picked up on the story. The company
finally reimbursed him after his posting received 3 million views in one week and
United’s stock price dropped by 10%.
Influencing Audiences through Public Address
A Key Leadership Tool
Public speaking is a significant tool for all types of public leaders—from student
body officers to environmental activists to religious figures. (The Leadership on the
Big Screen case demonstrates just how important speech making can be.) As a mat-
ter of fact, it is hard to think of effective leaders who don’t have at least some public
speaking ability.15 The president makes a steady stream of speeches announcing
policy decisions and cabinet appointments, signing bills, responding to tragedies
and disasters, announcing agreements with foreign leaders, and so on. School board
members announce budgets and school boundary changes at public meetings. Pro-
test leaders speak at rallies. CEOs address shareholder and employee meetings.
University presidents speak to groups of parents, donors, students, and graduates.
Law enforcement officials make public statements about ongoing investigations.
TED (Technology Entertainment Design) talks provide vivid evidence of the
impact of public speaking. The first six of these 18-minute presentations were
posted in 2006. By the end of 2009 there were 200 million views. By 2013 the number
of views had reached one billion with new viewing starting 17 times a second (1.5
million times a day). In 2015 the 2,000th talk was posted.16 The most-viewed TED
talks reflect the variety of topics covered by speakers: (1) Ken Robinson: Do schools
kill creativity? (40 million views), (2) Amy Cuddy: Your body language shapes who
you are (36 million views), (3) Simon Sinek: How great leaders inspire action (28 mil-
lion views), and (4) Brené Brown: The power of vulnerability (26 million views). (Box
9.3 outlines the strategies that contribute to the success of TED Talks.)
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�
Of all the talents bestowed upon men [women], none is so precious
as the gift of oratory. . . . Abandoned by his [her] party,
betrayed by his [her] friends, stripped of his [her] offices,
whoever can command this power is still formidable.
—Winston Churchill
Box 9.3 Research Highlight Speaking Like TED17
Communication coach Carmine Gallo conducted an in-depth analysis of successful TED talks
and found nine elements that made them so engaging. According to Gallo, these strategies can
be used in other settings, helping speakers better sell themselves and their ideas. Inspirational
TED talks are:
Emotional—they touch the heart of listeners.
• Secret 1: Be passionate about your topic, something you just have to share with others. Pas-
sion is central to your identity.
• Secret 2: Master the art of storytelling. TED presenters tell personal stories related directly
to the theme of the presentation, stories about others who have learned lessons that the
audience can relate to, and stories about the success or failure of brands or products.
• Secret 3: Have a conversation. Internalize the content; deliver the talk like speaking with a
friend. Strive to be natural and authentic through speech rate, volume, pitch, and effec-
tive pauses, and “talk, walk, and look like a leader” through movement, gestures and body
language.
Novel—they teach something new.
• Secret 4: Reveal information that is new to the audience or arranged differently, or offers a
fresh way to solve an old problem or issue. Boil down what you want the audience to know
to a Twitter-friendly headline (140 characters or less).
• Secret 5: Deliver jaw-dropping moments. Do something surprising, impressive, moving,
and memorable that will be remembered well after the presentation is over.
• Secret 6: Lighten up. Offer the audience something to smile about; don't take yourself too
seriously. Have some good-natured fun at the expense of yourself and your topic.
Memorable—they present content in ways audiences will never forget.
• Secret 7: Stick to the 18-minute rule. Longer presentations overload audiences. Keep to
three major points (which is all hearers can remember).
• Secret 8: Paint a mental picture with multisensory experiences. Engage more than one of
the senses—sight, sound, touch, taste, and smell—through pictures, videos, vivid descrip-
tions, and objects.
• Secret 9: Stay in your lane. Don't try to be something you aren't. Strive for openness and
transparency. Represent yourself as best you can.
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Developing Effective Public Speeches
Because public address is such an important skill for leaders, we need to
understand the key elements that go into effective public messages. Regardless of
where you speak—whether in the classroom, at a political rally, on television, on
YouTube, or in a business meeting—you will discover that the delivery of an effec-
tive public speech enhances audience perceptions of your personal power and
leadership potential. The effectiveness of a public speech depends on six primary
elements: prespeech planning, organization, language, rehearsal, delivery, and
responding to questions.
Prespeech Planning
Planning is essential in the development of successful public messages. The
following factors should be considered before delivering a public presentation. In
particular, think carefully about possible modes of delivery and audience analysis.
The principal modes of delivery are impromptu, extemporaneous, and manu-
script. Impromptu speeches are delivered “off the cuff,” with little advance prepara-
tion. Situations that might require an impromptu presentation include responding
to an unexpected disaster or crisis or participating in a meeting. One of President
George W. Bush’s most memorable speeches was an impromptu message delivered
to rescue workers through a bullhorn at Ground Zero in New York City. When
speaking in the impromptu mode, try to maintain a clear focus or theme. Always
avoid long, rambling impromptu messages.
Speaking from a prepared outline or set of notes is known as extemporaneous
speech. This is the most common mode of public address. Extemporaneous speech
gives you an opportunity to develop a clear presentational purpose or goal and
adequate reasoning and support. The extemporaneous speech also offers you free-
dom in the construction of the message. Since your notes consist of an outline or a
few key phrases, you have greater flexibility.
Working from a manuscript—a written transcript of the speech—allows for
the greatest control of subject matter. Many political leaders use the manuscript
mode of delivery. Manuscripts are most effective when the content of the message
must be very precise, such as when the president announces the details of a treaty
or when law enforcement officials reveal the results of an investigation. Because
the manuscript mode does not allow a speaker to be spontaneous, it is advisable to
use a teleprompter or similar mechanical device in order to maintain eye contact
with the audience.
Regardless of the delivery style chosen, it is essential that you have an under-
standing of the attitudes and expertise of your listeners. Although audience size
may vary from a small group to a worldwide conference, an understanding of the
needs, aspirations, experiences, and intellectual abilities of listeners helps to create
a more effective message. For example, a political candidate addressing a group of
union employees will be more effective if he or she is aware of the issues that have
the greatest impact on union members. A well-prepared speaker will seek informa-
tion about the audience from a variety of sources. The speaker might research the
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previous positions of audience members; observe the group’s current actions; or
question, interview, or survey selected audience members as a means of uncover-
ing information. In addition, he or she will have a clear grasp of the demands of the
speaking situation (see box 9.4).
Box 9.4 Leading through Special Occasion Speeches18
Leaders are often called on to speak at special occasions like funerals, dedications, conven-
tions, award ceremonies, and banquets, either as invited guests or as representatives of the
group. On these occasions, speakers must pay particular attention to the requirements of the sit-
uation. Leaders who violate audience expectations for the setting, such as the CEO who delivers
an off-color toast at an employee’s wedding reception or the politician who delivers a campaign
speech at a graduation ceremony, do significant damage to their credibility. They also diminish
the occasion as well as those gathered to celebrate it. You can avoid the same fate by following
the guidelines outlined below.
Type
Speech of Introduction
Speech of Presentation
Acceptance Speech
Commemorative Speeches
(eulogies, dedications,
testimonials)
After-Dinner Speeches
Speech of Inspiration
Purpose
To prepare the audience for the
speech to follow
To build the speaker’s credibility
To make the speaker feel
welcome
To present a gift, award, or
honor
To accept or respond to an
award
To pay tribute
To entertain and celebrate
To arouse the audience to pur-
sue common goals or values
Techniques
Be brief
Be accurate
Don’t exaggerate by overstating
the speaker’s qualifications
Adapt remarks to the audience
Create a sense of anticipation
Explain the background of the
award
Acknowledge the achieve-
ments of the recipient
Express gratitude
Acknowledge others
Focus on the values repre-
sented in the award
Provide information about the
subject of the tribute
Arouse and heighten apprecia-
tion for the person, group,
institution, or idea
Be positive and light hearted
Communicate a central theme
or idea
Use humor (but cautiously)
Incorporate vivid descriptions
and imagery
Be enthusiastic
Review shared experiences
Focus on shared values
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Organization
The logic and structure of the ideas presented within a public speech are criti-
cal. Successful presentations are organized around a central theme with support-
ing points. Developing a thesis, arranging ideas, linking primary points, and
crafting a beginning and ending are the four most important factors in organizing
a public speech.
The purpose or objective of a speech is known as the thesis. In general terms,
the thesis identifies your goal—to inform, persuade, or entertain. More specifically,
the thesis outlines exactly what you hope to achieve in your presentation. A thesis
statement is prepared in the initial stages of speech organization and usually con-
sists of one declarative sentence. The thesis statement itself should be as specific as
possible in identifying the feelings, knowledge, or understanding you wish to con-
vey to your audience. For instance, “My speech is on John F. Kennedy,” is ineffec-
tive. This thesis provides no explanation regarding the specific purpose of the
speech. A better thesis would be, “John F. Kennedy was one of the most effective
public communicators of the twentieth century.” This thesis statement provides a
detailed description of the argument you wish to make.
�
Many leaders, in all fields, are too quick to patronize their public,
assuming that people are selfish, dull, or uninterested in global or
universal questions. Quite the contrary, the public is eager to hear,
eager to engage, and eager to act when called to contribute
to just causes that are larger than themselves.
—Terry Pearce
After the thesis has been developed, arrange the main points you have selected to
support your thesis. The number of main points should be kept to a minimum, and
each main point should be supported with statistics, examples, illustrations, anec-
dotes, or other forms of evidence. Main points can be arranged (1) in chronological
order (from the earliest to the most recent event), (2) in spatial order (by some physi-
cal or geographical relationship), (3) in order of size or impact (from largest to small-
est or vice versa), (4) in a problem-solution format (a problem definition followed by
a resolution), or (5) in a cause-effect arrangement (based on a causal connection
between two elements or events). When no other logical pattern seems appropriate, a
topical arrangement may work best. Topical arrangement involves creating an orga-
nizational pattern that fits the ideas presented. For example, a persuasive speech
describing the benefits of a particular university would be difficult to organize chron-
ologically, spatially, in relation to size, or in a problem-solution or cause-effect for-
mat. Developing a series of arguments strung together in a topical pattern would be
more effective. Topics could include tuition and housing costs, location, and the qual-
ity of the faculty. (Other organizational patterns may be more appropriate in other
cultures—see the Cultural Connections feature at the end of the chapter.)
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Statements that link ideas together are known as transitions. Be careful to
include transitions in your presentation so that audience members can follow your
message. Statements such as, “Now that we have discussed the affordable housing
at State University, let’s focus on the desirability of the surrounding area,” help to
shift an audience’s attention from one main point to the next.
�
A bad beginning makes a bad ending.
—Euripedes
Once you’ve planned the body of your speech, then it is time to consider how
you will introduce and conclude your presentation. An effective introduction serves
four purposes.19 First, it captures the attention of audience members and identifies
the topic. Many speakers launch into their speeches by announcing their subject.
For example: “Today I’m going to talk about empowerment” or “Hi, I’m Karen and I
will explain the reorganization plan.” While such statements leave no doubt as to
the subject of the presentation, they do little to pique the interest of audience mem-
bers. To create an effective introduction, begin with a memorable quotation or star-
tling statistic, refer to a current event, tell a story, use an audiovisual aid, or ask a
question. Give your audience a reason to listen. This can be done by establishing
how the topic relates to the everyday lives of listeners as well as to their needs and
motivations. An activist promoting stricter industry pollution standards will be
more successful if she can establish that pollution poses a danger to local residents
and lowers property values. Next, establish your credibility on this particular topic
by describing your experience, research, and/or interest in the subject. Finally, pre-
view the main points of the speech, generally in the form of a short statement that
summarizes your thesis and transitions into the body. For example: “Today I will
describe the personal and organizational benefits of empowering your employees.”
A memorable conclusion leaves audience members with a positive impression
of you and your topic and provides a sense of closure. Summarize your major
points or thesis when informing an audience; ask for agreement and action when
persuading. Make sure that the audience knows you are done by tying back to your
introduction, posing a challenge or question, or using a quotation.
�
Always leave them wanting more.
—Helen Hayes
Language
The effective use of language is the key to producing memorable and moving
public speeches. We remember Martin Luther King, Jr.’s “I Have a Dream” speech
as one of the greatest of the twentieth century primarily because of the way King
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used words to create dramatic images. King spoke of coming to cash in on the
promise of equal rights at the “bank of justice” and urged followers to refuse to
drink from “the cup of bitterness and hatred.” At one point he declared his hope
that his children would “one day live in a nation where they will not be judged by
the color of their skin, but by the content of their character.” Successful speakers fol-
low the example set by King by using language that is clear, vivid, and appropriate.
The best rule of thumb in a presentation is to use clear, specific, understandable
language. Technical and complicated words should be used sparingly, particularly
when dealing with mass audiences. Further, avoid the use of jargon and euphemisms.
Government officials often try to create pleasant descriptions for unpleasant events,
referring to missiles as “peace-keepers,” taxes as “revenue enhancements,” and death
as “exceeding survivability.”20 This type of “doublespeak” confuses and distracts audi-
ence members. The more you complicate your message by using technical or convo-
luted language, the more likely it is that your message will be misunderstood.
Clear language does not have to be dull. Public speeches should be descriptive
and distinctive. The use of affect and imagery enliven public address. Affective lan-
guage sparks emotion, while imagery creates visual connections for the audience.
Franklin Roosevelt’s Declaration of War following the Pearl Harbor attack of 1941
began as follows:
Yesterday, December 7, 1941—a date which will live in infamy—the United
States was suddenly and deliberately attacked by naval and air forces of the
Empire of Japan.
Roosevelt’s words expressed the shock of a nation. Every year, on December 7,
Americans remember the attack because of Roosevelt’s speech, portions of which
are rebroadcast. The mark of effective public speakers is their ability to create
vivid, stirring representations for audiences. While a picture may paint a thousand
words, it is equally true that a gifted speaker can fashion a word into a thousand
pictures. (See box 9.5 for other examples of vivid language.)
Avoid using language that might offend members of the audience. The use of
profane, obscene, or inappropriate language can irreparably damage a speaker’s
image. Mississippi Senator Trent Lott offended many and lost his position as
majority leader of the Senate when he claimed that the United States might have
been better off if the racist segregation policies outlined in the 1948 presidential
campaign of Strom Thurmond had been adopted.
Some types of humor lower a speaker’s credibility. One type of humor that can
be detrimental involves making oneself or others the brunt of a joke. Disparage-
ment focusing on personal shortcomings (such as height, weight, complexion, or
social skills) does not enhance a speaker’s image. Speakers who belittle themselves
are rated as less competent, less expert, and less likable, while speakers who belittle
others are rated as having lower character.21 Other research suggests that a
speaker’s use of milder forms of disparaging humor aimed at one’s occupation or
profession are not as harmful.22 Most evidence suggests that public speakers
should generally avoid using disparaging humor.
Box 9.5 Vivid Speech Samples23
We’re an army going out to set other men free. . . . Here you can be something. Here’s a place to
build a home. It isn’t the land—there’s always more land. It’s the idea that we all have value, you and
me, we’re worth something more than the dirt. . . . What we’re fighting for, in the end, is each other.
—Joshua Lawrence Chamberlain, 2nd Maine regiment,
prior to the Battle of the Little Round Top at Gettysburg
At the stroke of the midnight hour, when the world sleeps, India will awake to life and free-
dom. A moment comes, which comes but rarely in history, when we step out from the old to the
new, when an age ends, and when the soul of a nation, long suppressed, finds utterance. It is fit-
ting that at this solemn moment we take the pledge of dedication to the service of India and her
people and to the still larger cause of humanity.
—Jawaharlal Nehru, speaking at the granting of
Indian independence following World War II
Let us treat others with the same passion and compassion with which we want to be treated.
Let us seek for others the same possibilities which we seek for ourselves. Let us help others to
grow as we would like to be helped ourselves. In a word, if we want security, let us give security; if
we want life, let us give life; if we want opportunities, let us provide opportunities.
—Pope Francis speaking to
the United States Congress
The truth is that people are right to be angry. Angry that wages have been stagnant for a gen-
eration, while basic costs like housing, health care, and child care have skyrocketed. . . . Angry that
while Washington dithers and spins and does the backstroke in an ocean of money, while the
American Dream moves further and further out of reach for too many families. Angry that work-
ing people are in debt. Angry that seniors can’t stretch a Social Security check to cover the basics.
—Senator Elizabeth Warren
speaking to the AFL-CIO
Remembering that I’ll be dead soon is the most important tool I’ve ever encountered to help me
make the big choices in life. Because almost everything—all external expectations, all pride, all fear of
embarrassment or failure—these things just fall away in the face of death, leaving only what is truly
important. Remembering that you are going to die is the best way I know to avoid the trap of think-
ing you have something to lose. You are already naked. There is no reason not to follow your heart.
—Steve Jobs speaking at
a Stanford University graduation ceremony
It was we, the people; not we, the white male citizens, nor yet we, the male citizens, but we,
the whole people, we formed the Union. And we formed it, not to give the blessings of liberty,
but to secure them; not the half of ourselves and the half of our posterity, but to the whole peo-
ple—women as well as men.
—Susan B. Anthony
speaking for women’s suffrage
Indifference elicits no response. Indifference is not a response. Indifference is not a beginning;
it is an end. And, therefore, indifference is always the friend of the enemy, for it benefits the
aggressor—never his victim, whose pain is magnified when he or she feels forgotten. The politi-
cal prisoner in his cell, the hungry children, the homeless refugees—not to respond to their
plight, not to relieve their solitude by offering them a spark of hope is to exile them from human
memory. And in denying their humanity, we betray our own.
—Concentration camp survivor Elie Wiesel,
speaking on behalf of oppressed peoples of the world
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�
The difference between the right word and the almost-right words
is the difference between lightning and the lightning bug.
—Mark Twain
Rehearsal
Practicing gives you the opportunity to simulate a public presentation. This
experience helps you refine content and increase your confidence level. Just as a
dress rehearsal makes a marriage ceremony or theater production less confusing
and stressful, a speech rehearsal helps polish a public presentation.
The most important thing to remember when rehearsing a speech is that you
must practice out loud. We think more rapidly than we speak. As a result, internal
thought and external speech operate differently. Thought is characterized by con-
densed grammar and syntax, which makes the structure of internal thought incom-
plete. Our thoughts are composed of fleeting images and words. External speech,
on the other hand, is grammatically and syntactically complete. Speech consists of
fully constructed messages that follow a distinctive organizational pattern. Since
presentations are delivered in external speech, the external form of communication
must be used during rehearsal. Rehearsing only in internal thought (just thinking
about what you will say without saying it out loud) may contribute to the same feel-
ings of anxiety that are associated with inadequate speech preparation.24
Delivery
Delivery refers to the physical aspects of speech making. A speaker’s delivery
should not be awkward or distracting. The delivery of a message is most effective
when it appears natural. Physical appearance, gestures, movement, eye contact, and
voice quality all directly affect the delivery of public messages.
Public speakers should be appropriately groomed and clothed. Audience expecta-
tions regarding hygiene and dress vary from one situation to another. For example, it is
usually acceptable to deliver a classroom presentation dressed in jeans and a T-shirt, but
this casual attire would not be acceptable for a speech to a group of civic leaders. In gen-
eral, it is best to tailor your appearance to the situation, region, or culture in which you
will be speaking. Your audience analysis should help you decide what will be acceptable.
Gestures occur naturally in conversation, and that tendency should be followed
in public address. When did you last worry about gesturing while conversing casually
with your best friend? Unfortunately, many speakers are uncomfortable about body
language during their presentations. Instead of allowing the natural tendency to ges-
ture to operate, they plan where to insert gestures in the speech. As a result, their
movements are awkward and distracting. Pay attention to your natural pattern of
gestures. When rehearsing, include natural gestures in your presentation. You’ll then
be more relaxed and natural when you make your appearance in front of an audience.
Movement can be used to heighten interest in a speech. Movement that mini-
mizes physical distance between speaker and audience also creates a sense of psy-
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chological closeness that communication scholars call “immediacy.” Audiences are
more receptive to speakers who signal warmth, liking, and friendliness through
movement and other nonverbal behaviors. You can assess how well you communi-
cate a sense of immediacy as a public speaker by completing the self-assessment
exercise in box 9.6.
Box 9.6 Self-Assessment Nonverbal Immediacy Scale25
Directions: Originally developed to assess the nonverbal immediacy of teachers, this scale
has been revised to reveal nonverbal immediacy in all types of public presentations. For each
item, indicate how likely you would be to engage in the nonverbal behaviors while speaking
before a large group. Use the following scale:
5—extremely likely 4—likely 3—maybe/unsure 2—unlikely 1—extremely unlikely
_____ 1. I would sit behind a table or desk while speaking.
_____ 2. I would use a lot of purposeful gestures while talking to the group.
_____ 3. I would use a monotone/dull voice when speaking.
_____ 4. I would look directly at my audience while presenting.
_____ 5. I would smile at the group while talking.
_____ 6. My entire body would feel tense and rigid while giving my speech.
_____ 7. I would approach or stand beside individual audience members.
_____ 8. I would move around the room while speaking.
_____ 9. I would avoid looking at individual audience members during my speech.
_____ 10. I would look at my notes frequently during my presentation.
_____ 11. I would stand behind a podium or desk while giving my speech.
_____ 12. I would have a very relaxed body position while talking to the group.
_____ 13. I would smile at individual members in the audience.
_____ 14. I would use a variety of vocal expressions while talking.
_____ 15. I would engage in a lot of nervous gestures or body movements, such as shuffling my
note cards or switching my weight from one foot to the next.
Calculating Your Score
Step 1: Total your responses to items 1, 3, 6, 9, 10, 11, and 15 ______.
Step 2: Total your responses to items 2, 4, 5, 7, 8, 12, 13, and 14 ______.
Complete the following formula:
42 minus total from step 1 = ______
Plus total from step 2 = ______
YOUR TOTAL SCORE ______
Interpreting Your Score: Your score should fall between 15 and 75. The average or midpoint
is around 45. If your score totals 50 or higher, you are high in nonverbal immediacy and are likely
to be seen as approachable and likable. If your score falls below 40, you might want to learn and
practice the specific immediacy behaviors reflected in the items listed in step 2. Nonimmediate
speakers are perceived as cold and distant and are more likely to bore their audiences.
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In Western culture, looking others in the eyes is a sign of respect and honesty.
Effective public speakers maintain eye contact with audience members. Staring at
your notes or letting your eyes dart around leads to the perception that you are not
trustworthy. Use your notes sparingly. Maintain focus for a few seconds on individ-
uals seated in one section of the audience, and then sustain eye contact with
another section. Avoid monotonous or strident tones. An expressive voice conveys
emotion and interest without being harsh. Most unpleasant vocal patterns can be
improved with training and practice.
Responding to Questions
The delivery of a speech is often followed by a question and answer session.
Responding to questions can be stressful; speakers must “think on their feet.” The
advantage of taking questions is that it provides immediate feedback about how
the audience reacted to the presentation and gives the speaker an opportunity to
clarify misunderstandings. Effective responses can help a leader establish a stron-
ger bond with the audience and build commitment to her or his message.26
Try to anticipate possible questions when preparing a speech and learn to dis-
tinguish between types of questions. Some questions are really statements of sup-
port that elaborate on points you made in your speech. They’re easy to handle—
just agree when the response is appropriate to what you’ve said. Other questions
ask for additional information and clarification and should be acknowledged and
answered as directly as possible. The most difficult queries are disputes or chal-
lenges offered in the form of a question. In these cases, listen to the questioner’s
words, tone of voice, and body language to determine her/his true intent. The
question “When will we get our next raise?” might really be a criticism of the fact
that employees in some departments got pay increases while members of other
departments did not. Try to address both the stated question and the questioner’s
intention, acknowledging the feelings behind the dispute or challenge. Find com-
monalities between the challenger’s position and yours if possible; differentiate
your position when appropriate. In response to the question about raises, a corpo-
rate executive might answer:
Linda, you’ve asked about upcoming raises, but I also sense that you have some
frustration about unequal pay. Let me speak to both your question and other
concerns you might have. It’s true that union employees recently received pay
increases even though we instituted a hiring and wage freeze in January. We
were legally obligated to pay those increases to union employees under the pre-
vious contract. However, like many of you, I don’t think that’s fair. Now that the
freeze has been lifted, the next round of raises is scheduled for July 1. At that
time, we will give top priority to increasing the salaries of nonunion staff.
Persuasive Campaigns
As we’ve seen, public speaking is an important tool for public leaders. How-
ever, much like a single television advertisement or a single newspaper editorial, a
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single speech does not always change the attitudes or behaviors of large numbers
of people. For this reason, public leaders frequently put together persuasive cam-
paigns in order to influence public opinion.
Characteristics of Successful Campaigns
Persuasion expert Herbert Simons defines campaigns as “organized, sustained
attempts at influencing groups of people . . . through a series of messages.”27 Cam-
paigns use the mass media, social media, and interpersonal communication net-
works to achieve their goals. There are five types of persuasive campaigns: (1)
product/commercial (selling goods and services), (2) public relations (building
public awareness, providing information, educating the public, modifying behav-
ior), (3) political (electing candidates to office), (4) issue (changing or implement-
ing government or corporate policy), (5) and social movements (proposing or
opposing change in societal norms and/or values).28
Not all campaigns are successful. The failure of many heavily promoted Holly-
wood movies, websites, and political candidates demonstrates how even well-
planned and well-financed commercial campaigns can go astray. Other types of
campaigns often suffer a similar fate. For example, the popular DARE (Drug Abuse
Resistance Education) program for elementary school children has had no measur-
able long-term effect on drug usage. Teens who participated in campaign activities
when they were younger are just as likely to take illegal substances as those who
didn’t go through the program.29 One survey of health campaigns found that, on
average, there was a 7% increase in adoption of new behaviors like safe sex and 5%
for cessation of current behaviors like smoking.30
While many campaigns fail, others meet their objectives. The Centers for Dis-
ease Control sponsored a three-month, anti-smoking campaign featuring graphic
images and stories of ex-smokers. Some 1.6 million people tried to quit as a result
of the ads; 100,000 succeeded in kicking the habit.31 Another successful campaign
encourages the use of designated drivers. At one time, people used to joke about
driving when drunk. In 1964, President Lyndon Johnson gave reporters a tour of
his Texas ranch while driving 90 miles an hour and sipping beer from a cup. The
number of drinkers who choose designated drivers has risen dramatically since the
program began in 1988. The belief that drivers should not drink has now become a
widely accepted norm in society.32 (Box 9.7 describes how social norms are used to
reduce drinking on college campuses.) The ALS society received $115 million in
donations in one year through its Ice Bucket Challenge, where participants raised
money by getting soaked in ice water. (Total donations were a little over $24 mil-
lion in the year before the challenge.)33
Why do some campaigns have a significant impact on public attitudes and
behavior while others have little influence at all? In order to answer this question,
researchers have identified the following as characteristics of successful campaigns.34
Pretest messages and identify market segments. Organizers of effective cam-
paigns rely on research to help them shape their messages. Doing market research
prior to a campaign reveals what audiences currently believe, if receivers understand
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Box 9.7 Case Study Campus Drinking and Social Norms
Marketing Campaigns35
Alcohol abuse is a serious problem on college campuses. The National Institute on Alcohol
and Alcoholism reports that alcohol consumption contributes annually to 1,800 student deaths,
696,000 assaults on other students, and 97,000 sexual assaults. Heavy drinkers miss more class
and get lower grades. College students are much more likely to binge drink than nonstudents in
the 18–24 age group.
To reduce excessive drinking, many colleges and universities in the United States sponsor
social norms marketing campaigns. ( The National Social Norms Center at the Michigan State Uni-
versity is one resource for these efforts.) Social norms marketing (SNM) campaigns are based on
changing widely held perceptions of social behavior. When it comes to drinking, students overes-
timate how much their fellow students drink, which encourages them to binge drink themselves.
Campaign organizers hope to reduce alcohol consumption by convincing students that their
peers drink less than they think. An effort known as the “0–4 drinks” campaign often asks stu-
dents to estimate how many of their peers consume five or more alcoholic beverages in one sit-
ting and then to report how much they drink at parties. Respondents generally overestimate how
many of their peers consume five or more drinks but report that they typically drink less than four
alcoholic drinks. The results of the surveys are then reported out to the campus as a whole.
Do SNM drinking campaigns work? Yes and no. Campaigns at Northern Illinois University, the
University of Arizona, and the University of Virginia succeeded in reducing binge drinking. Inves-
tigators at the Boston University School of Public Health compared nine colleges without and
nine universities with social norms marketing campaigns. Drinking levels went up at the control
group colleges but not at the campaign schools. However, a follow-up project found that SNM
efforts worked only in campus communities with few bars and other alcohol outlets. Studies on
other US campuses reported no relationship between perceptions of social norms and intention
to drink. These mixed results suggest that anti-drinking campaigns can reach their goals but their
success likely depends on a number of intervening variables.
Researchers continue to identify factors that contribute to SNM success or failure. First, the
type of norm can make a difference. Descriptive norms (knowing the popularity of drinking) may
not be as influential as injunctive norms (knowing whether the behavior is socially acceptable).
Students may accurately perceive how much other students drink but still binge drink if they
believe that peers think the behavior is acceptable. Second, receivers must believe the campaign
ads. Researchers at Rutgers discovered that only a minority of students believed the message
that “0–4” drinks was the norm. Those who believed the message were more concerned about
the risks of drinking and consumed less alcohol. Hard-core drinkers—those whom school officials
would most like to reach—were least likely to believe the message. They had little concern for
what others thought. Third, messages must be clear. The failure of one drinking-prevention cam-
paign was linked to the primary print advertisement used in the campaign. Students liked the ad
but failed to make the connection between the image in the ad and drinking norms. Fourth, per-
ceptions of the alcohol use of friends (and communication about alcohol use with this group)
have a greater impact on personal drinking than perceptions of alcohol use by students in gen-
eral. This limits the effectiveness of campaigns that only provide information about national or
university norms. Fifth, those who like to drink are least likely to change their attitudes and
behaviors, though they may reduce their estimates of how much other students drink based on
the campaign.
Discussion Questions
1. Why do you think college students are much more likely to binge drink than nonstudents
of the same age?
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campaign advertisements and themes, and which messages are best suited to partic-
ular segments of the market. Soul City, a nonprofit health organization in South
Africa, is one group that uses research to identify issues and audiences. The group’s
leaders conduct focus groups, interviews, and pretesting to identify important
national health concerns—HIV prevention, alcohol abuse, domestic violence—and
public attitudes about these issues. The mix of campaign media activities and mate-
rials is then adapted to target audiences. Soul City offers a popular television soap
opera series to reach urban audiences while radio programs are directed at rural lis-
teners. To reach 8–12 year-olds, it sponsors television and radio series, offers print
materials, and hosts Soul Buddyz clubs which focus on such issues as trauma, road
safety, nutrition, and disability. To reach young women 15–24, Soul City sponsors
Rise Young Women’s clubs, hosts a television talk show, and holds marches and
other events that promote education and HIV prevention and other causes.36
Use the most accessible media for target groups. Successful campaigns uti-
lize those media that are most accessible to audiences. In some countries few peo-
ple have access to either television or digital media. In these situations, campaign
organizers must rely on radio and other media. The Indian Healthy Highways Proj-
ect, directed at truck drivers at high risk for getting and spreading AIDS, placed
workers with flip charts at truck stops. The flip charts depicted an experienced
driver showing his helper how to use a condom. The virus was depicted as a spiny
round object with an evil face located in the body.37 The timing of messages is also
critical. Effective campaigns reach audiences when they are most receptive. For
example, when the Olympic Games are in progress (and public interest in the
Olympics is at its peak), corporations use media spots to trumpet the fact that their
products are endorsed by the US Olympic Committee. When choosing communi-
cation channels, other important considerations include, for example, the reach of
the media (the proportion of the audience exposed to the content), how easy it is to
decode the message, and the cost of using the channel.
Use the media to raise awareness. The media are most effective when they
are used to provide important information, stimulate interpersonal conversations,
2. What are the social norms about drinking on your campus? Do you think these norms accu-
rately reflect the actual drinking behaviors of students? Is binge drinking socially acceptable?
3. What efforts have been made to prohibit or reduce drinking on your campus? Have any of
these involved social norms marketing?
4. How do you respond to anti-drinking campaigns? Do they change your behavior? Why or
why not?
5. Evaluate the drinking campaigns on your campus. Have they been successful? Why or why
not? What accounts for their success or failure based on the characteristics of successful
campaigns described in the chapter or the SNM factors identified in the case?
6. What suggestions would you make to those who want to reduce drinking through social
norms campaigns or other strategies on your campus?
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and recruit additional people to participate in the campaign. Media messages raise
awareness and get people talking about the merits of politicians, products, organi-
zations, and causes. In addition, many people volunteer for food drives, fund-rais-
ers, clean-up campaigns, and other projects after hearing about them through
advertisements or news stories.
Rely on interpersonal communication, particularly communication between
people of similar social backgrounds, to lead to and reinforce behavior change.
Interpersonal communication networks play a particularly important role in persua-
sive campaigns designed to change people’s behaviors. Behavioral change is more
likely when others model the desired behaviors. The long-running national crime
prevention campaign that urges listeners and viewers to “Take a bite out of crime” is
one example of how media and interpersonal channels can complement each other.
Although many people learn about crime prevention behaviors through the cam-
paign’s media spots, listeners often put these behaviors into action only after they
become involved in neighborhood watch groups. The groups reinforce the message
and demonstrate that crime prevention activities are socially acceptable. Soul City’s
children’s and young women’s clubs also reinforce media messages.
Certain individuals—called opinion leaders—play a major role in convincing
others to adopt new products, techniques, or ideas. Enlisting the participation of
these individuals greatly increases a campaign’s chances for success; failure to do so
undermines the chances of success. For example, one attempt to persuade Peru-
vian villagers to boil their water to reduce illness failed because the public health
worker ignored local opinion leaders and worked instead with housewives who
weren’t respected by their neighbors. Opinion leaders share four characteristics:
(1) they have greater exposure to the media, outside change agents, and other key
external communication sources; (2) they participate in a variety of social net-
works and rapidly spread new ideas to others; (3) they generally have a higher
socioeconomic status than opinion followers; and (4) they are more innovative
when the norms of the social system favor change.38
Use high credibility sources. Successful campaigns use highly credible repre-
sentatives. (Refer to chapter 6 for more information on the dimensions of credibil-
ity.) One survey of global health communication projects found that high credibility
was the most important factor determining whether new practices were adopted or
rejected.39 In Pakistan, villagers swaddling babies switched to talcum powder from
cow dung, not because they understood the medical principles, but because trusted
leaders advocated for the change. In Nigeria, trust in traditional leaders was the key
to getting citizens to get smallpox vaccinations. In the United States, members of a
religious sect rejected diphtheria immunizations because their leaders told them to
do so. Audiences keep the motives of sources in mind when evaluating their credi-
bility. An actor who promotes AIDS prevention as a public service is generally seen
as more credible than an actor paid to promote a product.
Direct messages at the individual needs of the audience. Audiences are
most influenced by messages aimed directly at personal needs. Effective political
campaigns emphasize how the candidate will help the voter by lowering taxes, pro-
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viding more jobs, building better roads, lowering crime, and so on. Campaigns for
popular products link the purchase of the item with a specific need felt by the audi-
ence (e.g., smoke detectors for safety, cosmetics to enhance physical appearance,
frozen dinners for convenience).
Vary message types. Campaign messages generally fall into three categories.
Awareness messages “tell people what to do, specify who should do it, and provide
cues about when and where it should be done.”40 They arouse interest and prompt
listeners to seek more information about, for instance, a new product or recom-
mended medical tests. Instruction messages focus on knowledge and skills acquisi-
tion. They offer training and encouragement to carry out the behavior. For
example: how to select the right car seats for children and how to install them.
These messages sometimes teach resistance to peer pressure or inoculate audi-
ences against messages that might counter campaign messages, such as smoking is
“cool” and “real men” don’t wear motorcycle helmets. Persuasive messages advo-
cate adopting or avoiding a behavior. It is easier to sway audiences who already
have a positive attitude toward an action or to get them to continue to do what they
are doing. Awareness messages are generally used more frequently at the begin-
ning of campaigns, though the type of message will vary depending on the audi-
ence and the situation. Whenever possible, offer positive incentives for adopting
the behavior, like making friends, being a good parent, losing weight, or appearing
knowledgeable. Use a variety of appeals to these positive outcomes.
Campaign Stages
Even with an understanding of the factors that contribute to successful cam-
paigns, organizing a campaign can seem like an overwhelming task. Successful
campaigns involve research, the careful construction of messages, and effective use
of both the media and interpersonal networks. To make the campaign process
more manageable, Gary Woodward and Robert Denton suggest that you follow the
six steps described in box 9.8.41
Box 9.8 Campaign Implementation Overview42
Stage Components
1. Situation analysis target audience
product/issue/idea
competition or opponent
2. Objectives mission
goals
outcomes
3. Strategies messages
media
presentation activities
Stage Components
4. Budget labor
material
media
talent
production
5. Implementation timing
follow-up
6. Evaluation what people say
what people think
what people do
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Situation analysis is the foundation for the rest of the campaign. In this first
stage, begin by identifying key audience characteristics. These include: (1) demo-
graphic variables (age, education, occupation); (2) geographic variables (urban versus
suburban, West versus Midwest); and (3) psychographic variables (lifestyle, interests,
activities, and opinions). If your campaign is product oriented, then size up the com-
petition and determine attitudes toward your product. Your research can be both
informal and formal. Informal research is the process of gathering information from
libraries, personal contacts, industry publications, and other sources. Formal research
is based on the statistical analysis of data collected through surveys and interviews.
Once the preliminary research is complete, goals should be set in stage two.
Objectives can center on increased awareness, attitude change, or changes in
behavior. Many campaigns fail because they are too ambitious. When you seek sig-
nificant behavioral change, set more modest goals. For example, you might be able
to convince a large percentage of your audience that recycling reduces our depen-
dence on landfills. Yet, only a portion of those who believe in recycling will actually
participate in recycling programs.
The hierarchy of effects model demonstrates why some campaign goals are
harder to reach than others.43 According to this model, there are intermediate
steps that must be met before producing higher (more complex, demanding)
effects. Breakdowns can occur at any step on the hierarchy.
1. Exposure—getting the message out is the first and easiest step. However,
campaigns falter if audiences don’t hear the message because they don’t
own computers, watch television, haven’t joined Facebook, and so on.
2. Attention—a message has no impact if it is ignored. Audiences have more
ways to ignore messages than ever before. Take television commercials for
example. Viewers have hundreds of television channels to switch to during
commercials or, if they record shows, they can fast forward through the
ads. If they want to avoid commercials altogether, they binge watch televi-
sion series on Netflix or through another streaming video service.
3. Involvement (liking or interest)—people quickly turn off messages they see
as irrelevant, uninteresting, or offensive (not meeting their needs, for poli-
ticians they oppose, and so on).
4. Comprehension (learning what)—messages can be misinterpreted. For
example, Mitt Romney’s 2012 presidential campaign slogan “Believe in
America” was confusing. Were audiences supposed to believe in the coun-
try or the candidate?
5. Skill acquisition (learning how)—audiences may want to follow through on
a suggestion but can’t. For instance, they can’t attend a meeting because
they don’t have child care or they can’t vote because they don’t have trans-
portation to the polls.
6. Persuasion (attitude change)—attitude change doesn’t always lead to
action, as in the case of those who say they will vote but don’t, or know
smoking is bad but won’t quit.
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7. Memory storage—to act on the message people must remember the mes-
sage, which can be difficult given the multiple messages they receive every
day. When the right time comes, individuals need to remember to make a
call, go to a website, or buy a ticket.
8. Information retrieval—stored information must be retrieved at the appro-
priate time. This can be a problem when, for instance, someone remem-
bers when the event is to take place but not where it is occurring.
9. Motivation (decision)—follow through only occurs when the benefits out-
weigh the costs. Incentives like reduced prices for products prompt people
to act.
10. Behavior—success is often measured by sales, attendance, voting, and
other actions. But securing a customer, attendee, donor, or voter is no
guarantee that the individual will carry out the same behavior again.
11. Reinforcement of behavior, attitude, or both—those having doubts about
their decision to purchase a certain product, for instance, need reassur-
ance through good customer service, evidence of product quality, etc.
12. Postbehavior consolidation—in this final, highest stage individuals incor-
porate the campaign messages into their worldview. Take the case of those
who take up exercising through a campaign, for example. They may
engage in this behavior for the rest of their lives, making physical fitness a
central personal value.
The third stage of the campaign is concerned with strategies to get things
done. Structure messages to appeal to market segments, determine how you will
use the media to reach audiences, and plan presentational activities like press con-
ferences, rallies, and conventions. (See box 9.9 for a list of communication chan-
nels or vehicles commonly used in persuasive campaigns.)
In the fourth stage, prepare a budget. Financial resources will frequently deter-
mine the scope of your campaign. Labor, material, media, talent, and production
costs must all be taken into consideration.
Implementation is the fifth stage. The campaign goes into action during this
phase. Monitor your progress and determine the timing of messages through
ongoing research. Poll voters to test attitudes; check and recheck reactions. By
periodically gathering data, you will know if your campaign is on target or if you
should modify your campaign messages and strategies.
The evaluation stage completes the ongoing campaign and lays the ground-
work for future projects. In order to determine if you reached the campaign objec-
tives you set earlier, you will need to survey target audiences, measure sales, and
determine if favorable attitudes translate into desired action. What you learn from
the successes and failures of one persuasive campaign can serve as the foundation
for the next.
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Collaborative (Integrative) Leadership
In a pluralistic society such as ours, encouraging groups to cooperate on behalf
of the common good is often a public leader’s greatest challenge.45 Attempts to
restore salmon and steelhead runs in the Pacific Northwest are a case in point. Bil-
lions of dollars have been spent to bolster these fish populations, but their num-
bers continue to decline due to dams, overgrazing, urban pollution, logging,
irrigation, fishing, and other factors. Reversing this trend will take the cooperative
efforts of biologists, government agencies, power companies, ranchers, barge own-
ers, water districts, tribes, city councils, environmental activists, governors, and
congressional representatives. Unless these groups look beyond their individual
interests and work together, many species (which used to return to the region’s riv-
ers by the millions) will become extinct.
Fortunately, collaborative efforts can succeed if led effectively. Collaborative or
integrative public leaders bring diverse groups together from various sectors of
society, integrating their efforts to address community problems and to promote
the common good.46 Examples of successful collaborations range from creating a
regional educational broadband service in North Carolina, to forming a planning
Box 9.9 Campaign Communication Channels44
Issues advertising
Sponsored books, editorials
Negotiation
Executive comments
Public affairs programming
Press releases, media relations
Personal contact with opinion leaders by key
staff and management personnel
Video and satellite presentations to internal
and external audiences
Congressional testimony, public hearings
Mailings to constituencies
Bill stuffers
Conference paper presentations
Trials
Open houses, issue workshops
Education information relevant to activist,
government, or industry issues that can be
distributed through schools
Placed and commissioned articles
Employee communication
Internal and external newsletters
Speakers bureaus
Annual financial or special topic reports
Videos mailed to key audiences and on request
Op-eds placed on editorial pages
Talk show appearances
Electronic mail and bulletin boards
Billboards
Special issue documents
Scholarly papers (commissioned)
Citizens advisory committees
Lobbying
Websites
Social media
Legislative position papers
Collaborative decision making
Joint research efforts
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and coordinating agency in Minneapolis-St. Paul, to improving the quality of the
local workforce and lowering teen pregnancy rates in rural Oregon.
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Treat every connection, communication and collaboration
as part of a continuous relationship.
—Kim Chandler McDonald
Successful collaborative leadership takes a different set of competencies that
overlap yet go beyond those needed for organizational leadership. Public adminis-
tration professor Ricardo Morse surveyed research on collaborative leadership and
identified important collaborative leadership competencies that divide into three
subsets: attributes, skills and behaviors.47
Attributes
• Collaborative mind-set: seeing beyond organizational boundaries, having a
vision for what collaboration can accomplish; seeing connections and possi-
bilities instead of barriers.
• Passion toward outcomes: recognizing the need to bring about change, to make
a positive difference.
• Systems thinking: thinking beyond the organization to the community as a
whole; crossing specialties and disciplines.
• Openness and risk taking: willingness to take risks; being comfortable with
uncertainty; willingness to change strategies.
• A sense of mutuality and connectedness: recognition of being part of the
whole; understanding others and being concerned for others.
• Humility: satisfaction in sharing accomplishments and credit.
Skills
• Self-management: ability to prioritize and manage time effectively; proac-
tively working across organizational boundaries.
• Strategic thinking: defining problems; identifying desired results rather than
deficiencies; keeping the focus on goals; assessing stakeholder interest; see-
ing connections and interrelationships.
• Facilitation skills: helping the group generate new ideas; coping with con-
flict; helping groups get unstuck; forging agreements.
Behaviors
• Stakeholder identification and stakeholder assessment: locating a broad range
of stakeholders, determining their interests, and deciding how to involve them.
• Strategic issue framing: advocating for issues; creating a sense of urgency;
focusing attention on specific problems.
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• Relationship development with diverse stakeholders: bringing groups together
through establishing personal relationships with members of many different
groups.
• Convene working groups: getting stakeholders together in a safe location;
assuring that the discussion is transparent, without hidden agendas.
• Facilitating mutual learning processes: setting the standards for the tone of
the group’s communication; setting rules, values, and norms; focusing on
learning together.
• Inducing commitment: soliciting commitment at the beginning of the pro-
cess and throughout; getting buy in from key decision makers and other
“champions” of the project.
• Facilitating trusting relationships among partners: ensuring that group
members have good relationships with each other.
Collaborative leaders act as catalysts.48 Like agents that speed up chemical
reactions without being consumed, catalytic leaders foster integration. They recog-
nize when the situation calls for joint action and bring the right organizations and
individuals together to tackle the problem. (The case study in box 9.10 will provide
you with some practice in identifying stakeholders.) They then initiate the process
and make sure the stakeholders work together effectively and put the right struc-
ture in place to reach objectives. In the end, those involved in the collaborative
effort achieve more than they could have acting on their own. Catalytic leaders
don’t dominate the process but share power. They are generally more interested in
the process of decision making rather than on any particular outcome. They facili-
tate integration in different ways at different times. While they may not always be
the most visible leaders or get the most credit, they play the most critical role in the
success of the project.
Box 9.10 Case Study Building the Bypass: Identifying the Stakeholders
For nearly 25 years, residents of Bloomburg have talked about the need for a bypass to carry
traffic around their small city. Currently a major highway, which connects the state’s major popu-
lation center to the coast, runs through downtown. On week days the road is clogged with
semis, logging trucks, and commuters. On summer weekends, traffic backs up for miles as vaca-
tioners head for the beach. Local residents find it difficult to get from one side of town to the
next, frustrated travelers blame the city for their lengthy delays, and downtown businesses are
fleeing to the neighboring community. City officials and the local chamber of commerce want to
launch a downtown revitalization effort but there is little chance of success unless the highway
is relocated.
Tom Hirokawa was recently hired as Bloomburg’s first full-time planning director. One of his
major responsibilities is to start work on the bypass project. He knows that a number of earlier
bypass efforts failed. Local farmers and orchard growers viewed the bypass as a threat to their
livelihoods, and highway funds weren’t available. Hirokawa realizes that the farmers and growers
still object to the bypass, but he has been told by local legislators and the area’s congressional
representative that the state and federal government will now pay for the project. According to
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CHAPTER TAKEAWAYS
• Public leaders influence the attitudes and behaviors of large audiences at all lev-
els of society through the use of public relations activities, public address, and
persuasive campaigns.
• Excellent public relations programs share the following characteristics: (1)
empowered (valued and promoted by top management); (2) a strategic manage-
ment role that helps shape organizational policy and direction; (3) two-way com-
munication and symmetrical relationships that identify and respond to the needs
of publics while fostering collaboration with outside groups; (4) ethical behavior
that discloses accurate information, engages in dialogue, and advocates social
responsibility; and (5) supportive structure that encourages participation and
fosters the advancement of women and minorities.
• Public relations activities should be directed at building positive long-term rela-
tionships with publics. These quality relationships greatly enhance your organi-
zation’s ability to lead public opinion.
• Your speech will be effective if it is based on careful prespeech planning (decid-
ing on a mode of delivery, audience analysis); clear organization (developing a
thesis statement, arranging and linking ideas, crafting a memorable introduction
and conclusion); clear, vivid, and appropriate language; extensive rehearsal;
delivery that appears natural and creates a sense of immediacy; and skillful antic-
ipation and response to questions after the presentation is over.
• A persuasive campaign consists of a series of messages aimed at changing the
beliefs and behaviors of others. To create a campaign with significant impact,
pretest messages and identify market segments; use the media most accessible to
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plans drawn up earlier, the proposed route would not only cut across farmland and orchards but
would also border a federally protected wetland. A small manufacturing facility and several
homes would have to be relocated to accommodate the new road.
Tom knows that the critical first step in the project is identifying all the important stakeholder
groups. Groups left out of the deliberations could later undermine the collaborative process. He
also realizes that it is important to identify the interests and perspectives of stakeholders before
he gathers them together to meet for the first time.
Discussion Questions
1. Who are the important stakeholder groups for the bypass project?
2. What are the needs and interests of each group?
3. Are there any groups that Tom shouldn’t invite to participate in the discussions? Why?
4. Which groups have conflicting interests? How should Tom respond to these conflicts?
5. Based on your analysis of the stakeholder groups, how difficult is it going to be to reach
consensus? Do you think the bypass will ever be built?
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target groups; rely on the media to raise awareness; utilize interpersonal commu-
nication to bring about behavior change; employ high credibility sources; direct
messages at individual needs; and vary message types.
• There are six steps or stages to any type of persuasive campaign: (1) situation
analysis, which identifies key audience characteristics and possible competitors;
(2) objectives, which vary in difficulty; (3) strategies, which identify types of mes-
sages and communication activities; (4) budget, which determines the resources
available to pay for labor, material, media, talent, and production costs; (5)
implementation, which puts the campaign into action and evaluates progress;
and (6) evaluation, which gathers feedback and measures outcomes.
• Collaborative (integrative) leaders bring diverse groups together in order to
address community problems and to promote the common good. In order to be
a successful collaborative leader, you must demonstrate these competencies: (1)
attributes (collaborative mind-set, passion towards outcomes, systems thinking,
openness and risk taking, a sense of mutuality and connectedness, humility); (2)
skills (self-management, strategic thinking, facilitation skills); and (3) behaviors
(stakeholder identification and stakeholder assessment, strategic issue framing,
relationship development with diverse stakeholders, convening working groups,
facilitating mutual learning processes, inducing commitment, facilitating trust-
ing relationships among partners).
• Collaborative leaders act as catalysts that speed up the collaboration process and
help group members achieve more than they could have on their own. To act as a
catalytic leader, you must share power and be more interested in the process of
decision making than in any particular outcome.
APPLICATION EXERCISES
1. Pair off with someone and share your scores on the self-assessment in box 9.2.
What do your scores reveal about your relationship with this organization and
how has this relationship impacted your attitudes and behavior? What factors
contribute to your perceptions? How could the organization build a better
relationship with you?
2. As a research project, examine the public relations efforts of a large organiza-
tion. Does the program meet the standards of excellence outlined in the chap-
ter? How effective is the organization in building relationships with its publics?
3. In a small group, identify emerging issues that will likely have an impact on
your college or another organization of your choice. How should the organiza-
tion respond in order to lead public opinion?
4. Locate all the items related to public speaking from digital or traditional news
sources on one day. Classify the news stories as local, regional, national, or
international. What conclusions can you draw about the relationship between
public address and public leadership based on your sample?
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5. Practice your ability to deliver impromptu speeches. Your instructor will pro-
vide you with a list of topics and set time limits.
6. Use the techniques discussed in the chapter to prepare a speech. Concentrate
on prespeech preparation, organization, language, rehearsal, and delivery.
After the speech, evaluate your performance and record ways that you can
make your future presentations more effective.
7. Evaluate a speech delivered by someone else based on concepts presented in
the chapter. Write up your analysis.
8. In a research paper, describe the public speaking techniques of a well-known
historical figure (e.g., Abraham Lincoln, Winston Churchill, Margaret Thatcher,
Martin Luther King, Jr., or Eleanor Roosevelt). What made this individual an
effective speaker? What can we learn about public address from this person?
9. Analyze a recent persuasive campaign based on the characteristics of success-
ful campaigns presented in the chapter. Based on these elements, why did the
campaign succeed or fail? Write up your findings. Or as an alternative, evalu-
ate the effectiveness of a campus drinking campaign (see box 9.7).
10. Analyze the effectiveness of a collaborative/integrative public venture. How
did the leader(s) demonstrate (or fail to demonstrate) collaborative competen-
cies? How did the leader(s) act as catalysts for the collaborative effort? Report
your findings in a class presentation.
CULTURAL CONNECTIONS: PUBLIC SPEAKING IN KENYA49
Culture has a significant impact on public-speaking patterns. The qualities
that characterize an effective speaker in the United States and Canada often do not
translate to other cultures. Consider the contrast between public address in Kenya,
East Africa, and in the United States, for example. Ann Neville Miller, a professor
at Daystar University in Nairobi, discovered that Americans and Kenyans view the
prospect of speaking very differently. While a majority of Americans say they fear
speaking in public, Kenyans expect to give speeches as part of everyday life.
For most Kenyans public speaking is an unavoidable responsibility. Life events
both major and minor are marked by ceremonies which occasion multiple pub-
lic speeches. The normal procedure at wedding receptions, for example, is to
include not only a speech by the best man and the parents of both bride and
groom, but also addresses by the grandparents, various uncles and aunts, repre-
sentatives of the bridal party’s respective workplaces, and any of a host of other
individuals and groups. Even the woman selected to cut the cake expects to give
a brief word of advice before performing her duty.
North Americans give lots of persuasive and informative speeches that are
supported by expert testimony and statistics. Kenyans, for the reasons described
above, deliver more special occasion speeches that are supported with personal
stories, parables that leave the audience to infer the main point, and proverbs.
They may break out into song and encourage audience participation by leading
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chants or by having listeners fill in the end of sentences. East African speakers
establish their credibility by virtue of their status (wealth, social standing, age, edu-
cation, tribal affiliation) instead of through their expertise, as is the case in North
America. Linear organizational patterns, like those outlined earlier in the chapter,
are less common in African speeches. Instead, presenters often use a circular pat-
tern that resembles a bicycle wheel. The main point serves as the hub. Personal
stories, proverbs, and parables radiate out like spokes to the rim and then return to
the hub or thesis.
LEADERSHIP ON THE BIG SCREEN: BRAVEHEART
Starring: Mel Gibson, Angus Macfadyen, Patrick McGoohan, Sophie Marceau,
Catherine McCormack, Brendan Gleeson
Rating: R for brutal medieval violence and brief nudity
Synopsis: Mel Gibson (who also directed the film) stars as William Wallace, the
Scottish commoner who rallies his countrymen to overthrow the harsh rule of
England’s King Edward “Longshanks” (McGoohan). Wallace and his supporters
succeed in driving out many of the English occupiers. Wallace delivers several stir-
ring speeches, most notably one to lead his troops to victory in the face of over-
whelming odds. Later he is defeated, captured, and killed after several Scottish
lords betray him. However, a few years later one of his betrayers, Robert the Bruce
(Macfadyen), now the Scottish king, invokes the name of Wallace to drive out the
English and to secure Scottish freedom. The film won five Academy awards—
including best picture—but had to tone down the violence to avoid an NC-17 rat-
ing. Viewers may want to fast forward through or skip particularly graphic scenes.
Chapter Links: dispersed leadership, invisible leadership, public opinion, the
importance of public address, vivid language, collaboration
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10
Leadership and Diversity
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There are truths on this side of the Pyrenees
which are falsehoods on the other.
—Blaise Pascal
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OVERVIEW
Managing Diversity—The Core of Leadership
Understanding Cultural Differences
Defining Culture
Classifying Cultures
Cultural Intelligence (CQ)
Cultural Synergy
Fostering Diversity
The Benefits of Diversity
Obstacles to Diversity
Promoting Diversity: Overcoming the Barriers
The Gender Leadership Gap: Breaking the Glass Ceiling, Avoiding the Glass Cliff,
and Navigating the Labyrinth
Male and Female Leadership Behavior: Is There a Difference?
Creating the Gap
Narrowing the Gap
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Managing Diversity—The Core of Leadership
Cultural diversity is a growing force both at home and abroad. The nonwhite
birth rate has surpassed the white birth rate in the United States. Minorities make
up more than 37% of the total US population and the nation is expected to become
“majority-minority” by 2043. Similarly, most of the growth in the workforces of
other industrialized nations is coming from immigrants or groups currently under-
represented in the workplace. Along with these demographic trends, four main
forces—known as the four Ts—have brought the world into a global age: technol-
ogy, travel, trade, and television. Members of different cultures have more frequent
contact and exposure to one another through: the Internet, satellite hookups, and
fiber optic lines; increased international travel with millions of people visiting
other nations each year; rapidly expanding broadcasting bandwidth; and multina-
tional organizations and open markets. Nestlé, for example, has 97% of its employ-
ees working outside its headquarters in Switzerland, and US companies like Ford,
General Electric, and IBM have more than 50% of their staff outside the United
States.1 (Box 10.1 introduces important historical figures behind globalization.)
Taylor Cox concludes that managing diversity is the “core” of modern organi-
zational leadership.2 To Cox and others, diversity management means taking
advantage of the benefits of a diverse labor force while coping with the problems
(conflict, misunderstandings) that arise when people from different backgrounds
work together.3 The goal is to enable all employees, regardless of ethnicity, gender,
age, or physical ability, to achieve their full potential and to contribute to organiza-
tional goals and performance. While most experts focus their attention on the
organizational work setting, diversity management is essential to leaders in group
and public contexts as well. In this chapter we will explore the topic of leadership
and diversity by (1) identifying important cultural differences, (2) examining the
impact of culture on leadership behavior, (3) outlining ways to take advantage of
cultural differences, (4) describing strategies for fostering diversity, and (5) discuss-
ing the gender leadership gap.
Understanding Cultural Differences
In chapter 8 we defined an organization’s culture as a unique way of seeing the
world, based on particular assumptions, values, rituals, stories, practices, artifacts,
and physical settings. These same elements make up the cultures of larger groups.
Defining Culture
Everett Rogers and Thomas Steinfatt define culture as “the total way of life of a
people, composed of their learned and shared behavior patterns, values, norms,
and material objects.”4 Because cultures are human (symbolic) creations, they take
many different forms. Cultural teachings result in very different assumptions,
expectations, and rules for interaction. If we are not aware of these cultural differ-
ences, we can ascribe meanings to behaviors that are inaccurate and divisive.
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Communication patterns are the verbal and nonverbal codes used to convey
meanings in face-to-face encounters; these patterns vary from culture to culture.
One important ingredient is language. Languages help people organize their per-
ceptions and shape their worldviews. The grammar of Spanish, for instance,
reflects a number of levels of respect that reinforces status distinctions. English
reinforces individualism by being the only language that capitalizes the pronoun
“I” in writing.
Nonverbal codes help individuals interpret the meaning of gestures, posture,
facial expressions, time, touch, and space. Again, culture teaches the meanings of
nonverbal behaviors. A simple action like sticking out the tongue can be inter-
preted many different ways. Tongue protrusion can signal everything from polite
deference (Tibet), to embarrassment (south China), negation (Marquesa Islands),
and contempt (United States).5
Patterns of relationships are strongly influenced by the culture in which one
was raised. A son or daughter in the United States has much more freedom than
his or her counterpart in South Korea. In traditional Korean families, the oldest
male relative has the right to determine where children go to school, what careers
they pursue, and whom they marry.
Formal organizations structure the activities of significant numbers of people.
Important institutions include governments (which sponsor schools to teach cul-
tural knowledge and values), social and professional organizations, work organiza-
tions, and religions. Religious faiths organize people differently. In Christianity or
Judaism, adherents attach themselves to a particular church or synagogue, which
sponsors a program of worship activities. Followers of Hinduism, on the other hand,
worship whenever they want at the most convenient temple. Religions hold con-
flicting views about the meaning of existence, salvation, sin, and other questions.
Cultures create or borrow inventions necessary to maintain or enhance day-
to-day functions. The term artifacts is frequently used to describe the tools used by
a culture. The personal computer is one technological creation that has greatly
impacted US culture. PCs, smartphones, and tablet devices have increased office
productivity, encouraged more people to work at home, changed reading habits,
increased the flow of information, linked users from around the world, and intro-
duced new terms and phrases like “Google it,” “hackers,” “spam,” the “cloud,” and
“Kindle” into the national vocabulary.
The collective wisdom of a culture is shaped by historical events such as immigra-
tion, invasions, wars, economic crises, legal decisions, legislative acts, and the deci-
sions of prior leaders. For example, the rise of communism in Vietnam was spurred
by the oppression of French colonialism. In the United States, the Social Security sys-
tem and other entitlement programs are a legacy of the Great Depression.
A culture’s external environment, including climate, geographical features, and
natural resources, influences a wide variety of cultural elements, such as interac-
tion patterns and population density. People from warm climates (the Middle East
or the Mediterranean, for example) are typically more involved with each other,
maintain closer distances, and engage in more touch than individuals from cold-
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weather climates like Scandinavia and Great Britain. In the United States, most
major cities are located near lakes and rivers because they provide drinking water,
serve as sources of hydroelectric power, and act as transportation corridors. The
most sparsely populated regions of the country (portions of the Dakotas,
Nebraska, Nevada, Oregon, Kansas, and Texas) generally receive very little rainfall.
Classifying Cultures
Researchers group cultures according to common characteristics. These com-
monalities help leaders recognize and respond to the needs of diverse groups.
Five cautions should be kept in mind when studying cultural categories. First,
cultures change over time, so older groupings may not be as accurate as newer
ones. Second, scholars disagree about how to categorize some nations and have
not studied some regions (such as Africa and the Middle East) as thoroughly as
others. Third, not every member of a cultural group will respond the same way.
Statements about cultural patterns are generalizations that don’t account for the
behavior of every individual on every occasion. Americans are generally regarded
as highly individualistic, but some groups in the United States—religious orders,
small military units—are much more collectively oriented. Fourth, political and
cultural boundaries are not always identical, as in the case of the Basque people,
who live in both Spain and France. Fifth, Westerners have developed most of the
cultural category systems and may have overlooked values that are important to
non-Western societies.
Box 10.1 Research Highlight The Top Ten Global Leaders6
Experts who study globalization often ignore the role that individuals play in making our
world a smaller, more interconnected place. They focus instead on major trends like migration,
technology, and trade; or examine international industries; or dissect major events like the recent
global financial crisis. Yale economist Jeffery Garten argues that overlooking the role of leaders in
globalization is a serious mistake, akin to studying war without looking at the actions of the top
generals. To make his case, he points to the impact of ten historical leaders. According to Garten,
these leaders “. . . opened doors to a broad array of possibilities for progress. They changed the
prevailing paradigm of how society was organized. They raised the hopes of broad swaths of civ-
ilization. They opened highways on which many others could travel” (p. xiii).
Each of the nine men and one woman selected by Garten inaugurated a new phase of global-
ization. They were primarily doers, not thinkers. Each had a dark side, some leaving a trail of
destruction—war, brutality, slavery, colonization, exploitation—in their wake. Garten’s globaliza-
tion leaders include:
Genghis Khan (1162–1227). Mongolian emperor Genghis Kahn and his descendants used war
to build an empire that ranged from China to the Middle East. Political unity promoted cultural
exchange and international trade, including the establishment of the Silk Road.
Prince Henry (1394–1460). This Portuguese prince played a key role in European exploration
and expansion. He created the model that other adventurers followed and set in motion the Age
of Exploration, which led to the colonization of Asia, Africa, and the Americas. Continuous trade
then opened up between all the regions of the world.
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Robert Clive (1725–1774). Clive led the expansion of Britain’s East India Company in Asia. He pro-
moted British rule and ideas like the rule of law, modern education, and market oriented economies.
Mayer Amschel Rothschild (1744–1812). German Mayer Rothschild founded the most powerful
bank in the world and laid the groundwork for global financial markets, including the interna-
tional bond trade. International banking enabled the world economy to grow faster.
Cyrus Field (1819–1892). A retired American paper industry executive, Field led the effort to lay
telegraph cable between Newfoundland and England. The transatlantic cable led to almost
instantaneous communication between Europe and the United States. The radio, telephone, and
other communication breakthroughs soon followed. Currently 95% of all communication
between continents, including email and phone calls, travels via nearly a million miles of under-
water fiber-optic cable.
John D. Rockefeller (1839–1937). Rockefeller was the driving force behind the creation of the
global petroleum industry. Standard Oil controlled every aspect of the oil business from extrac-
tion to delivery. Many also consider Rockefeller to be the father of international philanthropy. His
Rockefeller Foundation was the first global philanthropic organization, working to improve
health and nutrition in developing nations.
Jean Monnet (1888–1979). Frenchman Jean Monnet played a key role in the establishment of
the European Union (EU). The EU reduced the threat of war and created an economic unit which
accounts for around 20% of all global trade.
Margaret Thatcher (1925–2013). Thatcher served as the first woman prime minister of Britain
from 1979–1990. During her term in office she instituted a series of austerity and free market mea-
sures, such as selling off government-controlled companies. Her efforts helped revive the British
economy and encouraged other nations to reduce the role of government in the private sector.
Andy Grove (1936–2016). As Intel’s CEO and board chair, Grove was at the forefront of the
development of microprocessors. Microprocessors are the engines of the current technological
age, powering computers, smartphones, machines, robots, and other devices.
Deng Xiaoping (1904–1997). Deng sparked China’s economic boom after Mao’s death. He
encouraged the growth of private business, which helped lift hundreds of millions out of poverty,
and expanded the country’s economic and political ties with other nations. China is now the sec-
ond largest economy in the world.
Professor Garten notes several common traits in his ten leaders, traits that future global lead-
ers will need to handle crisis and turmoil. His leaders were, first of all, “hedgehogs.” Unlike the fox
that knows many things, the hedgehog focuses on one big idea and pursues that idea for
decades. Robert Clive, for instance, kept his focus on conquering more territory and Jean Monnet
spent his life fostering cooperation between countries. Second, these leaders were able to capi-
talize on the major trends of their times. Prince Henry benefitted from growing interest in explo-
ration and Rockefeller discovered oil when the industrial revolution greatly increased demand.
Third, while their efforts were transformational, the leaders in Garten’s analysis looked to solve
immediate problems rather than implement global visions. Fourth, each was also able to master
the details of complex projects and to work effectively with others. Genghis Khan oversaw the
day-to-day operation of a vast kingdom. Cyrus Field coordinated the efforts of technological and
scientific experts, investors on different continents, and two governments.
Some fear that growing complexity will make it impossible for future individuals to wield as
much global influence as past leaders. However, Garten points out that the world was as scary to
his historical figures as it appears to us today. If past leaders met the challenges, then future lead-
ers can as well. Further, thanks to the leaders on his list, “future hedgehogs” have much more
powerful tools—modern communication, global finance and trade, digital technology—to use in
reshaping the world.
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To lead the people, walk behind them.
—Lao-tzu
There are a number of cultural classification systems; Edward Hall, Geert Hof-
stede, and Robert House and his colleagues developed three of the most notable.
High- and Low-Context Cultures
Hall, an anthropologist and nonverbal communication expert, categorizes cul-
tures as high or low context based on the way people in the culture communicate.7
In high-context cultures such as Japan, China, and South Korea, most of the infor-
mation about the meaning of a message is contained in the context or setting.
Group members assume that they share common meanings and prefer indirect or
covert messages that rely heavily on nonverbal codes. In low-context cultures such
as Germany and Great Britain, much more meaning is embedded in the words that
make up the verbal message, and speakers are more direct. Other differences
between high- and low-context cultures center on group membership, interper-
sonal relationships, and orientations toward time. A summary of the differences
between high- and low-context cultures is found in box 10.2.
Leaders can run into serious difficulties when dealing with followers who pre-
fer a different communication style. Take the case of the German manager who
deals with conflict by confronting his Japanese employees directly. The supervi-
sor’s low-context culture encourages him to be honest and straightforward. How-
ever, his followers, who have been raised in a high-context society, would rather
ignore tensions or deal with them indirectly through hints and nonverbal cues like
making less eye contact.
Box 10.2 Characteristics of High- and Low-Context Cultures8
High-Context Cultures Low-Context Cultures
Covert and implicit Overt and explicit
Messages internalized Messages plainly coded
Much nonverbal coding Details verbalized
Reactions reserved Reactions on the surface
Distinct in-groups and out-groups Flexible in-groups and out-groups
Strong interpersonal bonds Fragile interpersonal bonds
Commitment high Commitment low
Time open and flexible Time highly organized
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�
Keep off the grass.
—Lawn sign in the United States
�
The grass is delicate and well cared for.
—Lawn sign in China
Programmed Values Patterns
Geert Hofstede of the Netherlands conducted a massive study of cultural pat-
terns. In order to determine important values that are “programmed” into members of
various cultures, Hofstede surveyed 116,000 IBM employees in 72 countries. He then
validated his findings by correlating his results with data collected by other investiga-
tors in many of the same nations.9 In his original research, Hofstede found four values
dimensions that characterize cultures. With Michael Harris Bond, he later identified a
fifth category that has its roots in Eastern culture.10 Since then hundreds of studies
have been conducted using the programmed values framework.11 These dimensions
and some of their implications for leader/follower relations are described below.12
Power distance. The first value dimension identified by Hofstede looks at the
importance of power differences in a culture. “All societies are unequal,” Hofstede
states, “but some are more unequal than others.”13 In high power-distance cultures,
inequality is considered to be a natural part of the world. Superiors are a special
class of people who deserve special privileges. However, at the same time, they are
obligated to take care of their less fortunate subordinates. High-status individuals
try to look as powerful as possible and exert influence through coercive and refer-
ent power bases. In contrast, low power-distance cultures are uncomfortable with
differences in wealth, status, power, and privilege; they promote equal rights.
Members of these groups emphasize interdependence and rely on reward, legiti-
mate, and expert power. Superiors are similar to subordinates and may try to
appear less powerful than they actually are. Citizens of the Philippines, Mexico,
Venezuela, India, and Singapore ranked among the highest in power distance; resi-
dents of New Zealand, Denmark, Israel, Austria, and Sweden the lowest. Power
distance has a number of implications for leadership.
• The larger the power distance between leaders and followers, the greater
the fear of disagreeing with a superior and the closer the supervision of fol-
lower activities.
• Followers in high power-distance countries expect managers to give direc-
tion and feel uncomfortable when asked to participate in decision making.
• Coercive, authoritarian leadership is more common in high power-distance
countries; democratic leadership is more often the norm in low power-dis-
tance cultures.
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• Organizations operating in low power-distance countries are less centralized
and distribute rewards more equally.
Individualism-collectivism. The second of Hofstede’s value dimensions dis-
tinguishes cultures by their beliefs about individuals and groups. Individualistic
cultures emphasize that the needs and goals of the individual and his or her imme-
diate family are most important. Decisions are based on what benefits the person
rather than the group. Collectivist cultures emphasize group identity. Individuals
do not function as independent agents; rather, they define themselves and make
decisions on the basis of their connection to an extended family, tribe, clan, or
organization. The United States ranked as the most individualistic culture in Hof-
stede’s sample, followed by Australia, Great Britain, Canada, and the Netherlands.
Among the most collectivistic cultures were Colombia, Mexico, Pakistan, Taiwan,
and South Korea. The following are implications for leadership along the individu-
alism-collectivism continuum.
• Followers in individualistic societies generally respond well to material
rewards that honor individual effort (commissions, bonuses for winning
sales contests). Followers in collectivistic cultures don’t feel comfortable with
individual recognition and prefer team rewards instead.
• Members of collectivist societies expect mutual loyalty between organiza-
tional leaders and followers and feel betrayed when companies furlough or
fire employees.
• To be accepted, new ideas in collectivist countries must come from the
group as a whole rather than from any individual.
• Decision making is identified with a single leader in individualistic societies.
Leaders in collectivist groups rely more heavily on group norms and social
values to manage the behavior of followers.
• The ideal leader for individualists is someone who provides autonomy and
opportunities for personal growth. The ideal leader for collectivists takes
an active role in nurturing followers and fostering the growth of the group
as a whole.
• Followers with a collectivist orientation prefer indirect criticism, while fol-
lowers with individualistic values expect to be confronted directly about
poor performance and conflicts.
Masculinity-femininity. The third value dimension looks at roles assigned to
the sexes. In masculine cultures, men are thought to be assertive, decisive, competi-
tive, ambitious, and dominant. They are concerned with material success and
“respect whatever is big, strong, and fast.” Women are encouraged to serve; their
responsibilities include nurturing interpersonal relationships and caring for the fam-
ily and weaker members of society. In feminine cultures, sex roles overlap. Neither
sex is expected to be competitive, ambitious, or caring at all times. These cultures
stress intuition, interdependence, and concern; there is respect for the small, weak,
and slow. Japan, Austria, Venezuela, and Italy were the most masculine cultures sur-
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veyed, while Sweden, Norway, the Netherlands, and Denmark were the most femi-
nine. The masculinity-femininity implications for leadership include the following.
• Females in masculine cultures have a harder time emerging as leaders and
are more likely to be segregated into a few specialized occupations.
• Decision makers in feminine cultures put a greater emphasis on intuition
and consensus.
• Leaders and constituents in masculine cultures put a higher priority on work
(they “live to work”); leaders and constituents in feminine cultures put more
emphasis on the quality of life (they “work to live”).
• Leaders in feminine societies are more likely to demonstrate an interperson-
ally oriented leadership style.
• Members of masculine cultures are more motivated by achievement, recog-
nition, and challenge.
�
If a [hu]man can be gracious and courteous to strangers,
it shows he[she] is a citizen of the world.
—Francis Bacon
Uncertainty avoidance. The fourth dimension measures (1) the extent to
which people feel uncomfortable in unstructured or unpredictable situations, and
(2) the lengths to which they will go to avoid ambiguity by following strict codes of
behavior or by believing in absolute truths. Members of high uncertainty-avoid-
ance cultures view uncertainty as a threat, are less tolerant, face high stress, seek
security, believe in written rules and regulations, and readily accept directives
from experts and those in authority. Individuals in low uncertainty-avoidance cul-
tures accept uncertainty as a fact of life, are more contemplative, experience less
stress, take more risks, are less concerned about rules, are more likely to trust their
own judgments or common sense rather than experts, and believe that authorities
serve the citizens. Citizens of Greece, Portugal, Belgium, and Japan reported some
of the highest uncertainty-avoidance ratings; residents of Jamaica, Denmark, Swe-
den, and Ireland among the lowest. Uncertainty-avoidance has several implica-
tions for leadership.
• High uncertainty-avoidance cultures give more weight to age and seniority
when selecting leaders.
• Managers in low uncertainty-avoidance societies emphasize interpersonal
relations and are more willing to take risks. Managers in high uncertainty-
avoidance countries seem unapproachable and are more likely to try to con-
trol the activities of followers.
• Organizational constituents in high uncertainty-avoidance cultures prefer
clear instructions, are more willing to follow orders, disapprove of competi-
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tion between employees, and are more loyal than their low uncertainty-
avoidance counterparts.
Long-term–short-term orientation. The fifth value dimension is concerned
with how citizens view the past, present, and future. Cultures with a long-term ori-
entation (LTO) encourage norms and behaviors that lead to future rewards. Mem-
bers of these societies sacrifice immediate gratification (leisure time, luxuries,
entertainment) for long-term benefits. They put a high value on persistence and
perseverance, spend sparingly, and save a lot. Status relationships—teacher-stu-
dent, manager-worker, parent-child—are clearly defined and honored. Feelings of
shame come from violating social contracts and commitments. Cultures with a
short-term orientation (STO) focus on the past and the present, respecting tradi-
tion and expecting quick results. Members of these groups put much less impor-
tance on persistence, spend freely, and have lower savings rates. China, Hong
Kong, Taiwan, Japan, and South Korea ranked highest on long-term orientation;
Pakistan, Nigeria, the Philippines, Canada, and Zimbabwe ranked lowest. Long-
term or short-term orientations have the following implications for leadership.
• Leaders in LTO cultures can expect greater sacrifice from followers on
behalf of long-term goals. Leaders in STO societies are under greater pres-
sure to demonstrate immediate progress.
• Feelings of shame can be powerful motivational tools to encourage follower
compliance in LTO nations.
• Short-term orientation, with its emphasis on spending instead of saving,
interferes with economic development in emerging countries, making the
task of national leaders and aid agencies more difficult.
The GLOBE Studies
More recently a cultural classification system related specifically to leadership
was developed. The GLOBE studies, short for Global Leadership and Organiza-
tional Behavior Effectiveness, were initiated by Robert House. Working with more
than 160 colleagues around the world, House and his research team have published
a series of articles and books focusing on the relationship between culture and
leadership.14 The GLOBE research is based on analysis of the responses of 17,300
managers in more than 950 organizations across 62 cultures. The GLOBE studies
produced a cultural classification system consisting of nine dimensions. In addition
to the dimensions previously identified by Hofstede, the GLOBE investigators
added the following:15
Assertiveness is the degree to which individuals in organizations or societies
are assertive, confrontational, and aggressive in social relationships. The most
assertive individuals in the GLOBE studies were found in Albania, Nigeria, Hun-
gary, Germany, Hong Kong, Austria, El Salvador, South Africa, Greece, and the
United States. Those in Sweden, New Zealand, Switzerland, Japan, Kuwait, Thai-
land, Portugal, Russia, and India were the least assertive, valuing modest and ten-
der behavior over assertive and competitive stances.
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Performance orientation is the degree to which an organization or society
encourages and rewards group members for performance improvement and excel-
lence. High performance-orientation scores were noted among GLOBE subjects in
Switzerland, Singapore, Hong Kong, New Zealand, Canada, and the United States.
Citizens in these societies value training and development opportunities and take
initiative to improve performance. Those in Greece, Venezuela, Russia, Hungary,
Qatar, Italy, Portugal, and Argentina had low performance-orientation scores. In
these countries, individuals focus more on family background and group member-
ship, as opposed to performance, as a means for achieving success.
Humane orientation is the degree to which individuals in organizations or
societies encourage and reward individuals for being fair, altruistic, friendly, gener-
ous, caring, and kind to others. Those in Zambia, the Philippines, Ireland, Malay-
sia, Thailand, Egypt, India, Canada, and Denmark were high on this dimension,
reflecting a focus on sympathy and support for the weak. Citizens of Germany,
Spain, Greece, Hungary, France, Singapore, Switzerland, Poland, Italy, and Brazil
were low on humane orientation, reflecting more importance given to power,
material possessions, and self-interest.
Since the GLOBE studies were specifically concerned with the impact of cul-
ture on leadership, the researchers were interested in the specific leader character-
istics and actions that were considered to be effective in different cultures. To this
end, the GLOBE researchers identified six global leadership behaviors and the cul-
tural contexts in which these behaviors are most positively viewed.16
Charismatic/value-based leadership. This broadly defined leadership dimen-
sion reflects the ability to inspire and motivate and expects high performance from
others based on shared core values. This type of leadership involves being vision-
ary, inspirational, self-sacrificing, trustworthy, decisive, and performance oriented.
Such leadership is viewed most positively in, for example, Finland, Sweden, the
Netherlands, Australia, the United Kingdom, Ireland, and the United States.
Team-oriented leadership. This leadership dimension emphasizes team build-
ing and a common purpose among team members; it includes characteristics such
as being collaborative, integrative, diplomatic, and administratively competent. This
type of leadership is viewed most positively in, for example, Finland, Sweden, the
Netherlands, Portugal, Spain, Argentina, and Colombia.
Participative leadership. This leadership dimension reflects the degree to
which leaders involve others in decision making and implementation and thus
includes being participative and nonauthoritarian. This type of leadership is
viewed most positively in, for example, Austria, Germany, Greece, Switzerland, the
United States, France, and Argentina.
Humane-oriented leadership. This leadership dimension reflects supportive,
considerate, compassionate, and generous behavior; it also includes modesty and
sensitivity to the needs of others. This type of leadership is viewed most positively
in, for example, Georgia, Canada, China, South Africa, Nigeria, and Iran.
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Autonomous leadership. This leadership dimension refers to independent
and individualistic leadership. This type of leadership is viewed most positively in,
for example, Russia, Indonesia, Germany, and Egypt.
Self-protective leadership. This leadership dimension reflects behavior that
ensures the safety and security of the leader and the group. Such leadership is
leader-focused, status conscious, face saving, and procedural. This type of leader-
ship is viewed most positively in, for example, Albania, Taiwan, Indonesia, and Iran.
Cultural Intelligence (CQ)
Understanding cultural differences lays the groundwork for leading groups in a
variety of cultures as well as for leading groups made up of diverse members. The
successful leader recognizes and responds to cultural differences; the leader who
fails to appreciate cultural influences is doomed to frustration and failure. Con-
sider these examples of failed intercultural communication:17
• A top American technology sales representative loses a sale because he
rushes to close a deal with Mexican executives who first want to establish
connections before doing business.
• An American human resource manager rejects a qualified Samoan job can-
didate because he misinterprets the applicant’s behavior during a job inter-
view. The manager is offended when the candidate comes in, sits down
without being invited to do so, says nothing, and stares at the floor rather
than making eye contact. However, the Samoan is treating the manager as an
authority figure who deserves respect. The applicant demonstrates respect
by only speaking when spoken to and by avoiding eye contact. He sits
because standing while the authority figure is sitting (which puts the subor-
dinate in a physically higher position) is a serious sign of disrespect.
• A Norwegian appointed to head a Russian subsidiary introduces Manage-
ment by Objectives (MBO) to his new followers. Used to authoritarian lead-
ership, they don’t accept the notion that they or their subordinates should be
setting their own goals.
• A New Zealand food-processing company executive tries to find out if the
company’s Japanese joint-venture partner had been fishing illegally within
New Zealand’s 20-mile zone. He asks directly but only gets vague responses
like “when you beat a mat, the dust will rise.” Only later does he realize that
the Japanese would have lost face by admitting wrongdoing publicly. Instead,
their obscure replies are an indirect acknowledgement of guilt.
Developing cultural intelligence is key to avoiding the kinds of mistakes
described above. Cultural intelligence (CQ) is defined as he ability to function
effectively in culturally diverse settings.18 Those with high CQ are more successful
in overseas assignments, short-term business travel, cross-cultural negotiation, and
multicultural team and organizational leadership. They are more effective commu-
nicators and experience less anxiety in these contexts.19 Cultural intelligence is made
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up of four factors. Metacognitive CQ refers to the level of cultural awareness when
interacting with people from other cultures. Those with high metacognitive CQ are
aware of their own cultural assumptions and can adjust to the cultural assumptions
of others. Cognitive CQ describes knowledge of the norms and practices of a partic-
ular culture. Motivational CQ reflects the desire or drive to both learn about and
then interact in cross-cultural settings. Strong motivation encourages communica-
tors to interact with those from other cultures. Behavioral CQ describes the ability
to communicate appropriately, both verbally and nonverbally, in cross-cultural set-
tings. High behavioral competence includes understanding which behaviors are
required, permitted, or forbidden; knowing how to interpret the words and behav-
iors of others; and being flexible, adjusting behaviors as needed. (Complete the self-
assessment in box 10.3 to determine your level of cultural intelligence.)
The most effective way to develop cultural intelligence is through a long-term
overseas experience like a semester abroad or overseas job assignment. However, if
these options aren’t available, enrolling in a cross-cultural communication or inter-
national business course; participating in a cross-cultural simulation; taking an
educational, service, or business trip; and interacting with international students or
colleagues can also boost your cultural intelligence.20
�
A [hu]man’s feet must be planted in his[her] country,
but his[her] eyes should survey the world.
—George Santayana
Box 10.3 Self-Assessment Cultural Intelligence Scale—Short Version21
Directions: Read each statement and select the response that best describes your capabili-
ties. Select the answer that BEST describes you AS YOU REALLY ARE (1 = strongly disagree; 7 =
strongly agree).
_____ I enjoy interacting with people from different cultures.
_____ I am sure I can deal with the stresses of adjusting to a culture that is new to me.
_____ I know the cultural values and religious beliefs of other cultures.
_____ I know the legal and economics systems of other cultures.
_____ I know the rules (e.g. vocabulary, grammar) of other languages.
_____ I am conscious of the cultural knowledge I use when interacting with people with differ-
ent cultural backgrounds.
_____ I check the accuracy of my cultural knowledge as I interact with people from different cultures.
_____ I change my verbal behavior (e.g. accent, tone) when a cross-cultural interaction requires it.
_____ I change my nonverbal behavior when a cross-cultural situation requires it.
Scoring: Scores range from 9 to 63. The higher the score, the higher your perceived level of
cultural intelligence.
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Cultural Synergy
Cultural synergy is the ultimate goal of recognizing and responding to cultural
variations. Synergy refers to the production of an end product that is greater than
the sum of its parts. In cultural synergy, decision makers draw on the diversity of
the group to produce a new, better-than-expected solution. According to cross-
cultural management expert Nancy Adler, culturally synergistic problem solving is
a four-step process.22 (Turn to box 10.4 for an alternate perspective on how to
make the most of cultural differences.)
The first step is identifying the dilemma or conflict facing the dyad or group.
Due to differing cultural perspectives, some communicators may not realize that
there is a problem. In the case of the Norwegian manager introducing MBO to his
Russian subordinates, this leader likely didn’t think goal setting would cause diffi-
culties. After all, setting personal and collective objectives is what a “good” leader
would do in Norway. This executive can’t begin the synergistic process until he
recognizes that soliciting participation is problematic for his followers. Further, he
needs to identify the conflict without making negative value judgments. The Rus-
sians will need to approach him in the same nonjudgmental fashion.
In step two, communicators try to determine why members of other cultures
think and act as they do. The underlying assumption is that all people act rationally
from their culture’s point of view. Communicators identify both similarities and
differences in cultural perspectives and recognize that cultural values can cluster
together in different ways. For instance, some collectivist societies are low
